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External audits have always been a vital part of any compliant operation. Due to the current public health risks of physical visits to sites, the TCs have reviewed the process. They have agreed that, as audits must continue during lockdown, they can be accepted when done remotely, as a temporary measure.
Remote audits require an operator to provide documentary evidence to an auditor, who will then follow up by phone call or preferably video conferencing.
The traffic commissioners have set specific standards that the remote audits need to meet in order to be acceptable. These standards can be found in the remote audits framework document which was published recently on gov.uk.
Robust external auditing systems are vital part of running a compliant and safe operation. Internal auditing has a place, but this is rather like marking your own homework. There is enormous benefit in a subject matter expert from outside the business validating your systems.
Compliance audits:
- are often requested as an undertaking (agreed to by the Operator) on the Licence by the Traffic Commissioner to provide assurances of compliant systems
- are occasionally a condition for grant of the licence (if there is adverse compliance history), after an adverse DVSA investigation, or at a public inquiry if further assurances are required
- are a useful way of providing assurances to the Operator that compliance is of at the required standard and that the Transport Manager and drivers are performing to the standard expected
- can provide a transport operation striving to continuously improve with an action plan to refine systems, providing external validation
- allow another means, alongside personal professional development of staying up to date with the most current legislation and best practice
We recommend you keep up to date with all the information we have published around remote audits by reading:
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