TRANSPORT INTERNAL AUDIT - YEOVIL

• Operator Name

• Operator Address

• Operator Licence Number

• Conducted on

  Date

• Auditor Name

• Operator Signature

  Sign

• Auditor Signature

  Sign

• Persons present, position in the company, and background information

• Company registered address

• Management structure of the transport department

• Directors and partners

• Human resources

• Type of work carried out

• Has the company had any regulatory or enforcement actions taken against them or has any actions pending? If so what were these actions?

• If so has the traffic commissioner been informed of these?

  Yes

  No

  N/A

• If so, when?

• Total Staff numbers

• Is the transport manager CPC qualified?

  Yes

  No

  N/A

• When was the last refresher and proof of this?

• Is there a live CPC plan?

  Yes

  No

  N/A

• Is the transport manager and operating centre part of any professional body?

  Yes

  No

  N/A

• Have the management team undertaken any training or courses in relation to their operating licence responsibilities and when?

• What is the general company insurance?

• Fleet insurance?

• Licence type and status?

• Continuation date and licence held from?

• Are there any specified conditions or under takings on the licence?

• Are there vehicles and trailers stated on this licence and is the margin appropriate?

• Are there systems to ensure requests from the office of the traffic commissioner are responded to within the timescales?

  Yes

  No

  N/A

• If yes, what are these systems?

• Is the company registered to use the VOL system?

  Yes

  No

  N/A

• When was the system last accessed or updated correctly? How is this logged and who completes this?

• What is the current score?

• How often is this checked, and by whom?

• If the score is not green, is there an improvement plan in place?

  Yes

  No

  N/A

• When was this plan last reviewed and is it working?

• How are the suppliers engaged within this process?

• How are maintenance/ management/ and drivers included in this process?

• Is there evidence of communication with the traffic commissioner on file?

  Yes

  No

  N/A

• Does this include the reporting of PG9'S, MOT failures, director/ company changes, etc?

• Is there any evidence of issues being communicated to the traffic commissioner within 28 days?

  Yes

  No

  N/A

• Have and when did the DVSA attend an operating centre and completed a PG13 F+G?

• Is there a copy of the PG13 F+G?

  Yes

  No

  N/A

• Was it responded to in a timely manner?

  Yes

  No

  N/A

• Is there a current copy of the GV79D on file and available to view of each maintenance provider?

• Has the company logged details of communications and review meetings with each service provider?

• Is there any supplier improvement plans?

  Yes

  No

  N/A

• How is this logged/ detailed and who is responsible?

• Are copies of drivers licences held on site?

  Yes

  No

  N/A

• How often are licence checks carried out?

• Are copies of DIGI cards held on site?

  Yes

  No

  N/A

• Is information cross referenced to details on the GOV.UK website?

  Yes

  No

  N/A

• Are copies of DQC held on site?

  Yes

  No

  N/A

• Are DQC's checked online and frequently?

  Yes

  No

  N/A

• Are spot checks carried out on drivers carrying documents?

  Yes

  No

  N/A

• What is the policy if someone loses entitlement to drive?

• Is there a driver discipline policy in place?

  Yes

  No

  N/A

• Are drivers employment contracts in place?

  Yes

  No

  N/A

• Is driving the main occupation or is it ancillary to the role?

• Is there an induction process in place for employed staff?

  Yes

  No

  N/A

• Is this process the same for agency inductions?

  Yes

  No

  N/A

• Are all inductions recorded and by whom?

• Do drivers undertake driving assessments?

  Yes

  No

  N/A

• Are there driver briefing boards, and if so what information is covered?

• Is this information updated often, and by whom?

• Is there a driver training programme planned in advance?

  Yes

  No

  N/A

• How is driver training identified?

• Is there a driver handbook?

  Yes

  No

  N/A

• Is it relevant to infringements/ job requirements/ or contract requirements?

  Yes

  No

  N/A

• How often is it reviewed and by whom?

• How are good employees acknowledged?

• What are the types used within the business?

• Are there any exemptions to these?

  Yes

  No

  N/A

• Is there independent analysis of raw data?

  Yes

  No

  N/A

• Is there training on use of the analysis system?

  Yes

  No

  N/A

• How often are drivers cards downloaded and is there evidence of this download frequency?

• How many company cards are used on site?

• Are vehicles locked in before 1st use, including short term hire?

  Yes

  No

  N/A

• Are vehicles locked out when being taken off hire or disposed of?

  Yes

  No

  N/A

• How often are VU downloads completed and is there evidence of download frequency?

• How is data and charts stored?

• Is there a process to obtain a certificate of undownloadability if a tachograph fails?

  Yes

  No

  N/A

• How often are the WTD reports run?

• Do drivers have a view only access to the infringement reports?

  Yes

  No

  N/A

• Are lead in times and walk around checks reported?

  Yes

  No

  N/A

• Are missing mileage reports recorded and checked?

  Yes

  No

  N/A

• What is the method of debriefing drivers with infringement issues?

• Is drivers CPC used to support training with infringement issues?

