Guide 7. How to Handle a Public Inquiry into Your Operator’s Licence

A Public Inquiry (PI) into your Operator’s Licence can be a daunting and stressful experience. For many transport operators, receiving notice of a PI may feel like a threat to the very survival of their business. However, with the right preparation and a clear understanding of the process, you can face the inquiry confidently and, in many cases, preserve your licence and reputation.

In this comprehensive guide, we’ll explain:

• What triggers a Public Inquiry

• What happens during a PI

• How to prepare effectively for your case

• What outcomes to expect

• Tips to safeguard your business in the long term

  
  

What is a Public Inquiry?

A Public Inquiry is a formal hearing conducted by a Traffic Commissioner to determine whether a transport operator should be granted, retained, varied, or revoked of their Operator’s Licence. The hearing is part of the regulatory oversight carried out to ensure that only compliant, safe, and professional operators are permitted to operate commercial vehicles.

Traffic Commissioners hold PIs in public (as the name implies), although in rare cases they may be held privately depending on the circumstances. The outcome of a PI can significantly affect your business, so understanding the process is crucial.

What Triggers a Public Inquiry?

A PI can be triggered by a number of issues related to compliance, safety, or business conduct. Some of the most common reasons include:

1. Serious Roadworthiness or Maintenance Failures

If your fleet is found to have persistent vehicle defects, a history of MOT failures, or unroadworthy vehicles, it raises concerns about your maintenance systems and overall commitment to safety.

2. Tachograph and Driver Hours Breaches

Non-compliance with drivers’ hours regulations, failure to download tachograph data, or improper analysis can lead to serious legal implications and a PI.

3. DVSA Investigations

An unsatisfactory DVSA (Driver and Vehicle Standards Agency) audit or roadside check — particularly one showing systemic failings — can prompt the DVSA to refer you to the Traffic Commissioner.

4. Transport Manager Issues

If your nominated Transport Manager is found to be ineffective or absent, or if their repute is in question, it could result in a PI. The Transport Manager is vital to compliance, and any failings here are taken seriously.

5. Failure to Notify Material Changes

Operators are legally obligated to notify the Traffic Commissioner of changes in company structure, business address, financial standing, or Transport Manager status. Failure to do so may be seen as an attempt to avoid scrutiny.

6. Convictions or Serious Allegations

Criminal convictions — especially those related to dishonesty, transport offences, or safety — can prompt an inquiry into whether you still meet the requirement to be “fit and proper.”

7. Loss of Financial Standing

If your business is no longer able to meet the required financial thresholds for operating vehicles (set periodically by the Department for Transport), your licence could be reviewed at a PI.

8. Anonymous Complaints or Whistleblowing

Sometimes, PIs are triggered by anonymous reports — from employees, ex-drivers, or members of the public — regarding illegal operations, safety breaches, or poor treatment of drivers.

What Happens During a Public Inquiry?

A PI is a legal proceeding, albeit less formal than a courtroom trial. Here’s what you can expect during the process:

1. Notice of Inquiry (NoI)

You’ll receive a Notice of Inquiry from the Office of the Traffic Commissioner. This will set out the reasons for the PI and list the concerns the Commissioner will consider. It will also confirm the date, time, and location of the hearing.

2. Preparation Time

You’ll typically be given several weeks’ notice to prepare your case. During this period, you may be asked to submit evidence, witness statements, or documentation to the Office of the Traffic Commissioner.

3. The Hearing

The PI itself takes place at a public hearing, usually held in one of the regional Traffic Commissioner offices. The key participants include:

• The Traffic Commissioner, who acts as judge

• The operator (or company directors)

• The Transport Manager (if applicable)

• DVSA representatives (if they initiated the referral)

• Legal representatives or compliance consultants, if appointed

• Witnesses (sometimes)

The Traffic Commissioner will lead the hearing, asking questions about your systems, procedures, staff, and incidents that triggered the inquiry. They will explore whether you are fit to hold a licence and if any conditions, suspensions, curtailments, or revocations should be applied.

You’ll have the opportunity to respond, present your case, and demonstrate that issues have been or are being rectified.

4. Possible Outcomes

The Traffic Commissioner can impose a range of decisions, including:

• No action taken (in rare cases)

• Formal warning

• Undertakings or conditions added to the licence

• Licence curtailment (reducing the number of vehicles you can operate)

• Suspension of the licence

• Revocation of the licence

• Disqualification of directors or Transport Manager

• Refusal of application, in cases of new applicants

The outcome depends on how serious the concerns are, how credible your response is, and how effective your remedial actions have been.

