There is often a misconception that a preliminary hearing before a traffic commissioner is an informal meeting or discussion. In reality, it’s a crucial opportunity for transport operators to address regulatory concerns before matters escalate. If the traffic commissioner is not reassured during the hearing, the matter may proceed to a full public inquiry, where serious sanctions such as an operator licence suspension or revocation can be imposed, preventing a business from operating.
In this article, we explore what a preliminary hearing involves, the circumstances that typically trigger one, how such hearings differ from a full public inquiry, and the practical steps transport operators should take to prepare effectively.
A preliminary hearing is a formal regulatory proceeding that signals genuine concerns held by a traffic commissioner about an operator’s compliance. They are often called as a pre-cursor to a full public inquiry where identified issues are not yet deemed serious enough by the traffic commissioner to impose immediate sanctions, but nevertheless need addressing.
The hearing is therefore a critical opportunity for the operator summonsed to take control of the narrative. By presenting a clear, well evidenced case at the stage of a preliminary hearing, the operator can demonstrate that concerns are no longer material and have been effectively resolved. As such, it's decisive moment to reassure the traffic commissioner that a full public inquiry is unnecessary - an outcome that can safeguard the operator’s licence, reputation and business.
Common concerns that can trigger a preliminary hearing include, but are not limited to:
Such issues are often identified following a roadside inspection and/or investigation conducted by the DVSA, leading to a notification being made to the relevant traffic commissioner. You can learn more about DVSA investigations or DVSA enforcement action here.
Preliminary hearings may also arise during the application or renewal process for an operator’s licence. As part of this process, the Office of the Traffic Commissioner will usually review supporting evidence prior to granting or renewing of the license, which can reveal underlying compliance concerns.
Preliminary hearings differ to full public inquiries in two key ways:
Nevertheless, they are still held in the same formal setting as public inquiries, and there is a clear expectation that transport managers, directors, or business owners will attend, provide evidence, and respond to cross-examination by the traffic commissioner. As such, legal representation to help an operator navigate this process is recommended.
Moreover, although sanctions cannot be imposed during a preliminary hearing, the traffic commissioner may request legally binding undertakings to be given on behalf of the business, issue formal warnings, or impose additional conditions on the relevant operator licence. Transport operators are also expected to disclose relevant documentation, including compliance records, financial information, and supporting evidence such as witness statements and enclosures, just as they would in a public inquiry.
Crucially, if the traffic commissioner remains unconvinced that compliance concerns have been adequately addressed, the matter may be escalated to a full public inquiry, where the powers to impose sanctions do apply. For more information about public inquiries before a traffic commissioner, you can read our guide here.
From the outset, transport operators who are summoned to a preliminary hearing before a traffic commissioner should treat it with the same seriousness as being summoned to a public inquiry. Preparation steps should include:
Engaging legal advice during the preparation stages can help frame your case, identify weaknesses, and present a clear plan for manging risk and avoiding a full public inquiry.
A preliminary hearing is not a casual or informal meeting with the traffic commissioner. Transport operators need to recognise that it is a formal regulatory process and often the final opportunity to demonstrate compliance before facing the possibility of a full public inquiry. Transport operators who fail to appreciate the seriousness of these proceedings or arrive unprepared, risk severe consequences, including licence suspension or revocation - outcomes that can significantly impact the future of their business.
However, with thorough preparation and the right professional support, transport operators can address concerns effectively, present a strong case, and move forward in the process with confidence.
If you're a transport operator facing an investigation or enforcement action by the DVSA, or have been summoned to a preliminary hearing or public inquiry before a traffic commissioner, the business risk and regulation team at Ashfords is here to help. We also advise on proactive compliance strategies to help reduce the risk of incidents, and implement remedial measures that protect and preserve your operator’s licence. If you're looking for comprehensive and clear support, please don’t hesitate to get in touch with Ian Manners or Rhian Gravell.