  Yes

  No

  N/A

• What is the discipline process used for persistent or serious infringement?

• Is there evidence of communication in relation to drivers who have committed serious or repeat infringement?

  Yes

  No

  N/A

• Do vehicle folders contain correct information?

  Yes

  No

  N/A

• V5C; is the registered keeper the same as the operator?

• Do the folders contain the plating certificates?

  Yes

  No

  N/A

• Tachograph calibration certificates?

  Yes

  No

  N/A

• MOT certificates?

  Yes

  No

  N/A

• PMI stored for 15 months?

  Yes

  No

  N/A

• Brake roller test sheets?

  Yes

  No

  N/A

• TAX/ VED?

  Yes

  No

  N/A

• Ancillary equipment?

  Yes

  No

  N/A

• Vehicle specification fit for purpose?

  Yes

  No

  N/A

• Cab checks?

  Yes

  No

  N/A

• Do the vehicles use ADBLUE?

  Yes

  No

  N/A

• Where is the ADBLUE purchased? or on site?

• If on site, what quantity is it stored at? And is there a use by date on the containers?

• How is the ADBLUE dispensed and how is this monitored?

• What is the usage rate for each vehicle or the fleet?

• Have the vehicles been checked for an emulator before?

  Yes

  No

  N/A

• Have drivers been trained on the need for ADBLUE and the need to report faults?

  Yes

  No

  N/A

• Is the recording method used to the specification in the guide to maintain roadworthiness?

  Yes

  No

  N/A

• Are DDI's completed correctly?

  Yes

  No

  N/A

• Are they left at the operating centre before departure?

  Yes

  No

  N/A

• Is any rectification work signed off?

  Yes

  No

  N/A

• Is there proof of rectification work carried out? This should be stored for 15 months?

  Yes

  No

  N/A

• Is there a VOR system in place?

  Yes

  No

  N/A

• Are keys separated and secure to prevent accidental use?

  Yes

  No

  N/A

• How often are these carried out?

• If no BRT, why not?

• Is there records, planning, and proof of BRT?

  Yes

  No

  N/A

• Is maintinence in or out of house?

  Internal

  External

  N/A

• What are your maintenance providers own first time pass rates for MOT's?

• What facilities are available at the provider?

• Do providers and staff have qualifications and accreditations?

  Yes

  No

  N/A

• What are the agreed timescales on the ops licence? Are these complied with, and if not, why not?

• Are inspections pre-planned at least 6 months in advance?

• When are the PMI received and by whom?

• Are the PMI and break tests reviewed by the transport manager?

  Yes

  No

  N/A

• Is the PMI signed off by the fitter and supervisor?

  Yes

  No

  N/A

• Is the PMI period status suitable for the current fleet?

  Select Yes No N/A

  • Yes
  • No
  • N/A

• Are the PMI processes the same for vehicles and trailers?

  Yes

  No

  N/A

• Reasons why not?

• What are the agreed timescales for the PMI's?

• What is the MOT pass rate on 1st presentations?

• Is this below national average?

  Yes

  No

  N/A

• What is the MOT final pass rate?

• Is this below national average?

  Yes

  No

  N/A

• Are failures checked including a PRS investigation and does this involve maintenance providers?

  Yes

  No

  N/A

• Has the office of the traffic commissioner been informed of MOT failures, investigations, and improvement actions within 28 days?

  Yes

  No

  N/A

• Why is this?

• By whom is this done, and is there evidence?

• Is there a current and up to date copy of the highway code available?

  Yes

  No

  N/A

• Is there an up to date copy of the guide to maintaining roadworthiness available?

  Yes

  No

  N/A

• Is there a copy of drivers hours and WTD regulations available (GV262)?

  Yes

  No

  N/A

• Are there posters displaying relevant information for drivers to view?

  Yes

  No

  N/A

• When was the last recorded meeting with drivers in relation to said subject, and how is this logged?

• Can the company demonstrate regular meetings held with the transport manager to review compliance and performance?

  Yes

  No

  N/A

• Does this meeting include reviews from maintenance supplier, tyre contractor etc? How is this recorded? and when was it last recorded?

What policies are in place for:

• Alcohol?

  Yes

  No

  N/A

• Eyesight?

  Yes

  No

  N/A

• Fatigue?

  Yes

  No

  N/A

• RTC and incident process in place?

  Yes

  No

  N/A

• First aid provision?

  Yes

  No

  N/A

• PPE issues and replacements?

  Yes

  No

  N/A

• Drugs?

  Yes

  No

  N/A

• Emergency out of hours contracts?

  Yes

  No

  N/A

• Vehicle tracking and cameras?

  Yes

  No

  N/A

• Are the operating centres sufficient for the number of vehicles on the site?

  Yes

  No

  N/A

• Is there adequate lighting on site?

  Yes

  No

  N/A

• Are there any other audits currently being preformed at this site?

  Yes

  No

  N/A

• How is the above logged?

• Are there plans for regular proactive audits?

  Yes

  No

  N/A