How to Prepare Your Case Effectively

Being well-prepared is your best defence at a Public Inquiry. Here’s how to prepare thoroughly and maximise your chances of a positive outcome:

1. Engage a Specialist Transport Solicitor or Consultant

Professional advice is critical. Experienced solicitors or compliance consultants understand what Traffic Commissioners are looking for and can help you prepare your case, gather evidence, and represent you at the hearing. Self-representation is risky unless you are well-versed in operator licensing law.

2. Review the Notice of Inquiry Carefully

Understand each of the issues raised. Identify what evidence you need to address each concern — whether it’s maintenance records, financial evidence, compliance systems, or staff training documentation.

3. Audit Your Business Internally

Carry out a full compliance audit across your business. This includes checking:

• Maintenance schedules and records

• Tachograph data download and analysis

• Driver licence checks

• Working time compliance

• Transport Manager duties and effectiveness

• Record-keeping systems

Any issues found must be documented and actively addressed.

4. Implement Immediate Corrective Actions

If shortcomings are identified, start making improvements before the hearing. Traffic Commissioners are far more lenient when they see operators taking responsibility and making proactive changes. Some examples include:

• Engaging a third-party maintenance provider

• Upgrading tachograph analysis software

• Sending staff for compliance training

• Replacing an ineffective Transport Manager

• Submitting to a voluntary DVSA audit

Bring clear evidence of these steps to the PI.

5. Gather Evidence of Compliance and Remediation

Organise all documentation that supports your case, such as:

• Maintenance reports and inspections

• Copies of defect reports

• Financial records proving financial standing

• Evidence of disciplinary actions taken against non-compliant staff

• Training certificates

• Policies and procedures

Ensure everything is well-labelled and indexed.

6. Prepare a Statement or Written Representation

A clear, honest statement that explains the circumstances, your response to the issues, and your commitment to compliance can go a long way. Traffic Commissioners appreciate transparency and remorse when justified — but also expect evidence of competence and future planning.

7. Make Sure Your Transport Manager is Prepared

If your TM is expected to attend, ensure they are fully briefed. They may be questioned in detail about their day-to-day involvement, qualifications, and compliance oversight.

How the Traffic Commissioner Assesses Your Case

Traffic Commissioners are bound by the statutory requirement to ensure that licence holders are:

• Of good repute

• Financially sound

• Professionally competent

• Compliant with licence conditions

Their role is not to punish but to protect the public and ensure fair competition among compliant operators. When assessing your case, they will consider:

• The seriousness of the original failings

• The steps taken to remedy those failings

• The credibility of your evidence and witnesses

• The attitude of the operator and management team

• Any history of previous warnings or PIs

They have significant discretion but are generally fair and proportionate when operators demonstrate genuine efforts to improve.

Long-Term Strategies to Stay Compliant

If you’ve had a PI, especially one that led to curtailment or a formal warning, it’s vital to learn from the experience and put long-term safeguards in place:

1. Regular Internal Audits

Schedule quarterly or bi-annual audits of your compliance systems — including spot-checks on vehicle maintenance, driver hours, and licence checks.

2. Ongoing Training

Ensure that drivers, management, and your Transport Manager receive regular updates on compliance regulations and best practices.

3. Upgrade Systems

Invest in modern compliance software to manage tachographs, maintenance schedules, and driver management more efficiently.

4. Monitor KPIs

Set key performance indicators (KPIs) for vehicle safety, driver infringements, and defect reporting to monitor compliance trends and identify problems early.

5. Stay Engaged with the Industry

Attend trade association meetings (e.g., RHA or FTA events), subscribe to transport law updates, and maintain good lines of communication with DVSA and the Traffic Commissioner’s office.

Conclusion

A Public Inquiry doesn’t have to be the end of the road — but it is a serious process that demands careful attention and professional preparation. By understanding what triggers a PI, knowing what to expect during the hearing, and putting in the work to present a compelling, credible case, you stand a much better chance of securing a favourable outcome.

Remember: the key is not perfection, but commitment to compliance and the willingness to fix mistakes.

If your business is facing a PI, take it seriously — and act early. With expert advice, honest reflection, and solid preparation, you can protect your Operator’s Licence and put your business back on the road to success.