HVA scheme audits

To be granted accreditation, the NHVR must be satisfied that an operator’s SMS has met the SMS Standard. A HVA scheme approved auditor will conduct audits at specific time intervals to assess an operator’s SMS.

The National Audit Standard (NAS) supports consistent, transparent, and fair auditing processes for the HVA scheme.

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Present, Suitable, Operating, Effective method

The Present, Suitable, Operating, Effective (PSOE) method is used to assess how well a Safety Management System (SMS) works in practice. It looks beyond whether documents exist and focuses on whether the system is fit for purpose and delivering the outcomes it is designed to achieve.

By assessing each criteria as Present, Suitable, Operating and Effective, PSOE provides a practical and consistent way to evaluate performance. It supports a more meaningful view of assurance by helping identify whether systems are established, proportionate to the operation, embedded in everyday activities, and producing the intended safety outcomes.

Example of Present, Suitable, Operating and Effective, PSOE method
Figure 1: Present, Suitable, Operating and Effective, PSOE method

The PSOE method applies to all audits conducted during an operator’s accreditation lifecycle including:

  • entry audits
  • initial compliance audits 
  • ongoing compliance audits.

An entry audit is required to confirm that a system is Present and is Suitable. Subsequent audits are then required to demonstrate that the system is Operating and Effective. This allows an operator time to implement and embed their SMS in day-to-day operations. Where PSOE can be demonstrated at an entry audit, the initial compliance audit may be waived.

Coming soon

Details on how the PSOE is applied against the SMS Standard is outlined in the Audit Matrix.

Audit types and frequency

To maintain accreditation, operators are assessed through a series of audits conducted at key points through the accreditation lifecycle. Between audits, accredited operators are expected to actively monitor, review and continually improve their safety systems. These internal processes form part of what auditors will assess.

Example of an audit graph
Figure 2: Audit graph

Audit logistics are agreed between the operator and approved auditor. It is important that the relevant staff and records are available at the time of the audit, as audit reports are only valid for 9 months from the audit date.

General Safety Accreditation (GSA) forms the foundation of Alternative Compliance Accreditation (ACA). When both are applied for at the same time, they are assessed together through a single audit of the SMS.

For operators who already hold GSA, only the additional requirements for ACA are audited to confirm they have been effectively incorporated into the existing SMS.

Table 1: Audit type and frequency
Audit type Frequency
Entry Audit Upon application. 
Initial Compliance Audit Between 6 and 7months after first accreditation is granted (or 10 and 11 months if adding an ACA – see the National Audit Standard (NAS)
Compliance Audit Conducted between 9 months and one month prior to accreditation expiry.
Internal Review Anually. 
Other Audit As required. These may be triggered, risk-based or random spot checks.

Entry Audit

This is the first audit, completed as part of the accreditation application process. It confirms that all SMS requirements are Present and Suitable before accreditation can be granted. The focus is to confirm that the operator has implemented the core foundations of a functioning SMS that meets the SMS Standard, together with any relevant ACA requirements. 

Initial Compliance Audit

The Initial Compliance Audit is conducted between 6 and 7 months after the date of the accreditation first being granted. The purpose of this audit is to confirm the SMS, including any ACA requirements, has been embedded into day-to-day operations and that the operator is effectively managing their safety risks. Evidence is reviewed to confirm that all components of the SMS are now Operating and Effective. A successful outcome, or resolution of corrective actions from a non-conforming audit, is required to retain accreditation. 

This audit may be waived if all 4 PSOE elements are demonstrated through a minimum of 6 months of verifiable evidence during the entry audit with no major nonconformances. Waiving the audit recognises early compliance and greater safety performance.

The option to waive the initial compliance audit is not available if the entry audit is conducted via desktop.

Where an operator adds an ACA within 5 months of the initial accreditation being granted, the initial compliance audit will be extended out to between 10 and 11 months where both GSA and the added ACA must demonstrate PSOE. For more information, see the section on adding accreditation after GSA. 

Compliance Audit (to maintain accreditation)

A Compliance Audit is conducted between 9 months and one month before an accreditation expires. Compliance Audits ensure that an operator’s SMS continues to operate effectively over time. A conforming Compliance Audit, or the resolution of corrective actions from a non-conforming audit is required to renew accreditation.

Internal reviews

Under the HVA scheme, operators must implement and maintain a system for internal audits. Operators must complete at least one annual self-assessment of their SMS. Internal reviews help to proactively identify areas for improvement, check compliance and ensure they remain effective.

It involves a structured review of the operator’s activities to identify opportunities for improvement and confirm compliance with the SMS Standard, ACA requirements, and any additional conditions imposed by the NHVR. The NHVR may request this internal review at any time.

Triggered Audits

Where information suggests an operator may be acting in contravention of the conditions of the accreditation and HVNL (for example, on-road breach, serious crash, compliance history, an intercept report, a compliance statement, or a complaint), the NHVR may initiate a Triggered Audit.

Spot checks

The NHVR randomly conducts spot checks on an operator’s SMS and auditor’s audit reports. Spot checks are conducted to ensure the requirements for participation in the HVA scheme are met.

