Traffic Commissioners are responsible for the licensing and regulation of those who operate heavy goods vehicles, buses, and coaches.

These vehicles play a vital role in the movement of people and goods across Great Britain, and the Traffic Commissioners expect these services to be delivered safely, fairly, and in compliance with legal and environmental standards.

We aim to provide a trusted, UK-based resource on operator licence compliance and Traffic Commissioner expectations, and a practical guide to meeting operator licence undertakings, avoiding enforcement action, and staying audit-ready. We want to inform others to help reinforce a culture of compliance and continuous improvement across the industry.

We’ll also provide you with a self-audit checklist and public inquiry evidence list, as well as the opportunity to download our brochure and book a demo with us.

Table of Contents:

• What is an Operator Licence and who needs one?
• The Traffic Commissioner and what triggers enforcement
• Core undertakings and what “good” looks like
• Operator licence self-audit (step-by-step)
• Preparing for a Traffic Commissioner Public Inquiry
• Digital systems and audit-ready compliance
• How Autocheck supports operator licence compliance
• FAQs

 

What is an Operator Licence and who needs one?

The main purpose of an operator licence is to ensure the safe and proper use of goods vehicles, ensure fair competition through a consistent application of the rules, and to protect the environment around operating centres.

There are three distinct types of operator’s licence for goods vehicles. The licence you need depends on where you transport goods to and from, and who you do it for:

• A standard international licence allows you to carry your own goods, and goods for other people for hire or reward, both in the UK and on international journeys. Operators who are issued with a standard international licence will also receive a UK Licence for the Community, which are needed for all hire or reward operations in or through EU countries, and are documents required to be carried on the vehicle when abroad.
• A standard national licence allows you to carry your own goods in the UK and internationally, and other people’s goods for hire or reward only in the UK. You can also take loaded trailers to or from ports within the UK as part of an international journey if your vehicles do not leave the country.
• A restricted licence allows you to carry your own goods, but not other people’s goods, within the UK and EU. A restricted licence is only appropriate for the carriage of the operator’s own goods and on their own account.

Operators must be fit to hold a licence, considering any relevant convictions and activities. Fitness is the ability of the operator to obey all the rules and to follow the requirements of an operator’s licence, including any undertakings or conditions.

Operators must also have sufficient financial resources or be of the proper financial standing. This is needed to ensure they have enough money to keep vehicles in a fit and serviceable condition which is not undermined by the lack of finance available.

Operators must ensure there are satisfactory facilities and arrangements in place for keeping vehicles in a fit and serviceable condition. A Traffic Commissioner may ask to see copies of any maintenance contracts or letters from a garage if they do not do this work themselves.

Operators need to be able to show a Traffic Commissioner that they – and, for standard licences, their transport manager – have adequate systems in place to make sure they and their staff can obey all the rules, particularly:

• Satisfactory arrangements for securing compliance with drivers’ hours rules
• Satisfactory arrangements for ensuring vehicles are not overloaded
• Ensuring drivers have the correct licence and training to drive the goods vehicle

Operators holding heavy goods vehicle licences must specify an operating centre at which vehicles will usually be kept when not in use. Operators must advertise their intentions and applications are open to opposition.

Operators who hold a standard licence must satisfy the Traffic Commissioner that they meet the following requirements:

• Effective and stable establishment: this means you must have premises in which you keep your core business documents
• Good repute: this refers to the conduct and fitness of the licence holder, including relevant convictions and fixed penalty notices that the operator or any of their employees have had in the last five years
• Financial standing: the operator must have the right financial resources, and be able to show they are of the right financial standing, to assure the traffic commissioner that there is enough money to run the business properly
• Professional competence: the requirements of professional competence can be satisfied by the operator holding a Certificate of Professional Competence in road haulage operations or equivalent qualification

A Transport Manager is an individual employed by an undertaking, who effectively and continuously manages the transport activities of that undertaking. They must have a genuine link to the undertaking, which might be demonstrated if the transport manager is the licence holder, one of the partners whose name is on the licence, a director of the company in whose name the licence is held, or a full or part-time employee.

A professionally competent person must be nominated on a standard national or international licence. If the Transport Manager has a certificate of professional competence for national operations only, you may only nominate them on a standard national licence. If they have professional competence for both national and international operations, you will be able to nominate them on either type of standard licence. There is no requirement to nominate a Transport Manager on a restricted licence, however, the licence holder must ensure that they have the required knowledge to ensure compliance with all relevant legislation, particularly the safe operation of vehicles.

