HGV Operator Licence Compliance Audit

• Name of Company

• Company Registration No

• The operator and trading name are as defined on Companies House records.

  Yes

  No
• Location
  Address

• Conducted on

  Date

• Auditor.

undefined

• Operator

• Operator Licence Number

• Location (Operating Centre)

• Operators must have a process to ensure that all operating centres are listed and authorised for use.

  Yes

  No

• How does the process ensure only authorised sites are utilised

• How is this monitored for compliance

• Who is responsible for this?

• Why hasn't a process been implemented

• Licence Capacity

• Does the operating centre provide sufficient off-road parking for all vehicles and trailers utilised?

  Yes

  No

• Licence Operating Margin (Number of Vehicles Authorised vs Number of vehicle in use)

• Maintenance Inspection Frequency

• Is the site rented

  Yes

  No

  Not Applicable

• is there documented proof from property owner that the operation is allowed.

  Yes

  No

  Needs Attention

• So what Authority is there to have a operation site here

• Site Contacts

• Transport Manager, Transport Supervisor, or Fleet Manager in attendance at the audit.

Company Profile

• Company Directors (in line with Operator Company Directors (in line with Operator Licence requirements)

• Brief description of the operators business

• Type of operators licence & Renewal Date

• When was the last time the operator licence downloaded

  Date

• Number of overall company employees in connection with Transport

• How many employees based in the transport office

Company Structure & Maturity

• Decision making process - for purchasing/selling/ Hiring/De-Hiring vehicles?

• Decision making process - for hiring staff

• How many employed drivers

• Is there evidence of a full-Time drivers contract of employment

  Yes

  No

• Are there any contracted Drivers IE: Ltd companies, if so how many?

  Yes

  No

• Evidence of contracted drivers contract of engagement

  Yes

  No

  Not applicable

Company Repute and Standing

• Any convictions by HSE, Environmental Agency or other enforcement bodies?

  Yes

  No

Legal Requirements: Most businesses operating goods vehicles over 3.5t GVW require an operators licence for the number of vehicles it operate. Additions to the fleet must listed on the licence a maximum of vehicles over 2500kg used on international journeys for the purpose of hire and reward must be specified on an operator licence The operator must have processes in place to ensure that any notifiable changes in circumstances to their transport operation are reported to the traffic commissioner within 28 days. The process must be documented, responsibilities clearly communicated, with effective management control clearly demonstrated.

• Is the operators licence available? And is the licence the correct type for the operation.

  Yes

  No

• Are all the details of the licence i.e. Company Name, Address, operating centre and CPC holder correct?

  Yes

  No

• has the OTC been informed of the changes

  Yes

  No

• Are there any "special conditions" or Undertakings attached to the licence at the instructions of the Traffic Commissioner? If so are these conditions or undertakings been met in full?

  Yes

  No

• How have you completed/managed the undertakings

• How do you propose to manage the undertakings

• How many operating centres and geographic locations, (including the main centre) if any is this centre responsible for.

• TM's specified on the licence (s) or person's with reasonable control

  Yes

  No

• Has there been an application made to facilitate this

  Yes

  No

  Not applicable

• What other duties TM/FM is responsible for?

• How many hours a day is spent on the Operator Licence

• Has the TM/FM have assistance from staff IE De-Briefer, Trsp Supervisor

  Yes

  No

• Remoteness of TM/FM or person with reasonable control in relation to the day to day operation?

• Are there appropriate support systems is place, either support staff or electronic systems or both

  Yes

  No

• Is the TM/FM up to date on legislation, attended a refresher coarse, subscribed to DVSA alerts service?

  Yes

  No

• Has a TM resigned of late and has it been notified?

  Yes

  No

  Not Applicable

• Has a new or an additional TM been appointed and not notified the OTC?

  Yes

  No

  Not Applicable

• Does the TM/FM have a clear grasp of the operational compliance, and can they describe compliance risks and how to deal with them?

  Yes

  No

  Needs Attention

Legal Responsibilities: When an operator applies for an operators licence they agree / promise to abide by the undertakings of the licence, in addition an operator must ensure that they notify the Traffic Commissioner of any changes to the business that might affect the licence i.e. financial status, takeovers, administration, receivership liquidation and convictions.

• Is the Operator, TM/FM aware of his undertakings and obligations?

  Yes

  No

• Is there a compliant & effective procedure in place to prevent overloading of vehicles & trailers?

  Compliant

  Non-Compliant

  Requires attention

• Has the Operator a Bridge strike Policy & Procedure in place

  Yes

  No

• Is there a procedure in place to manage drivers with regards to speeding offenses, use of mobile phones offences, and not wearing a seat belt whilst driving? etc.

  Yes

  No

• How does the operator propose to identify the risks

  Pass

  Fail

  N/A

• Can the operator confirm that all past and current convictions of both Directors, Partners or Sole Traders and Transport Managers are and have been notified to the Traffic Commissioner?

