10 Things that can Trigger a Public Inquiry

Complacency or Compliance - Your Choice?

Zed Aziz

Public inquiries (PIs) are formal proceedings conducted by the Traffic Commissioner to investigate potential issues related to an operator's compliance with transport regulations. These inquiries can have significant implications, including the revocation of operator licenses.

While the following ten triggers can result in a Public Inquiry (PI) at the Transport Commissioner’s Office, it’s important to understand that most issues do not lead directly to a PI. Instead, they often pass through various stages of assessment and remediation. For instance, an S Mark Prohibition might lead to a Maintenance Inspection Visit Report (MIVR) or a Desk-Based Assessment (DBA). If these assessments are unsatisfactory, they could escalate to a PI. Essentially, various compliance issues might travel different paths, but all roads eventually lead to Rome when it comes to ensuring transport safety and regulatory adherence.

Here are ten key triggers that can lead to a Public Inquiry at the Transport Commissioner’s Office:

1. Maintenance Failures

Driver Daily Walkaround Checks: Vehicle maintenance outside of the stipulated safety inspections (PMIs) involves the identification and rectification of faults, which is the responsibility of the drivers. Daily walkaround checks by drivers are the centrepiece of any maintenance strategy. Not administering robust driver walkaround procedures, including the process of raising any faults and ensuring their rectification, is probably one of the most common reasons for PIs.
Failure to Rectify Defects: If an operator does not promptly address and rectify defects identified during vehicle inspections, it can lead to a PI. Ignoring vehicle safety warnings and not taking corrective action can indicate poor management.
Poor/Unsatisfactory MIVR: Maintenance Inspection Visit Report (MIVR) is an evaluation conducted by the DVSA to assess the adequacy of an operator's maintenance systems and procedures. An unsatisfactory MIVR result can indicate serious deficiencies in vehicle maintenance practices and trigger a PI.
Inadequate Vehicle Maintenance: Regular maintenance of vehicles is a legal requirement. Failures or lapses in vehicle maintenance that lead to unsafe conditions or frequent breakdowns can trigger a PI. This includes not adhering to planned maintenance schedules or neglecting routine checks.
Serious MOT Failures: Multiple or severe MOT failures can indicate systemic issues in vehicle maintenance and compliance. This can prompt a PI to investigate the reasons behind the failures and ensure that corrective actions are being taken.

2. Driver Hours Issues

Tachograph and Drivers’ Hours Violations: Non-compliance with tachograph regulations and drivers’ hours rules is a serious offence. Persistent breaches, such as manipulating tachographs or failing to ensure drivers take required rest breaks, can trigger a PI.
Driving Without the Correct Licence or CPC: Allowing drivers to operate vehicles without the correct licenses or Driver Certificate of Professional Competence (CPC) can lead to a PI. This includes failure to regularly check and verify driver qualifications. It is the responsibility of the operator to exercise due care by checking the validity of all licences and having a risk mitigation strategy for drivers with more than six points on their licence or where the driver's licence, tachograph card, or CPC card are due to expire soon.
Poor/Unsatisfactory TIVR: Traffic Inspection Visit Report (TIVR) is conducted by the DVSA to evaluate an operator’s compliance with drivers’ hours, tachograph regulations, and other traffic-related requirements. An unsatisfactory TIVR can highlight significant non-compliance issues, prompting a PI.

3. Operator Licensing Breaches

Exceeding Authorised Vehicle Numbers: Operating more vehicles than authorised under the operator’s licence can trigger a PI. This includes temporary increases without proper authorisation from the Traffic Commissioner.
Unauthorised Operating Centres: Using operating centres not listed on the operator’s licence can result in a PI. All vehicle depots and parking locations must be approved and listed on the licence.

4. Financial Standing Issues

Failure to Maintain Financial Standing: Operators must demonstrate adequate financial resources to run their business. Falling below the required financial threshold or failing to provide evidence of financial standing can trigger a PI.
Insolvency or Bankruptcy: If an operator becomes insolvent or bankrupt, it can lead to a PI. Although the business might be ceasing to trade, the Traffic Commissioner may still seek to establish whether the current directors should have their repute tarnished or not, ensuring whether they can apply for an operator licence again in the future.

