Compliance Auditing

Types of Audit

Audits can vary in type, size and cost depending on your requirements. A basic audit can assess your systems and procedures for internal quality monitoring purposes and ensuring you meet the requirements whilst an in depth audit can be used at a Public Inquiry.

A transport audit ultimately concerns operating safely but with good management, it can help identify areas that can not only improve safety, but can make an operation more cost effective.

Regular audits and comparison reports can show improvements over a period of time or demonstrate consistent compliance.

Evaluation Audit

Don’t require a full compliance audit? Why not have an evaluation of the systems and procedures you already have in place and determine what level of compliance you are achieving. The report gives you an overall assessment of your maintenance arrangements and drivers hours, and will determine your level of compliance. This is a very good way of quality monitoring your systems and procedures and will form part of a good quality monitoring system.

This type of audit can also be used to compare multiple locations and operating centres. Comparison reports can be produced from the results.

Attendance at a Public Inquiry

It could be an advantage to have a compliance audit of your maintenance arrangements and drivers’ hours responsibilities prior to attending a Public Inquiry. This can often provide an operator with an overview of the systems and procedures currently in place and what would be required to operate safe, legal and responsibly.

The recommendations can be used as a starting point for any improvements required and the process of change could be put in place prior to attendance. This can only be a positive step at the Public Inquiry.

Traffic Commissioners Undertakings

An undertaking can be requested by the Traffic Commissioner at a Public Inquiry or as part of an application linked to an operator’s licence. The audit is to be independent, unbiased and is carried out to identify any shortfalls in the systems and procedures you have in place. You are obliged to act on any recommendations.

Quality Monitoring Audits

“Continuous reviewing and monitoring of the quality of the systems in place is essential to ensure that they are sufficiently comprehensive to do the job.” (DVSA – Guide to Maintaining Roadworthiness)

An annual review of either your maintenance systems, drivers hours responsibilities or both is recommended to ensure the systems and procedures you have in place are working and are effective. It can highlight any new requirements that may have come into effect or procedures that may have been overlooked due to other commitments.

It is very good way of effectively monitoring your drivers, a maintenance provider, workshop staff and general transport management. Quality monitoring audits will help you remain compliant.

These are often asked to be carried out together but can also be completed separately.

Click here to visit the Operator Compliance Audits on Gov.uk

Other areas covered within these audits are O Licencing, Working Time Directive, Licensing, Driver CPC etc..