  Compliant

  Non-Compliant

  Requires attention

Financial Standing

• Can the operator demonstrate financial standing

  Yes

  No

• Can the operator demonstrate that all HMRC (IR35) taxes are up to date

  Yes

  No

  Requires Attention

  Not Applicable

• when would the information be available

Note the control systems need to be legally compliant and focus on likely risk with regard to the specific role that the driver is carrying out, regular routes, Adhoc multi drop, night working or mix on off road. The systems must be robust to cover any area of intense operation across the Drivers. "Are processes working, are download on time, is there missing mileage, are VU & DC comparisons carried out, is driver retraining occurring if the need arises"

• Who is the decision maker about whether to do a job? Planner, Driver, TM, Or Senior Management.

• Can drivers earn bonuses? How are these structured?

  Yes

  No

• What is the company culture, which has priority SLA's, KPI's, Transport, or compliance

• Are vehicles equip with digital or Analogue Tachograph recording devices?

• Are Employees aware of Working Time Directive.

  Yes

  No

• Can an Employee reference the company reference period

  Yes

  No

• Are all employees aware of weekly WTD averages?

  Yes

  No

• How is the digital tachograph Downloaded?

  Select Automatically over GPS Manually every 28 day Manually every 45 days manually every 90 + days

  • Automatically over GPS
  • Manually every 28 day
  • Manually every 45 days
  • manually every 90 + days

• How are Driver Cards Downloaded?

  Select Manually every day Manually every week on a specific day Manually end of the month Automatically over GPS As and when required

  • Manually every day
  • Manually every week on a specific day
  • Manually end of the month
  • Automatically over GPS
  • As and when required

• What IT system is used for analysis of Tachograph data and generating driver reports?

• How is Tachograph data analysed?

• if data isn't analysed, how do you format the drivers WTD, RTD, Missing Mileage, Infringements etc.

• Is there a processes in place for drivers to be notified of infringements with effective intervention?

  Yes

  No

• Are Driver inductions carried out ?

  Yes

  No

• Are Driver Assesements carried out ?

  Yes

  No

• Do you do Driver licence checks ?

  Yes

  No

• What is the frequency of these checks?

• Has the transport office a time table of drivers expiry dates on the digi cards, driving licence, DQC, or any other driver qualification held?

  Select Yes No

  • Yes
  • No

• Does the company take responsibility for the drivers CPC?

  Yes

  No

  Driver funds own DQC

• Has the company consequences for drivers gaining points?

  Select Yes No

  • Yes
  • No

• Has the company a disciplinary policy in place

  Yes

  No

• Can the TM/FM demonstrate how they access and use the Digital Platform to capture data

  Yes

  No

• can the operator demonstrate the process of reporting any driving offences in relation to the operator licence

  Yes

  No

• Can the company demonstrate a Driver Conduct & Disciplinary process ?

  Select Yes No Requires Attention Not Applicable

  • Yes
  • No
  • Requires Attention
  • Not Applicable

• Are Driver gate checks been conducted

  Select Yes No Requires Attention Not Applicable

  • Yes
  • No
  • Requires Attention
  • Not Applicable

• As a company how do you Audit your drivers on there daily walk around checks?

• When gate checks are completed, How are they documented via the defect note process?

• Is there a driver recruitment process in place?

  Select Yes No

  • Yes
  • No

• Full time vs. part time

Legal Requirement: Safety Inspections must be planned in advance for a minimum period of 6 months.
The information should be kept in the simplest form and displayed prominently. Records of Safety Inspections and Defect reports must be retained on file for a minimum period of at least 15 months, unless a licence undertakings states other wise.
A system should be in place to effectively and clearly monitor vehicle documentation even where safety inspections have been contracted out.


• Is there a maintenance planner visible or in existence, showing 6 month's in arrears & 6 months in front containing all registered Operator Licence HGV/Vans/Trailers where required

  Yes

  No

• How do you know when the required service, tax, tacho Calibration, MOT etc,is known

• Planned Inspections as per Operators licence requirement, and planned for 6 months in advance?

  Yes

  No

• Forward planner displaying MOT due dates?

  Yes

  No

• Brake test on Planner unless conducted on all PMI Inspections

  Yes

  No

• Forward planner displaying Tacho Calibration dates.

  Yes

  No

• Forward planner displaying Road Tax Expiry Dates

  Yes

  No

• Forward planner is up to date within 24 hours.

  Yes

  No
Vehicle File Audit. Legal Requirement: All statutory documentation must be valid and available for inspection. Daily walk around checks must be completed by a suitable qualified person prior to the vehicle being used. Drivers must be able to report promptly any defects or symptoms of defects that could adversely affect the safe operation of the vehicle. Reports must be made in writing and provision should be made to record details of any rectification work undertaken. All documentation must be retained for a period of 15 months.

• Vehicle Registrations Audited

• Vehicle Registration document.

  Media

• Date vehicle registered to the operator

• Valid MOT Certificate

  Yes

  No

• Reasoning

• 2/6 year Tachograph Calibration Certificate

  Yes

  No

• Proof of vehicle taxation held on file?

