Receiving a call-up letter from a Traffic Commissioner is one of the most stressful experiences an operator can face. Whether you are being called to a public inquiry, asked to provide written representations, or have already been through a hearing and are now subject to undertakings — the path forward can feel uncertain.
One of the most common outcomes of Traffic Commissioner regulatory action is a requirement to undertaken an independent operator licence compliance audit and submit a formal compliance audit findings report.
This article explains how the requirement arises, what it involves, and what operators can do to navigate the process effectively.
Who are the Traffic Commissioners and what powers do they have?
The Traffic Commissioners are appointed by the Secretary of State and are responsible for the licensing and regulation of operators of heavy goods vehicles (HGVs) and public service vehicles (PSVs) in Great Britain. Each of the seven traffic areas in Great Britain has its own Traffic Commissioner, and there is a Senior Traffic Commissioner who provides guidance and direction to the system as a whole.
The Traffic Commissioners hold significant regulatory powers. In relation to operator licences, they can:
- Grant, refuse, vary, curtail, suspend or revoke operator licences
- Call operators, transport managers and directors to public inquiries
- Impose conditions and undertakings on licences
- Disqualify individuals from acting as transport managers or operators
- Issue formal warnings and reprimands
These are not powers that are exercised lightly. When a Traffic Commissioner takes action, it is because the evidence before them, whether from DVSA investigations, operator maintenance records, driver conduct hearings, or whistleblower reports,has given them grounds for serious concern.
What is a Traffic Commissioner public inquiry?
A public inquiry is a formal hearing conducted by a Traffic Commissioner. It is the primary mechanism through which the Traffic Commissioner exercises their regulatory powers in relation to operator licences. Public inquiries are held in public, they appear on the Traffic Commissioner’s published list of hearings, and their outcomes are recorded in published in the monthly document “applications and Decisions” which is a public document.
An operator may be called to a public inquiry for a range of reasons, including:
- A pattern of DVSA roadside prohibitions or maintenance-related failures
- Serious driver hours or tachograph infringements identified during DVSA investigation
- Concerns arising from an operator’s maintenance records or vehicle inspection history
- MOT failures.
- Failure to notify the Traffic Commissioner of relevant changes to the operation
- Issues with the operator’s nominated transport manager, including lack of genuine responsibility or loss of repute
- Concerns about the financial standing of the operator
- Previous licence history, including prior regulatory action
| Public inquiries are adversarial proceedings. The Traffic Commissioner will have before them the evidence that has given rise to the inquiry, and the operator will be expected to address that evidence, explain what went wrong, and demonstrate what has changed. Being well-prepared for a public inquiry, including having evidence of genuine compliance improvement to present, can make a material difference to the outcome. |
What outcomes can result from a public inquiry?
The Traffic Commissioner has a wide range of outcomes available at a public inquiry. These include:
- No adverse action:
Where the evidence before the inquiry does not justify adverse action, or the operator has demonstrated sufficient improvement, the Traffic Commissioner may take no further action other than to issue a warning.
- Formal undertakings:
The Traffic Commissioner may allow the operator to retain their licence subject to specific undertakings, including, commonly, a requirement to commission regular independent compliance audits.
- Curtailment:
The licence may be varied to reduce the number of vehicles authorised, restricting the operator’s capacity until compliance improvements are demonstrated.
- Suspension:
The licence may be suspended for a defined period, during which the operator cannot operate vehicles under the licence.
- Revocation:
In the most serious cases, the licence is revoked entirely. The operator loses the right to operate and may face a period of disqualification before a new application can be made.
How does a compliance audit requirement arise from Traffic Commissioner action?
When a Traffic Commissioner allows an operator to retain their licence following a public inquiry or regulatory review, the undertakings they impose are designed to provide ongoing assurance that compliance is being maintained and improved. A compliance audit requirement is one of the most widely used tools for this purpose.
The audit requirement is typically framed as follows: the operator must commission an independent compliance audit within a specified period, usually, six or twelve months, and must submit the audit findings report to The Office of the Traffic Commissioner. In many cases, the undertaking requires the audit to be repeated at defined intervals, providing the Traffic Commissioner with a regular, verified picture of the operation’s compliance status.
| The independence requirement is strictThe Traffic Commissioner’s requirement for independence is not satisfied by a compliance consultant who has previously worked with the operator, an in-house manager conducting a self-assessment, or a trade association adviser with an existing relationship with the business. The auditor must be genuinely independent with no prior working relationship with them. Operators who submit audit reports from auditors who are not truly independent risk being found in breach of their undertaking. |
What should a Traffic Commissioner compliance audit report contain?
