The Traffic Commissioners (TCs) have agreed to accept operator compliance audits that have been carried out by remote means, subject to them adhering to the approach outlined in a guidance document. It is a temporary concession during the coronavirus COVID-19 pandemic.
The standard evidence framework has been updated with the minimum necessary evidence required. The following principles apply to operators that undertake remote compliance audits:
- They may scan or photograph documents to send to the auditor. Each must be complete and easy to read. It is suggested that Dropbox or Sharepoint may be useful
- They should make use of publicly available information such as that relating to MoT history or tax status
- VOL login details must not be shared with auditors
- Software such as Microsoft Teams should be used to share screens so the auditor can check items such as tachograph and maintenance records that are stored electronically
- They may, at their own risk, provide auditors with remote access to online compliance systems, such as those relating to drivers’ hours or maintenance
- Interviews and debrief meetings between the operator and auditor should be carried out via software that allows all parties to see each other.
For auditors, the guidance states that:
- They must confirm the identity of operator representatives before an interview or debrief meeting commences
- The debrief meeting should be with a Director, a Partner or the sole trader, and with the Transport Manager for standard licences
- Where no evidence is available, it should be stated as such. Verbal assurances from the operator “carry little weight”.
Appropriate sample sizes are outlined in the guidance document.