To be able to satisfactorily carry out their duties, a Transport Manager should:

• Have sufficient capacity: enough time and support to undertake the Transport Manager role, which cannot be compromised by other duties
• Have relevant knowledge and skills: be in possession of the relevant qualifications showing professional competence, and undertake regular refresher training, and keep abreast of key developments in the industry
• Be involved in the transport decision-making processes and have a prominent level of autonomy: a Transport Manager must also be able to have the final say whether a vehicle is allowed to go on the road
• Be able to have a real impact in a business

To show continuous and effective management of the transport operation, a transport manager will be responsible for fulfilling the General Responsibilities set out in the Senior Traffic Commissioner’s Statutory Document on transport managers, which includes:

• Driving licences and qualifications: making sure that drivers have the appropriate licence for the vehicle they’re driving, regular checks are carried out on the drivers’ licences, vocational drivers have a valid Driver Certificate of Professional Competence card, drivers are adequately trained and competent to operate all relevant vehicles and equipment, and you contribute to relevant training and disciplinary processes as required.
• Drivers’ hours and parking time: making sure that drivers follow drivers’ hours uses, drivers take the right number of breaks and periods of rest based on the relevant regulations which apply, and that drivers are recording their duty, driving time and rest breaks on the appropriate equipment or in drivers’ hours books and their records are being handed back for inspection as required.
• Keeping records: making sure that tachograph calibrations are up to date and displayed, you download and store data from the vehicle digital tachograph unit and drivers’ tachographs smart cards where appropriate, you keep all drivers’ hours records for at least twelve months, and you keep all working time records for at least twenty-four months.
• Vehicles on operator licences: making sure that vehicles are specified on the operator licence as required, vehicles are secure so they cannot be used by someone without permission of the operator, and there is sufficient contingency within the level of authority.
• Vehicle documents: making sure that operator licence discs are current and displayed correctly, there are up to date certificates of insurance indemnifying company cars, commercial vehicles, and plant vehicles, and that drivers have the correct documents they need for international journeys.
• Safety checks, inspections, and tests: making sure that vehicles are safe to use and roadworthy.
• Planning: making sure that safety inspections and other statutory testing are carried out within the notified operator licence maintenance intervals, you complete and display a maintenance planner to set preventative maintenance inspection dates at least six months in advance and including the MOT and other testing or calibration dates, you liaise with maintenance contractors, manufacturers, hire companies and dealers to ensure that vehicles are serviced in accordance with manufacturer recommendations, and that vehicles are available for safety inspections, service, repair, brake tests, and statutory testing.
• Driver daily checks and defect reports: making sure that vehicle payloads notifications are correct, height indicators are fitted and correct, your driver’s complete and return their driver defect reporting sheets and record defects correctly, reported defects are either recorded in writing or in a format which is readily accessible, reported defects are reported promptly, and vehicles that are not roadworthy are taken out of service.

Common misunderstandings

 

The Traffic Commissioner and what triggers enforcement

The Department for Transport works with agencies and partners to support the transport network that helps the UK’s businesses and gets people and goods travelling around the country. They plan and invest in transport infrastructure to keep the UK on the move.

The Traffic Commissioners for Great Britain is a tribunal of the Department for Transport. They are responsible for the licensing and regulation of those who operate heavy goods vehicles, buses and coaches, and the registration of local bus services. They are aided in this work by deputy Traffic Commissioners, who preside over a number of public inquiries.

Traffic Commissioners’ priorities:

• To ensure that people operating HGVs and PSVs are reputable, competent, and adequately funded
• To encourage all operators to adopt robust systems, so that there is fair competition and that the operation of goods and public service vehicles is safe
• To consider on behalf of the Secretary of State for Transport the fitness of drivers or those applying for passenger carrying vehicle or large goods vehicle driving licences based on their conduct
• To consider, and where appropriate impose, traffic regulation conditions to prevent danger to road users and/or reduce traffic congestion and/or pollution
• To ensure public inquiry proceedings are fair and free from any unjustified interference or bias
• To engage with stakeholders by listening to industry, meeting with local authorities, trade organisations, passenger groups and operators and presenting seminars

DVSA Stop

DVSA examiners may make visits to operating centres to examine vehicles or to check drivers’ records. They may also conduct spot checks at the roadside. They have the ability to enter and inspect a HGV or PSV and detain the vehicle during the time it is required for inspection, enter any premises they have reason to believe keep a HGV or PSV, and divert vehicles that are stationary at the roadside to another location for inspection within five miles. Their activities may extend beyond a visual inspection. They have a range of equipment that they may use during an inspection, such as roller brake testers and diagnostic equipment to check vehicle systems.

