In-Person or Remote? How to Make Your Earned Recognition Audit Faster, Cheaper and Less Disruptive

A DVSA Earned Recognition audit does not have to mean several days of disruption, crowded meeting rooms or managers spending hours searching for records while an auditor waits.

Many of the systems and documents reviewed during an Earned Recognition audit are now held electronically. Depending on the operator, the audit provider and the complexity of the business, this may make it possible to complete some or all of the audit remotely.

That does not mean a remote audit is automatically the best choice for every operator. Some businesses will benefit from having the auditor on site, particularly where records are held across different systems, several operating centres are involved or processes need to be discussed in person.

The right format is the one that allows the auditor to examine the required evidence properly while placing as little unnecessary pressure on the operation as possible.

The standard does not change

Whether an Earned Recognition audit is carried out remotely or in person, the operator must still meet the same published standards.

The auditor must be authorised by the DVSA and will assess the operator’s systems, processes and evidence against the relevant HGV or PSV audit criteria. These standards set out what operators need to achieve, how they will be assessed and the evidence they may need to provide.

A remote audit is not a reduced audit.

The auditor still needs enough evidence to reach a reliable conclusion. Documents must be complete, records must be accessible and the relevant people must be available to answer questions.

The main difference is how that evidence is reviewed.

How does a remote audit work?

During a remote audit, the operator normally provides access to the required records electronically. Meetings and interviews may then be completed using a video call or another agreed platform.

The exact process will vary between audit providers, but it may include:

• A planning call before the audit
• A list of documents and evidence to prepare
• Secure electronic document sharing
• Access to relevant compliance systems
• Video interviews with responsible managers
• Live demonstrations of processes or software
• Follow-up requests where further evidence is needed
• A closing discussion to explain the outcome

The operator should agree the practical arrangements with the audit provider before booking. Not every business or audit will be suitable for a fully remote approach.

The benefits of a remote audit

For a well-prepared operator with organised electronic systems, a remote Earned Recognition audit can be an efficient option.

There is no need to provide a meeting room for the full audit or manage an additional visitor on site. Managers may also be able to join the relevant sections without spending the whole day away from their usual responsibilities.

Travel time and associated expenses may be reduced, although the audit provider will determine its own charges and should explain what is included in the quotation.

Remote access can also make it easier to involve people based at different operating centres. A transport manager, fleet engineer or compliance administrator can join when their input is required without travelling to one location.

This can make the process less disruptive, but only when the records have been prepared properly.

When an in-person audit may be better

Remote audits are not automatically quicker.

Where records are poorly organised, kept mainly on paper or spread across several systems, attempting to complete the audit remotely may create more work. Documents may need to be scanned, files may be difficult to locate and repeated follow-up requests can slow the process down.

An in-person audit may be more appropriate where:

• A large proportion of records are paper-based
• The operation is particularly complex
• Several licences or operating centres are involved
• Systems have changed since the previous audit
• The operator has recently expanded or restructured
• Key staff would benefit from discussing processes face to face
• Internet access or document-sharing facilities are unreliable
• The auditor needs to understand how systems work across the site

Having the auditor present can make it easier to work through complex evidence and ask questions as the review progresses.

For some operators, the additional travel cost is outweighed by the practical benefits of completing the audit on site.

A hybrid approach may work

The choice does not always have to be entirely remote or entirely in person.

A hybrid audit may allow much of the document review to be completed remotely, followed by a shorter site visit or focused meeting where necessary.

For example, policies, maintenance records, drivers’ hours reports and management review documents could be submitted electronically in advance. The auditor may then use the site visit to speak to relevant personnel, examine any remaining evidence and confirm how the procedures operate in practice.

This can reduce the amount of time the auditor needs to spend at the operating centre without limiting the quality of the assessment.

The availability of a hybrid approach should be discussed directly with the audit provider.

Preparation makes the biggest difference

The format of the audit matters, but preparation usually has a greater effect on its speed and cost.

A well-organised in-person audit can be more efficient than a poorly prepared remote one.