Spot checks can be initiated by the NHVR at any time, with or without notice, at any premises or operational location.

At times, Authorised Officers may carry out random inspections in conjunction with the NHVR to identify that the management system or condition of a vehicle(s) is consistent with the scheme requirements and conditions, and the HVNL.

Desktop audits

Desktop audits may be requested for entry audits and other audits approved by the NHVR to confirm that an SMS is Present and Suitable. Where a desktop audit is performed at entry, the option to waive the initial compliance audit is no longer available. Not all audits are suitable for this approach, so approval is required before proceeding. 

Coming soon

Find out more in our Desktop Audit Guide.

Audit cost

Each auditor independently sets their own fees, so it is recommended that you obtain several quotes before engaging the services of an auditor.

Audit validity

For a HVA scheme audit report to be considered valid, the operator and the HVA scheme approved auditor must sign the declarations upon submission. An audit report is valid for 9 months from the date the audit is completed.

Adding accreditation (after GSA)

Under the HVA scheme all accreditation types will be aligned to a common expiry date. Adding ACA after GSA has been granted will trigger the following changes:

Accreditation added within 5 months of the original grant of accreditation:

  • Initial compliance audit required at 10 to 11 months (cannot be waived).
  • Expiry date will remain unchanged.

Accreditation added more than 5 months after the original grant of accreditation.

  • Triggers a new accreditation period requiring an entry audit.
  • Expiry date change based on the new grant of accreditation.
Example of aligning your
Figure 3: Aligning accreditation

Auditor rotation

Auditor independence and rotation

To maintain independence and impartiality, auditors cannot assess the same operator for more than 2 consecutive accreditation periods. After this, a different and unaffiliated auditor must complete at least one full accreditation period before the original auditor can return.

  • Unaffiliated means having no connection to the previous auditor, including auditors from the same company.
  • An accreditation period refers to the duration for which accreditation was granted by the NHVR. This can be up to a maximum of 3 years.

The NHVR may enforce auditor rotation requirements, refuse auditor appointments where necessary, or act if arrangements compromise the integrity of the scheme (for example, repeatedly alternating between the same auditors). In limited cases, exemptions to the rotation rule may be granted.

See examples below in Table 2.

  • Auditor A conducts the audits associated with the first accreditation period (commencing in September 2026), and the second accreditation period (commencing September 2028).
  • Auditor B conducts the audits for the third accreditation period (commencing September 2031).
Table 2: Auditor rotation example
2-year accreditation period 3-year accreditation period 3-year accreditation period
September 2026 In March or April Between November 2027 and August 2028 September 2028 Between December 2030 and August 2031 September 2031 Between December 2033 and August 2034
First accreditation period  Second accreditation period commences  Third accreditation period commences 
Entry Audit  
(on first application to the HVA scheme) 		 Initial Compliance Audit 
(between 6 and 7 months after the effective date of the accreditation) 		 Compliance Audit 
(between 9 months and one month prior to expiry) 		   Compliance Audit 
(between 9 months and one month prior to expiry)		   Compliance audit 
(between 9 months and one month prior to expiry)
Auditor A Auditor A Auditor A   Auditor A   Auditor B

Selecting an auditor

Operators must choose an auditor from the NHVR’s list of approved auditors and submit their selection through NHVR GO. Both the operator and auditor are responsible for identifying and declaring any conflicts of interest. The NHVR may reject a nominated auditor if there are concerns about conflicts of interest or other risks to impartiality. In these cases, the NHVR will either appoint an alternative auditor or ask the operator to select another. 

Accreditation period

An accreditation period commences on the approval date and ends on expiry or when a subsequent accreditation decision takes effect. An accreditation period can last up to 3 years. 

For auditor rotation, accreditation periods are assessed cumulatively from the initial grant of accreditation. Adding an ACA may reset the accreditation but does not reset the auditor rotation sequence. An auditor must not assess the same operator’s Safety Management System for more than two consecutive accreditation periods, or a cumulative maximum of 5 years.

Failing to submit an audit

Initial Compliance Audit

If an operator fails to submit the initial compliance audit report within the required timeframe, an Information Notice (Proposed Action to Cancel) will be issued, and a response is required within the specified timeframe. Failing to respond will result in accreditation being cancelled.

Compliance Audit

If an operator fails to submit the compliance audit within the required timeframe, they will receive an expired accreditation notification. There is a 3-month window after the expiry date to submit a conforming compliance audit with the Maintain Accreditation Application. Failing to meet these requirements will result in accreditation being cancelled.

Corrective Action Requests (CARs)

Audit findings that do not meet the SMS Standard result in a Corrective Action Request (CAR). Operators must address the issue and implement actions to prevent recurrence. All CARs focus on resolving root causes and must be closed within agreed timeframes. Full details of requirements and processes are outlined in the NAS. Major CARs must be closed before the audit report can be accepted by the NHVR.

Each CAR must include an appropriate timeframe for the action to be completed, but no more than 3 months. If additional time is required, the operator must contact the auditor to request this along with an action plan describing what they intend to do.

Coming soon

For more information, see the Corrective Action Request (CAR) Guideline.