DOT Mock Audits:
Find Gaps Before the Investigator Does
A DOT mock audit is the safest way to discover issues before an investigator does. LFS mirrors what FMCSA checks—your safety data, core documents, and an interview with your safety lead—then delivers prioritized fixes mapped to Safety Management Controls.
What we review (aligned to FMCSA focus)
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Driver Qualification Files (DQF): application, MVRs, road test/acceptable equivalent, annual review note, medical certification/variance, etc. (49 CFR §391.51). eCFR
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HOS/ELD records: RODS/ELD exports, supporting docs, policies (Part 395).
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Vehicle maintenance: inspections, repairs, annuals, DVIR practices—ties to the Vehicle Maintenance BASIC (392, 393, 396).
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Drug & alcohol program: policy, roster, test history, and supervisor training proof (382.603).
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Policies & training evidence: the “systems, programs, practices” FMCSA calls Safety Management Controls.
How our mock audit works
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Intake & data pull: carrier profile + BASICs signal check.
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Document request: we follow FMCSA’s Safety Audit guide as our checklist.
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Onsite or virtual review: files, systems, and spot interviews with ops/safety.
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Findings report: violations/risks, root causes, and 30-day action plan using FMCSA’s Safety Management Cycle approach.
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Follow-up coaching: verify corrections and prep artifacts for insurer/FMCSA.
Deliverables you can keep on file
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Mock Audit findings report + risk severity matrix
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30-day corrective action plan (owners/insurer-ready)
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Updated/templated policies (HOS, DQF, drug & alcohol, roadside prep)
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Evidence pack (sign-ins, certificates, checklists)
When to schedule
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Before a New Entrant Safety Audit (or if you’ve struggled with inspections). FMCSA
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After a crash/violation spike or insurance warning
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Pre-renewal or pre-RFP with demanding shippers
Outcomes
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Fewer violations, cleaner files, and a documented compliance plan
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Clear linkage from issues → fixes using Safety Management Controls language
FAQs For DOT Mock Audits:
What’s the difference between a mock audit and FMCSA’s Safety Audit?
A mock audit is a simulation run by LFS to find and fix issues; the FMCSA Safety Audit is an official review of your data, documents, and interview. We align our process to FMCSA’s playbook so you’re ready.
What documents do you typically request?
DQFs, HOS/ELD records and supporting docs, maintenance/inspection files, drug & alcohol program records, policies, and training evidence—matching FMCSA Safety Audit expectations.
Do you cover Safety Management Controls?
Yes. We frame findings and fixes around FMCSA’s Safety Management Controls definition and use the Safety Management Cycle to harden processes.
Will this help our BASICs performance?
Indirectly—cleaner files, better policies, and training reduce violations that feed the SMS BASICs prioritization.
Can you run this remotely?
Yes. We can perform a secure remote review and optional onsite verification.
Our DOT Compliance Services (directory)
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Reasonable-Suspicion Supervisor Training (49 CFR 382.603) — One-time, 2-hour course (60+60) with certificate
https://www.logisticalforwardingsolutions.com/dot-compliance-reasonable-suspicion-382-603
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Hours-of-Service (HOS) & ELD Training (49 CFR Part 395) — Rules, exceptions, and ELD workflows
https://www.logisticalforwardingsolutions.com/dot-compliance-hours-of-service-eld-training
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Driver Qualification Files (DQF) — Setup, Maintenance & Audits (49 CFR §391.51)
https://www.logisticalforwardingsolutions.com/dot-compliance-driver-qualification-files
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DOT Mock Audit — Safety Management Controls & Audit Prep
https://www.logisticalforwardingsolutions.com/dot-compliance-mock-audit