Before the audit, ask the provider for a clear evidence list and timetable. Identify who will be responsible for each part of the audit and make sure those people are available when needed.

Records should be clearly named, current and easy to navigate. Avoid sending large folders of unlabelled documents and expecting the auditor to identify what is relevant.

It can help to organise evidence around the sections of the Earned Recognition audit standard. The DVSA publishes separate standards for HGV and PSV operators, including the assessment criteria and types of evidence required.

Check your evidence before submitting it

Preparing quickly is not the same as preparing properly.

Before records are shared, check that they are complete and support the procedure being assessed.

For example, if your policy states that drivers’ hours infringements are reviewed and followed up, the evidence should show that this happens consistently. Providing the policy without the associated reports, debriefs or management action is unlikely to be enough.

Similarly, maintenance records should allow the auditor to follow the process from inspection and defect reporting through to rectification and review.

Useful evidence may include:

• Operator licence management records
• Maintenance agreements and inspection records
• Driver defect reports
• Tachograph analysis and infringement records
• Working time records where applicable
• Driver training and licence checks
• KPI reports
• Policies and procedures
• Internal audit records
• Management reviews and follow-up actions

The exact requirements will depend on the operator and the standards being assessed.

Test the technology

Technical problems can quickly remove the time saved by choosing a remote audit.

Before the day, check that the video platform works, the internet connection is reliable and the necessary staff can access the shared documents.

Make sure any links provided to the auditor are active and that permissions allow the records to be viewed. Sensitive information should be shared using a secure method agreed with the audit provider.

Where the auditor will need to see software in operation, decide who will share their screen and make sure they understand the relevant system.

It is also sensible to have a backup contact method in case the video connection fails.

Avoid sending everything

Some operators try to prepare for an audit by sending every compliance record they hold.

This can make the audit slower rather than faster.

A large quantity of poorly organised evidence makes it difficult to identify whether the required standard has been met. Instead, follow the auditor’s sampling instructions and provide the records requested.

The provider should explain the sample periods, vehicles, drivers or operating centres to be reviewed. The DVSA requires authorised providers to complete the audit document and follow the scheme’s sampling requirements across the relevant compliance areas.

Do not hide problems, but do not bury the relevant evidence among hundreds of unnecessary files either.

Make the right people available

An auditor may need more than documents.

They may want to speak to the transport manager, maintenance team, compliance staff or another person responsible for a particular system.

The person presenting the evidence should understand how the process works rather than simply knowing where the files are stored.

For a remote audit, meetings can often be scheduled so that people join only when needed. This helps minimise disruption, particularly where managers work at different locations.

Provide the auditor with a clear list of contacts beforehand and confirm when each person will be available.

Ask what the quotation includes

Each authorised audit provider sets its own fees, and the DVSA does not publish a fixed price for Earned Recognition audits. Operators must use a DVSA-authorised provider for the initial audit and the periodic audit required every two years.

When comparing remote and in-person options, ask for a clear quotation.

Check whether it includes:

• Audit planning and preparation
• Review of documents submitted in advance
• Auditor travel and accommodation
• Additional operating centres
• Extra Earned Recognition modules
• The audit report
• Follow-up work or further evidence
• VAT

A remote audit may reduce travel-related costs, but it should not be assumed that it will always be substantially cheaper. The amount of work required to assess the operation remains important.

A clear scope allows operators to compare providers properly and avoid unexpected charges later.

Choose the format around your operation

There is no single audit format that will be right for every HGV or PSV operator.

A remote audit may suit a business with electronic records, reliable systems and a management team spread across several locations. An in-person audit may be more efficient where processes are complex, records are paper-based or the operator wants more face-to-face support.

The best approach is to speak to the audit provider early, explain how the business operates and agree a format that allows the required evidence to be assessed properly.

Whichever option you choose, preparation is what makes the audit faster, more cost-effective and less disruptive.

Total Compliance is listed as a DVSA-authorised Earned Recognition audit provider and supports both HGV and PSV operators. To discuss the most suitable approach for your next audit, contact the team on 0345 900 1312 or email info@totalcompliance.co.uk.