Compliance and Management Control Audit

The FTA Consultancy team can undertake an audit of your operation. The scope is to undertake a compliance and management control audit and procedures review and to prepare a report and action programme for the site, detailing any steps required to ensure legal compliance with the requirements of O licence operation.

What does this consultancy service include?

  • Establish whether the areas at present covered by the procedures fully reflect current legislation
  • Identify any aspects of the present procedures that need updating
  • Conduct an audit of the company’s compliance with these procedures
  • Produce a report and action plan as a result of the audit

What areas are covered in the audit?

Management of compliance

  • Investigation as to the extent to which the operator licence responsibilities of the management of the location are understood by the relevant managers

Management controls of the operator’s licence

  • Operator’s licence procedures including:
    • arrangements for ensuring compliance with operator licence requirements
    • arrangements for complying with any special undertakings that may apply
    • applying for variations or additions to licences
    • keeping records for operator’s licence purposes

Management of drivers’ hours and records

  • Compliance with the requirements of the Working Time Directive
  • Arrangements for tachograph records analysis including:
    • procedures for following up driver infringements
    • action taken to avoid recurrences of infringements
    • arrangements for training new drivers and refresher training for existing drivers

Vehicle maintenance and inspection arrangements

Routine service inspections, planning and execution including:

  • MOT checks
  • drivers’ daily checks
  • driver defect reporting arrangements including rectification of defects reported

Procedures in the event of a road accident

Driver and management procedures including:

  • action at the scene of an accident
  • reporting procedures
  • accident repairs
  • accident records including:
    • investigations and follow up action in respect of poor driver performance
    • claims against the company
    • prosecutions and summons
    • insurance company details

Arrangements for hiring of vehicles

Management and control including:

  • arranging hire of a vehicle
  • checks on taking delivery of a hired vehicle
  • returning a hired vehicle

Goods vehicles management

  • Driving licences
  • Loading/unloading of vehicles
  • Overloading of vehicles

Offences, investigations and follow up action in respect of:

  • prohibition notices
  • road traffic offences
  • graduated fixed penalties

General items including:

  • authorised use of vehicles
  • vehicle taxation

What actions need to be taken

FTA provides a detailed recommended action programme. These are given priority ratings as follows.
1 = Essential 2 = Important 3 = Desirable

In addition, each recommendation will be given a timetable date for completion as follows which will reflect a combination of the practicality of completion and the urgency of the recommendation.

A = Action within 1 month
B = Action within 1 - 2 months
C = Ongoing, but with review at least every 3 months

How do I get more information?

Call 08717 11 22 22* to speak to our Member Service Centre who can discuss the best service for you. Alternatively email consultancy@fta.co.uk.

* Calls may be recorded for training purposes