Institute of Transport Administration

Educating Transport Management since 1944

Systems Compliance Audit

The IoTA Systems Compliance Audit is offered in response to an increasing requirement from the 'competent authorities' that record systems and working practices should be under constant review, should always remain fit for purpose and be audited. 

Compliance forms an important part of the undertakings or agreement operators enter into when applying for their operator licence.  It is something that must be ongoing and evolves to encompass new rules and practices.

Systems and practices in place need to be capable of demonstrating a clear adherence to Regulations, best practice and expectations of the regulatory authority and enforcement agencies and often operators decide to ensure their systems are working by undertaking to have a periodic audit, or can be directed to do so by the Traffic Commissioner.

IoTA’s systems compliance audit is designed to assist operators of all sizes in both the passenger and freight road transport industries, whether operating under Restricted, Standard National or International Licences.  The audit follows a set down procedure aligned to accepted industry and regulatory guidance standards, whereby the practices, procedures and record systems are reviewed during a visit to the operation.

Registered IoTA auditors are long served within the road transport industry and have the required knowledge to undertake the review of the operation.  They are always approachable and willing to discuss the latest industry requirements, the implementation of suitable systems and procedures and offer recommendations to maintain or introduce compliance standards where required.

The audit which can be full or partial based on the requirements of the operator, or indicated by the Traffic Commissioner, is undertaken at the operators premises and usually involves the auditor spending a day at the operating centre to gather information and understand how the systems, procedures and practices in place are utilised.  All areas of the operation are included in the visit to site to observe and report on the facilities available and the usage, plus contact with drivers and members of staff.

A full detailed report containing the observations and findings is provided within which compliance standards being met and opportunities for improvement are identified together with clear recommendations to achieve and maintain compliance standards.    

The IoTA audit includes a review of the following procedures:

  • Operator Licence compliance, undertakings, notifications and communication of changes
  • Security of the company or business entity, notification and communication of changes
  • Driver and Staff Management, employment, policies, procedures and practices
  • Transport Manager or Responsible Person competence and effective control
  • Vehicle Maintenance, Tyres and Wheel Security, Planning, facilities, documentation and record keeping
  • Defect Reporting procedures and record keeping
  • Drivers Hours and Working Time and record keeping
  • Prohibition history, procedures and rectification
  • Driver Licensing, D-CPC, monitoring and compliance
  • Review of vehicle files and records


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