5. Compliance Audits and Reports

Negative Compliance Audit Results: Adverse findings from compliance audits, such as those conducted by DVSA or external auditors, can trigger a PI. These audits assess various aspects of operational compliance, and poor results indicate systemic issues.
Unsatisfactory Desk-Based Assessment: The DVSA conducts desk-based assessments to review an operator’s records and systems without a site visit. An unsatisfactory result from such an assessment, indicating poor record-keeping or systemic non-compliance, can trigger a PI.

6. Legal and Criminal Issues

Convictions and Penalties: Convictions for transport-related offences or other serious crimes by the operator or their staff can lead to a PI. This includes offences like tachograph fraud, smuggling, or drug trafficking.
Public Complaints and Whistleblowing: Complaints from the public, employees, or other stakeholders regarding unsafe practices, environmental concerns, or non-compliance can lead to a PI. Whistle-blower reports are taken seriously by the Traffic Commissioner.

7. Health and Safety Concerns

Serious Accidents or Incidents: Involvement in serious accidents or incidents, especially those resulting in fatalities or serious injuries, can trigger a PI. The Traffic Commissioner will investigate to determine if the operator’s practices contributed to the incident.
Environmental and Safety Breaches: Breaching health, safety, or environmental regulations, such as unsafe loading practices or hazardous waste transport, can lead to a PI. Non-compliance with these regulations poses significant risks to public safety.

8. Operational Management Failures

Lack of Professional Competence: Failure to ensure that Transport Managers or those in key management roles possess the necessary qualifications and competence can trigger a PI. This includes failing to replace a departing Transport Manager promptly.
Non-compliance with Undertakings: Operators make specific undertakings when they apply for a licence. Failure to comply with these undertakings, such as implementing robust compliance systems or maintaining adequate records, can lead to a PI.

9. Unsatisfactory Assessments and Prohibitions

S Mark Prohibition: An S mark prohibition is issued when a vehicle is found to have serious mechanical defects that pose an immediate risk to road safety. These prohibitions are marked with an ‘S’ to indicate their severity and can prompt a PI if found repeatedly.
Repeated Prohibition Notices: Receiving multiple prohibition notices for vehicle defects or other compliance issues can trigger a PI. These notices indicate serious safety concerns that need addressing.

10. Inadequate Administrative Practices

Failure to Keep Accurate Records: Operators are required to keep accurate records of their operations, including maintenance schedules, drivers’ hours, and other compliance-related documents. Falsifying records, incomplete record-keeping, or failure to produce records when requested can trigger a PI. Accurate record-keeping is essential to demonstrate compliance with regulatory requirements.
Lack of Training for Staff: Operators are responsible for ensuring that their staff, including drivers and maintenance personnel, receive adequate training to perform their duties safely and in compliance with regulations. Inadequate training programmes or failure to provide necessary training updates can lead to a PI.

My final thoughts: Complacency or Compliance - Your Choice?

As an experienced Transport Manager with a wealth of experience in performing audits and attending Public Inquiries, I cannot stress enough the importance of compliance in the transport industry. Compliance is not something to be taken lightly or gambled with, like in a lottery where "it could be you." The consequences of non-compliance can be severe and far-reaching.

As operators and Transport Managers, you must always be mindful that your drivers are operating "killing machines." Ensuring strict compliance is not just about avoiding penalties; it is about ensuring the safety of everyone on the road. Firefighting non-compliance issues is far more costly and disruptive than maintaining high standards from the outset. Businesses can and do go under when things go wrong because, without tight compliance, issues can escalate catastrophically.

Accidents will happen, but robust compliance can mean the difference between being implicated and walking away unscathed. Even if an incident occurs where your vehicle is on the receiving end of another driver’s fault, knowing that you did everything right and complied with all regulations can save you from guilt and remorse. It ensures that the blame game does not come to your door.

Compliance is a mindset and a behaviour that starts with top leadership, regardless of the size of the organisation. As a military general once said to a group of cadets at a passing ceremony, "Your day starts when you get up and make your bed meticulously every day." For drivers, their day starts with a meticulous walkaround of their vehicles every day. This attention to detail and commitment to safety is the foundation of a compliant and successful transport operation.

Stay vigilant, stay compliant, and ensure that every aspect of your operation meets the highest standards. Your reputation, your business, and lives depend on it.