Simple questions on a Compliance Audit which get less than simple answers.

When looking at a Compliance Audit you’ll be surprised how many times Operators are caught out by some basic questions ;-

  1. Are the Directors listed on the Operator Licence the same as those listed on Companies House?
  2. Are the Maintenance Providers currently carrying out work on your vehicles consistent with those listed on the Operator Licence?
  3. Are the full addresses of any operating centre consistent with those listed on the Operator Licence?


Directors come and go and while people may notify Companies House they often forget to update the Licence. There has been a change to the “Persons with significant control”.

Maintenance providers

Maintenance providers may be added – and the Operator Licence overlooked. There has been a significant change to your maintenance arrangements.

Operating Centre ownership

A 3rd party Operating Centre may change hands, the appropriate rental agreements put in place, but written permission from the new owner has not been sought.

When an Earned Recognition or FORs Auditor asks “How often or when was the last time you reviewed your Operator Licence?” these are exactly the kind of things they are expecting you to be on top of.

A Compliance Audit is not there to trip you up or trick you – it is there to improve your business.

From establishing how well your processes are working to identifying competence in your maintenance provision – this is what We do.

Could you be doing better? Could Driver behaviours be improved? Could communication with your Maintenance Provider be improved?

We will identify room for improvement and provide recommendations on how to go about it.

We consult for a number of clients and help them prepare for a Compliance Audit – for Earned Recognition, FORs or in preparation for, or following on from a Public Inquiry.

If you need help in these circumstances, or want some oversight on how you are meeting your Operator Licence undertakings Contact Us for more information

Compliance Audit