Operator Compliance Audits
Ensuring that all operators have robust processes and policies in place is vital for the smooth running of transport operations. There is no better way to confirm adherence to the undertakings on your operator’s licence than by arranging an independent compliance audit. Whether it’s a proactive decision or a requirement from the Traffic Commissioner, choosing a suitably qualified supplier to perform this audit is essential.
Why Conduct an Independent Audit?
Audits should be conducted by individuals or organisations independent of the operator to ensure impartiality and accuracy. An independent auditor is free to report without external pressures, providing a clear and honest assessment of the operator’s compliance. It is important for operators to confirm the qualifications of their chosen auditor. While ISO 9001:2015 certification is a strong indicator of quality standards, it’s not mandatory. Industry experience, audit expertise, a valid TM CPC, regular CPD, and a clean licensing history are equally valuable.
In many cases, a Traffic Commissioner may require an undertaking that the audit adheres to Driver and Vehicle Standards Agency (DVSA) Earned Recognition standards. While some parts of the audit can be conducted remotely, an in-person review at the operator’s premises is generally necessary. The auditor must have full access to the documents evidencing compliance and should provide a statement confirming that the audit reflects the true position to the best of their knowledge.
Key Components of an Audit
A comprehensive operator compliance audit should include:
- Description of the Operator’s Business: Details such as the number of vehicles and employees.
- Management Structure: Including employment contracts and agency terms.
- Company and Director Repute: Assessment of the organisation’s reputation.
- Operating Centre: Review of any permissions required for operations.
- Transport Manager (for Standard Licences): Including evidence of continuing professional development (CPD).
- Responsible Person (for Restricted Licences): Evaluation of their suitability.
- Driver Management: Recruitment, training, and ongoing management practices.
- Drivers’ Hours and WTD Systems: Including routing and planning.
- Vehicle and Trailer Specifications: Verification of compliance with regulations.
- Maintenance Systems: Ensuring effective processes are in place.
- Dangerous Goods: Where applicable, assessment of adherence to specific requirements.
Audits should include the auditor’s qualifications, details of how the audit was conducted, and a statement confirming its accuracy.
The Value of an Audit
An independent audit serves as both a gap analysis and an educational session, making it a valuable tool for effectively managing your operator’s licence. It highlights areas of non-compliance and provides guidance on how to address them, ensuring that your operations meet the required standards.
Why Choose Flagship Partners?
At Flagship Partners, we pride ourselves on meeting the highest standards for operator compliance audits. Our team includes several auditors accredited to ISO 9001:2015, and we are approved DVSA Earned Recognition auditors. With decades of experience in the transport industry, Flagship Partners are well-equipped to deliver thorough and effective audits tailored to your needs.
Contact us today to find out how we can support your compliance efforts and help you achieve operational excellence.
