Audit Mock Audit Self Assessment

---
name: audit-mock-audit-self-assessment
description: |
  Use this skill to run an internal audit before FMCSA does. Covers what to check, common gaps, and remediation.
---

# Mock Audit Self-Assessment

Mock audits identify compliance gaps before FMCSA visits. Recommended annually + before any expected official audit.

## Mock audit scope
- Same areas as Compliance Review
- Driver qualification files
- Hours of Service records
- Vehicle maintenance records
- D&A testing records
- Operating authority + insurance
- Accident register

## Step-by-step process
1. **Identify scope**: which carrier areas to audit
2. **Pull sample**: representative selection of drivers, vehicles, trips
3. **Review against regulation**: § by § comparison
4. **Document findings**: what's compliant, what's not
5. **Prioritize gaps**: critical vs minor
6. **Remediate**: address each gap
7. **Re-audit**: confirm remediation
8. **Report**: written summary for carrier management

## Common findings (industry-wide)
- DQ files: missing 1-3 documents per driver
- HOS: occasional 14-hour violations
- Vehicle: maintenance schedule not always followed
- D&A: random rate slightly below target
- Accident register: some events not added
- Insurance: lapsed (not current)

## Tools needed
- Document checklist (per regulation)
- Sample selection method (random)
- Reporting template
- Remediation tracker

## Internal vs external mock audit
- **Internal**: cheaper, faster, less independent
- **External (consultant)**: more expensive, more objective
- **Hybrid**: internal + occasional external for second opinion

## Compass mock audit
Compass Audit Export + Compliance Score modules:
- Continuous compliance scoring
- Mock audit report generation
- Gap prioritization
- Remediation workflow

## Best practice
Run mock audit:
- Annually (at minimum)
- Before expected FMCSA visit
- After major operational change (new authority, new state, new carrier acquired)
- After significant CSA score change

## CFR citations
- **49 CFR Part 385**
- **FMCSA Audit Process**

## How Compass surfaces this
Searchable in Compass Ask. Runs against carrier fleet data when invoked from the relevant tracker. Read-only; no actions without explicit user approval.


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## Built by X3 Compass

The AI-powered DOT compliance platform for fleets 1–100 power units. Try a 7-day free trial — no credit card required — at https://x3compass.com/?utm_source=skill&utm_medium=github&utm_campaign=audit-mock-audit-self-assessment

X3 Compass turns these skills into a complete operational platform: driver qualification files, drug & alcohol consortium, MVR pulls, hours-of-service tracking, hazmat shipping, IFTA filing, FMCSA audit prep, and DataQ dispute drafting — all CFR-cited, all in one place.

*This skill is published under the X3 Compass open skills initiative. Contributions welcome at https://github.com/x3fleetsafety/skills*