Audit framework and requirements

Under the NHVAS Business Rules and Standards and independent Audit Framework, all audits are to be conducted by an approved independent auditor. These auditors must be registered or recognised by the NHVR as an NHVAS Approved Auditor.

Auditors carrying out audits on Basic and Advanced Fatigue Management modules must have fatigue scope. Successful audits of an operator’s compliance with the relevant module standards are critical for entry and maintaining NHVAS accreditation.

Types of audits

Compliance audit (existing accreditation holders)

It is the operator's responsibility to complete a compliance audit and submit an NHVAS Audit summary report (DOCX, 180KB) no earlier than 6 months and no later than 1 month prior to expiry of the accreditation period.

When an auditor has carried out two consecutive audits of a module for an operator, a different auditor must conduct the next audit of that module.

Scheduled audit (purpose/requirements)

  • Certifies that a management system for accreditation is in place, is being used and adheres to the scheme standards before accreditation is granted and/or maintained.
  • For the first accreditation period, a scheme member’s management system must undergo an "initial compliance audit" no earlier than 6 months and no later than 7 months after the effective date of the accreditation, and a second compliance audit prior to the expiry of the accreditation period.
  • It is the operator's responsibility to submit a copy of a completed initial compliance Audit summary report to the NHVR no later than 14 days after completing the audit.
  • It is the operator's responsibility to submit a copy of a completed compliance audit no earlier than 6 months and no later than 1 month prior to expiry of the accreditation period along with an application to maintain the accreditation should they wish to continue in the scheme.
  • An audit report is valid for 9 months from the date the audit is completed.
  • When an auditor has carried out two consecutive audits of a module for an operator, a different auditor must conduct the next audit of that module.
  • If the NHVR does not receive an NHVAS maintain accreditation application, an operator’s accreditation will automatically expire at midnight on the accreditation expiry date. The operator/vehicle will then not be entitled to receive any concession. For more information see Timeframes and penalties.

Triggered audit

  • Where information (e.g. on-road breach, serious crash, compliance history, an intercept report, a compliance statement or a complaint) suggests that a scheme member may be acting in contravention of the conditions of accreditation, the NHVR may initiate a triggered audit.

Spot checks

The NHVR can randomly conduct spot checks on scheme member's management systems. Spot checks are conducted to ensure that operators are abiding by the requirements for participation in their relevant NHVAS module/s.

They may be requested at the discretion of a service provider or the NHVR at any time, with or without notice at any premises of a scheme member.

Authorised officers may carry out random inspections in conjunction with NHVR or jurisdictional auditors to identify that the management system or condition of a vehicle(s) is consistent with the NHVAS standards and national vehicle standards.

Statement of Compliance

As part of your accreditation you must regularly complete a Statement of compliance (PDF, 257KB) if required. These signed statements must be presented at audit. 

Audit matrices

The following audit matrices provide a tool to assess and confirm compliance with the accreditation standards and criteria:

When an auditor has carried out two consecutive audits of a module on an operator, a different auditor must conduct the next audit of that module.

Audits will be counted according to the modules audited. The maximum number of consecutive audits of the same module is 2. Entry and initial (6 month) compliance audits are included when counting audits.

Audit count for alignment of module expiry dates will be considered on a case by case basis.

Two consecutive audit rule

Example of multiple module audits by a single auditor

Types of audit

1 Jan 2015: Mass & Maintenance Entry Audit = 1 audit for Mass & Maintenance
1 May 2015: BFM entry audit = 1 BFM audit
1 July 2015: Mass & Maintenance 6 months compliance audit = 1 audit for Mass & Maintenance

Audit count as of July 2015:

  • 2 consecutive audits for Mass & Maintenance (Max count reached) – next audit for these modules must be conducted by a different auditor.
  • 1 audit for BFM – next audit for this module can be done by the same auditor.

Further information in relation to auditing can be found in the NHVAS Business Rules and Standards.