  Yes

  No

  Requires Attention

  Not Applicable

• VTG6 Plating Certificate

  Yes

  No
Pre-use Inspection Sheets & Defect Notes

• 15 Months historical defect notes

  Yes

  No

• reasoning

• Are defect notes signed off and completed with corrective action taken.

  Yes

  No

• Pre-use inspection doc's for last 15 months

  Yes

  No

Legal Obligations: It is the responsibility of the drivers and operator to ensure that vehicles are in a roadworthy condition, it is an absolute offence to use an unroadworthy vehicle on the public highway. In addition operators of heavy goods vehicles must meet the requirements of the licensing legislation which is govern the decisions of the Traffic Commissioner. In particular operators must comply with the declaration and undertakings given for their operator licence, and that vehicles and Trailers are in a roadworthy condition at all times. When contracting out maintenance arrangements it is the responsibility of the operator to ensure that the facilities used by the agent are adequate and that staff are competent in the class of vehicles to be maintained.

• Is there a named T.M or F.M responsible for the vehicle maintenance plan

  Select Yes No

  • Yes
  • No

• Is there a visible maintenance planner showing 6-months arrears, 6-months forward, indicating, PMi, Brake Tests, MOT, Tax, Tacho Calibration, Service etc.

  Yes

  No

  Needs Attention

• Are there any visible missed planned Inspections

  Yes

  No

• Have the missed planned Inspections been documented to the vehicles files

  Yes

  No

• Is the scheduled plan correct for the type of work carried out? And conducted on time (inspection frequency) and in accordance with the Operator Licence

  Yes

  No

  Requires Attention

  Not Applicable

• Is the maintenance of vehicles contracted out

  Select Yes No In House Servicing

  • Yes
  • No
  • In House Servicing

• Is there a written contract maintenance agreement between the operator and the agent

  Select Yes No Not applicable

  • Yes
  • No
  • Not applicable

• Is the licence OCRS score known and does the operator have access to the DVSA system?

  Select Yes No

  • Yes
  • No

• Arduous - Off road use? (as a %)

  Yes

  Not Applicable

• As a percentage %

• Is Multi-manning part of the operation

  Select Yes Not Applicable

  • Yes
  • Not Applicable

• Is the PMI frequency correct for the usage, and adequate to get the vehicle to the next PMI?

  Yes

  No

• Does the average fleet mileage align to that of the planned inspections and to that of the Operator Licence?

  Yes

  No

• What is the average fleet mileage?

• What is the average fleet age?

• Would you say that the companies replacement program & processes are aligned to an ageing fleet and are either

  Select Good Fair Poor N/A

  • Good
  • Fair
  • Poor
  • N/A

• If you don't have a monitoring system, how do you replace your fleet

• Are the maintenance facilities adequate? (Access, under vehicle access, Brake testers, headlight testers etc.)

  Yes

  No

  Requires Attention

  Not Applicable

• How are you managing to complete all the shortfalls

• Is the maintenance provider accredited by any recognised body?

  Yes

  No

• Are PMI inspection documents fully and properly completed, and sheets signed off?

  Select Yes No Requires Attention Not Applicable

  • Yes
  • No
  • Requires Attention
  • Not Applicable

• Has the T.M or F.M a system in place for monitoring the quality of work carried out by the maintenance provider?

  Select Yes No Requires Attention Not Applicable

  • Yes
  • No
  • Requires Attention
  • Not Applicable

• Has the Operator a Tyre maintenance agreement in place

  Yes

  No

• Has the company a Tyre & Wheel Fixing, Re-Torque procedure in place?

  Select Yes No

  • Yes
  • No

• If the company has it's own Torque Wrench can they evidence the Torque Number, and the data records of vehicles checked?

  Yes

  No

• Is the "first time" pass rate known by maintenance provider & Operator?

  Yes

  No

• If a Vehicle has failed an MOT Inspection, how have these occurred? and how do the company monitor such failings

• Are driver defects found on PMI's by the maintenance provider?

  Yes

  No

• Have drivers been trained in, and are drivers competent in first use Walkaround checks?

  Yes

  No

• Are maintenance records retained in an orderly manner in chronological order within a file that identifies the vehicle / Trailer

  Yes

  No

• Are Inspection records and defects notes retained for at least 15 months

  Yes

  No

• Is there a NIL defects reporting system in place

  Yes

  No

Semi-Trailers, De-mountables, Skellies, Low-Loaders

• Is there a visible maintenance planner showing 6-months arrears, 6-months forward, indicating, PMi, Brake Tests, MOT, Tax etc

  Yes

  No

• Has the operator a system to manage its fuel in-take

  Yes

  No

• If there isn't any system, then how does the company equate mileage, to the amount of fuel drawn

• Has the operator a system to manage its Ad-Blue

  Yes

  No

  Needs Attention

• How is the company going to manage its in-take/out-take

• Has the company got a disposal policy & procedure for Oils Lubricants & Tyres

  Yes

  No

  Requires Attention

  Not Applicable

• NOTES - ADDITIONAL COMMENTS OR OBSERVATIONS

• Authorised Signature of Operator.

  Sign

• Signature of Auditor.

  Sign