A compliance audit report produced under a Traffic Commissioner undertaking needs to meet a higher standard than a routine internal compliance review. The Office of the Traffic Commissioner, and in some cases the Traffic Commissioner personally will read this document and it must be structured, thorough and credible.
A report of this kind should address, as a minimum:
- The scope and methodology of the audit — what was examined, how, and over what period
- Vehicle maintenance systems and records, including safety inspection frequencies and defect reporting processes
- Driver hours and tachograph compliance, including how infringements are identified and managed
- Operator licence management — currency, operating centre arrangements, transport manager responsibilities
- Driver licence and Driver CPC checks
- Working time compliance where applicable
- Management oversight and the role of the responsible person in day-to-day compliance
- A clear grading or assessment of each area examined
- Specific recommendations for improvement, with priority ratings
- An overall assessment of the operation’s compliance position
The report should be signed by the auditor and include their professional details. It should not be a generic checklist, it should reflect what was actually found at this specific operation, at this specific time.
What happens after the audit report is submitted?
Once the audit report has been submitted to the Traffic Commissioner’s office, the process does not simply end. The Traffic Commissioner will typically expect the operator to:
- Acknowledge the findings of the report in full, including any non-compliances identified
- Provide a written response setting out what action has been taken or is being taken to address each recommendation
- Commission any further audit required under the undertaking, within the specified timeframe
- Notify the Traffic Commissioner’s office of any material changes to the operation or to the compliance position in the interim
Operators who engage proactively with this process demonstrating that they have taken the audit findings seriously and acted on them are in a significantly stronger position than those who submit a report and take no visible further action.
Should you commission an audit before a public inquiry, not just after?
This is a question that operators facing an imminent public inquiry often ask. The answer, in most cases, is yes and the sooner, the better.
Presenting a recent, independent compliance audit report at a public inquiry serves several important purposes:
- It demonstrates to the Traffic Commissioner that you have taken the regulatory concern seriously and have acted without waiting to be directed
- It provides an honest, external assessment of your compliance position that is more credible than a self-assessment
- If the audit identifies problems, it gives you the opportunity to address them before the inquiry and to present evidence of the action you have taken
- If the audit finds compliance to be generally satisfactory, it provides corroboration for the evidence you will present at the hearing
| Proactive audits can influence inquiry outcomesTraffic Commissioners consistently note in their published decisions that operators who demonstrate genuine, proactive engagement with compliance rather than waiting for regulatory intervention are treated more favourably. Commissioning an independent audit before a public inquiry, and acting on its recommendations, is one of the most concrete ways to demonstrate that engagement. |
How OLMC Group supports operators through the Traffic Commissioner process
OLMC Group provides independent compliance audits that are specifically designed to meet the requirements of Traffic Commissioner undertakings. We understand the regulatory context in which these audits are commissioned, the standard that the Traffic Commissioner’s office expects as set out in the audit requirement document, and the importance of producing a report that gives both the operator and the regulator an honest and credible assessment.
Our audits are conducted by experienced, qualified, transport compliance specialists with direct knowledge of the operator licensing system.
If you are subject to a Traffic Commissioner undertaking that requires a compliance audit or if you are facing a public inquiry and want to commission an audit proactively, we would encourage you to get in touch as early as possible.
Preparation time matters, and the quality of the audit report can have a direct bearing on the outcome of the regulatory process.
| Call OLMC Group on 0800 158 8029 or visit www.olmcgroup.co.uk to discuss your situation in confidence. We work with operators across the UK, including those under significant time pressure, and can advise on the most effective approach for your specific circumstances. |
Summary: key points for operators facing Traffic Commissioner action
- A public inquiry can result in undertakings that require regular, independent compliance audits
- The independence requirement is substantive — the auditor must have no prior relationship with your business
- Audit reports submitted under undertakings will be read by the Traffic Commissioner’s office and must be thorough and credible
- Commissioning an audit proactively before a public inquiry can positively influence the outcome
- Failure to comply with audit undertakings is treated as a serious breach and can lead to further regulatory action
- OLMC Group provides genuinely independent audits that satisfy Traffic Commissioner undertaking requirements
About OLMC Group
OLMC Group is a specialist transport compliance consultancy providing independent compliance audits, operator licence management, tachograph analysis, Driver CPC training and Transport Manager CPC support across the UK. Visit www.olmcgroup.co.uk or call 0800 158 8029.
