Title Page

  • Name of Company

  • Company Registration No

  • Location
  • Conducted on

  • Auditor.

Operator Licence Summary

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  • Operator

  • Operator Licence Number

  • Location (Operating Centre)

  • Licence Capacity

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

  • Maintenance Inspection Frequency

  • 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

  • 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

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

  • Evidence of contracted drivers contract of engagement

Company Repute and Standing

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

  • Any action from other enforcement bodies?

Operator Licence

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 21 days. A nominated Transport Manager CPC holder must be specified (unless restricted licence is in place). Operators licences are granted by the Traffic Commissioner and are subject to restrictions and / or undertakings specified on the Operator Licence.

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

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

  • has the OTC been informed of the changes

  • 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?

  • 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

  • Has there been an application made to facilitate this

  • 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

  • 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

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

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

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

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

Notification & Undertakings

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?

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

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

  • 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.

  • How does the operator propose to identify the risks

  • 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?

Financial Standing

  • Can the operator demonstrate financial standing

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

  • when would the information be available

Drivers Hours, Working Time, Recording Systems Including Tachographs

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?

  • 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.

  • Can an Employee reference the company reference period

  • Are all employees aware of weekly WTD averages?

  • How is the digital tachograph Downloaded?

  • How are Driver Cards Downloaded?

  • 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?

Driver Management & Vocational Licences

  • Are Driver inductions carried out ?

  • Are Driver Assesements carried out ?

  • Do you do Driver licence checks ?

  • 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?

  • Does the company take responsibility for the drivers CPC?

  • Has the company consequences for drivers gaining points?

  • Has the company a disciplinary policy in place

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

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

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

  • Are Driver gate checks been conducted

  • 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?

  • Full time vs. part time

Forward Planning - Inspection & Record Retention

    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

  • 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?

  • Forward planner displaying MOT due dates?

  • Brake test on Planner unless conducted on all PMI Inspections

  • Forward planner displaying Tacho Calibration dates.

  • Forward planner displaying Road Tax Expiry Dates

  • Forward planner is up to date within 24 hours.

  • 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.

  • Date vehicle registered to the operator

  • Valid MOT Certificate

  • Reasoning

  • 2/6 year Tachograph Calibration Certificate

  • Proof of vehicle taxation held on file?

  • VTG6 Plating Certificate

  • Pre-use Inspection Sheets & Defect Notes
  • 15 Months historical defect notes

  • reasoning

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

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

Vehicle Maintenance.

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

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

  • Are there any visible missed planned Inspections

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

  • 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

  • Is the maintenance of vehicles contracted out

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

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

  • Arduous - Off road use? (as a %)

  • As a percentage %

  • Is Multi-manning part of the operation

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

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

  • 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

  • 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.)

  • How are you managing to complete all the shortfalls

  • Is the maintenance provider accredited by any recognised body?

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

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

  • Has the Operator a Tyre maintenance agreement in place

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

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

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

  • 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?

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

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

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

  • Is there a NIL defects reporting system in place

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

Fuel, Oils, Lubricants, Ad-Blue, & Disposals

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

  • 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

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

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

NOTES - ADDITIONAL COMMENTS OR OBSERVATIONS

  • NOTES - ADDITIONAL COMMENTS OR OBSERVATIONS

SIGNATURES

  • Authorised Signature of Operator.

  • Signature of Auditor.

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