Transport compliance health check
Operating goods vehicles or buses is one of the highest risk activities undertaken by any business. Companies which hold an operator’s licence are subject to strict regulatory oversight from the police, DVSA and the Office of the Traffic Commissioner. In the event of a regulatory intervention or a serious incident ultimate responsibility for non-compliance will rest with the statutory directors.
For this reason, the identification and minimisation of transport compliance risk in the form of a compliance health check should be a key priority for any operator licence holder.
Our transport regulatory lawyers specialise in representing operator licence holders in all proceedings before the Office of the Traffic Commissioner and during DVSA and police investigations. This provides us with a unique insight into what an effective transport compliance regime should look like, and where fleet risks lie.
What makes our transport compliance health check different?
Our confidential transport compliance health check differs from many typical independent compliance audits in that they:
- are bespoke to the needs of your business
- are conducted by specialist transport regulatory lawyers
- consider your operations in the round with a particular focus on reporting structures, transport management arrangements and quality control reviews
- are in a position to report findings to your senior leadership team if required
Our focus is on:
- reducing risk and exposure to your business and your leadership team
- identifying any red-flags or areas of concern at an early stage so that these may be resolved
- providing your team with the information they need to make informed decisions on fleet and operator licence arrangements
- making practical recommendations aimed at reducing risk to your business
If required we can also review your core fleet risk policies to ensure they are in line with current legislation and protect the interest of the company in the event of an incident.
We can also provide bespoke training on transport regulatory matters, both at board level and transport manager level.
Some questions to ask to help you to decide whether your business would benefit from a transport compliance health-check:
Are you involved in any regulatory proceedings with the Office of the Traffic Commissioner, or undergoing a DVSA compliance audit or a transport-related prosecution?
Any involvement with the transport regulator carries with it the risk of escalation. For most companies their operator’s licence will be critical to their business activities. Any intervention by the regulator should prompt a compliance review.
Is there a lack of familiarity or prior experience with fleet risk and operator licence compliance on the part of the senior management team
The statutory directors of a company that hold an operators licence bear ultimate responsibility for any non-compliance that take place under that licence. In the event of an incident it would be the statutory directors summonsed to a Traffic Commissioner’s Public Inquiry. A confidential health check report can quickly identify areas of risk and recommend practical steps that can be taken to address these.
Have any of your drivers or staff been involved in a near-miss event, a conviction or disciplinary action?
Certain transport related incidents are reportable to the regulator and can lead to further escalation. A health check can be a crucial part of an effective response.
Has there been any change to the statutory nominated transport manager or their role?
Transport managers are under a legal duty to exercise “continuous and effective control” over the licence they are nominated on. Operators must be able to satisfy themselves that any changes to the nominated transport manager role do not undermine this duty. A key part of any health check is an assessment of the transport manager function.
Do you have multiple sites, and do those sites sometimes manage their compliance independently of each other and without wider oversight?
Managing compliance across many sites can be challenging, however effective central reporting and monitoring processes are key to a ensuring regulatory compliance and to reducing the risk of “siloing”. A health check will help to identify and recommend are for improvement.
Does the operation of goods vehicle or buses make up only a small part of your overall business?
In some instances there be a tendency for transport compliance to be overlooked or under-resourced, particularly when transport makes up only a small part of a larger business. Nevertheless, the same regulatory requirements apply across the board, regardless of the nature of the business. Any concerns of this kind can be addressed by a transport compliance health check.
Are you intending to apply for a new licence or make any significant changes to the terms of your existing licence (e.g. a substantial fleet increase)?
Applications for licences and variations are made to the Office of the Traffic Commissioner. All such applications will be scrutinised and tested by the regulator. Before making such an application it is always wise to assure yourself as to your own compliance position.
If the answer to any of these questions is, yes, then get in touch to find out more.
