COMPLIANCE CONSULTANCY

I have extensive experience undertaking compliance audits and reviews across the transport sector, including acting as:

• A senior auditor within the logistics and transport sector

• Lead auditor for the Fleet Operator Recognition Scheme (FORS)

• Auditor for DVSA Earned Recognition

• Auditor undertaking full compliance reviews, including those linked to Traffic Commissioner referral

I also hold Transport Manager CPC qualifications in both goods vehicles and passenger carrying vehicles, together with ISO 9001 Internal Auditor qualifications. This combination of regulatory, audit and operational knowledge informs how I advise operators and how I structure compliance systems.

Compliance consultancy often begins with a structured review or operator licence health check. This is designed to identify weaknesses early and provide a clear, prioritised plan for improvement.

Reviews typically examine:

• Operator licence undertakings and authorisations

• Transport manager oversight and governance

• Maintenance systems, safety inspections and defect reporting

• Drivers' hours and tachograph controls

• Working time systems and record keeping

• Driver training, behaviour and disciplinary processes

• Document control and evidence quality

• Management information and escalation procedures

The focus is on practicality, credibility and evidencing effective control.

I assist operators preparing for audits and assessments, including:

• Fleet Operator Recognition Scheme audits

• DVSA Earned Recognition audits

• Internal audits and mock audits

• Audits linked to enforcement activity or referral risk

Pre audit support includes gap analysis, document review, system testing and evidence preparation, helping operators approach audits with confidence and clarity.

Policies are frequently scrutinised during audits, assessments and regulatory proceedings. Generic or off-the-shelf documents often undermine credibility. Effective policies must reflect how the operation actually functions and how risk is managed day to day.

I prepare bespoke policies tailored to the size, scope and risk profile of the operation, including those commonly examined during FORS, Earned Recognition and Traffic Commissioner scrutiny.

Operator licensing and governance
• Operator licence disc control
• Management of non-operator licence vehicles, drivers and equipment
• Compliance monitoring and internal audit
• Regulatory engagement and enforcement response

Maintenance and roadworthiness
• Vehicle maintenance and safety inspections
• Minimum competence standards for maintenance staff
• First use inspections
• Vehicle off-road management
• Brake performance assessment
• Wheel and tyre management
• Prohibitions and safety-critical defects

Drivers, defects and vehicle use
• Driver walkaround checks and defect reporting
• Incident and near-miss reporting
• Scheduling and routing, including bridge strike avoidance
• Weight compliance monitoring
• Height compliance and bridge strike prevention
• Loading, stowage and luggage management

Drivers' hours, tachographs and data
• Drivers' hours compliance
• Tachograph use and data downloading
• Third-party and external analysis of data
• Working time compliance
• Multi-employer working arrangements

Passenger and PSV specific
• Public Service Vehicles Accessibility Regulations (PSVAR) compliance
• Passenger safety responsibilities
• Customer and public feedback handling

Conduct, behaviour and workforce management
• Recruitment and vetting
• Driver behaviour and professional standards
• Disciplinary procedures
• CPC training and continuing professional development for drivers and transport managers

Safety, health and risk management
• Road traffic legislation and Highway Code compliance
• Work-related road safety
• Safe and considerate parking away from base
• Drink, drugs and driver health
• Staff fatigue management
• Mobile phone and in-cab technology use
• Additional vehicle safety features and equipment
• Evacuation procedures
• Whistleblowing
• Health and safety management
• Security

Policies are drafted to be practical, auditable and capable of being evidenced, rather than existing only on paper.

Compliance consultancy is often required following:

• DVSA investigations or desk-based assessments
• Prohibitions or adverse roadside trends
• Senior Team Leader meetings
• Preliminary hearings or public inquiries
• Traffic Commissioner referrals

I assist operators in addressing identified issues, implementing remedial actions and presenting evidence of improvement in a structured and credible way.

For some operators, ongoing support is appropriate. This may include:

• Periodic compliance reviews
• Audit readiness checks
• Support for transport managers
• Policy updates following regulatory change
• Advice on growth, variation and restructuring

Support is tailored to operational needs.

You should consider taking advice if:

• You are preparing for a FORS or Earned Recognition audit
• You want to de-risk compliance before enforcement action
• Your business is growing or changing
• DVSA or the Traffic Commissioner has raised concerns
• You want to strengthen evidence of management control
• Existing policies and systems are outdated or generic