Transport Compliance Audit

A transport compliance audit checks how your fleet is managed and whether the records support what happens day to day. A well-scoped audit should leave you with a written account of the gaps, their significance and the work needed to put them right.

You may need a review before a DVSA visit, after a prohibition, when taking over an operation or because maintenance and driver records have fallen behind. Agree the purpose and scope with the auditor before booking, particularly if a Traffic Commissioner has specified what an audit must cover.

What a transport compliance audit covers

The scope depends on your licence, vehicles and operation. A review of HGV or PSV compliance will commonly examine:

• Vehicle maintenance: safety inspection schedules, completed PMI records, brake testing, maintenance contracts and the action taken on defects.
• Daily checks: how drivers report defects, who decides whether a vehicle can be used and how repairs are recorded.
• Drivers’ hours: tachograph downloads, analysis, missing records, infringement investigations and driver debriefs.
• Driver records: driving entitlements, relevant qualifications, training and agency-driver arrangements.
• Licence management: authorised vehicles and operating centres, licence undertakings and responsibility for keeping details current.
• Management oversight: who reviews the records, how unresolved issues reach the Transport Manager or director and how corrective work is checked.

For maintenance systems, the DVSA Guide to Maintaining Roadworthiness is a useful reference. Ask the auditor to follow the evidence through a process, for example from a driver’s defect report to the repair and the decision to return the vehicle to service.

On-site or remote audit?

A remote audit can examine records, systems and management explanations without a depot visit. It may suit an initial document review or a clearly defined follow-up. An on-site audit also allows the auditor to discuss routines with staff and observe relevant facilities and working practices.

Ask what each option includes and what the auditor cannot assess remotely. Where an audit is required by a licence undertaking, customer or accreditation scheme, check the specified scope, auditor requirements and submission date before choosing a service.

What you should receive

Agree the report format and delivery date in writing. Before appointing an auditor, agree that the report will identify the records and period examined, explain each finding and distinguish urgent problems from longer-term improvements.

• A clear explanation of each gap and the evidence behind it.
• Recommended corrective actions, with priorities and suggested timescales.
• An action plan showing who is responsible for each task.
• A record of limitations, missing documents and any areas outside the audit scope.
• Clear terms for any follow-up review or help implementing the findings.

An audit report does not complete the corrective work. The operator needs to assign actions, keep evidence of repairs or changes and check that new routines are being followed.

Comparing audit fees and experience

Compare the scope as well as the price. The number of vehicles, drivers and operating centres, the sample of records, travel and follow-up work can all affect a quotation. Ask about experience with your vehicle type and the reason for the audit, and request an anonymised example of the report where available.

If the issue is confined to tachograph analysis, a targeted review may be more appropriate. For an announced inspection, see DVSA audit preparation support. Where a Public Inquiry or prosecution is involved, agree the audit’s role with your legal adviser.