Investigation

DVSA carries out maintenance investigations of vehicle operator licence holders in England, Wales, and Scotland. The investigations check if the operator has suitable systems, facilities, and arrangements in place. DVSA may report the outcome of a maintenance investigation to the Traffic Commissioners for Great Britain.

Public Inquiry

A public inquiry is a formal tribunal hearing, where a traffic commissioner is the decision maker. There are three main types of public inquiry; those held to determine licence applications; reviews of operating centres (for goods operator licences only); and those held for regulatory reasons, where the future of transport operations will be considered.

A traffic commissioner may decide that a public inquiry is necessary to clarify information that has been received, which raises concerns. Alternatively, a traffic commissioner must hold a public inquiry if they are considering taking regulatory action against an existing licence and the operator requests a hearing, or if they are considering taking regulatory action against a transport manager’s good repute and/or professional competence, and the hearing has been requested.

Common triggers

• Missed or extended preventative maintenance inspections (PMIs) beyond the stated interval
• Poor defect reporting and poor rectification records
• Gaps in evidence of brake performance over time
• Poor management control
• Driver compliance issues

Risk signals checklist

 

Core undertakings and what “good” looks like

Maintenance systems and inspection intervals

A maintenance scheduling system, planner, or wall chart should be used to identify inspection dates at least six months in advance. A common failure for operators is missed or extended preventative maintenance inspections (PMI’s) beyond the stated interval. If you change your inspection schedule, the expected maximum equivalent time-frequency should be entered into the system. Then you must ensure the mixed frequency box is ticked on the vehicle operator licensing service (VOL) to record that a varied inspection frequency is being used. This same process should be used if a mixed time frequency is being used for different vehicles or trailers on the fleet.

Defect reporting and rectification control

There must be a system of reporting and recording defects that may affect the roadworthiness of the vehicle. This must include how they were rectified before the vehicle was used. A common failure for operators is weak defect reporting and poor rectification records. A robust driver defect reporting system details the initial walk-around check and any defects or ‘nil’ defects reported during the day for the various drivers of that vehicle. Reports must be recorded, and provision should be made to record details of any rectification work done.

Brake performance evidence

Every safety inspection should include a brake performance assessment using either a roller brake test (RBT), a suitable electronic braking performance monitoring system (EBPMS), or a decelerometer with temperature readings. A common failure for operators is providing insufficient evidence of brake performance over time. It is essential that the system provides braking performance evidence where this is to be used for the safety inspection braking performance report. A signed printout of the brake performance test from either the RBT, plate tester, or decelerometer should be attached to the safety inspection record. If the brake test equipment cannot produce a printout, the test results must be recorded by the inspector on the safety inspection report.

Record retention and retrieval speed

Driver walk-around checks, safety inspections, first-use inspections, and intermediate safety checks must be documented using either manual paper systems, electronic systems, or a hybrid of both, if the records are complete and accessible. A common failure for operators is paper records being incomplete, damaged, or missing. The result of this is often prohibitions, a negative impact on Operator Compliance Risk Score (OCRS), and audit exposure. Electronic records may be more suitable, but they must be tamper-proof and capable of producing hard copy information if needed, must be time-stamped and include secure signatures, and must show a clear audit trail from inspection to sign-off after repair. It is important that it includes a declaration that the vehicle is fit for service or whether repairs are needed.

Contractor control (if maintenance outsourced)

Even when a maintenance contract exists between you and a contractor, you are still legally responsible for the condition of the vehicle, the authorisation of any repair work undertaken and the retention of records. You need to be satisfied at all times that the level of maintenance agreed matches the demands placed upon vehicles and that the standards achieved by the contractor are kept at a sufficiently high level. A common failure with operators is needing to call upon the contractor to advise on a particular course of action, particularly when the operators’ technical knowledge is limited. This is why you should talk regularly with the contractor to ensure that they are familiar with the operational needs of the vehicles they must inspect and repair. You should have a system for regularly watching the quality of work done.

Management control: who takes vehicles off road, who signs them back

If you are the operator, you must ensure that someone within your organisation has the authority to decide whether a vehicle is always fit for service. That person must be available to decide whether a vehicle needs to be taken out of service and when it can be allowed back on the road after repairs. A common failure for operators is assuming this legal responsibility can be shared if the work is delegated. This activity may be delegated, in writing, if it is made clear what their responsibilities are, but the transport manager retains legal responsibility for vehicle roadworthiness, regardless of whether their activities are delegated.

 

Operator licence self-audit (step-by-step)

Maintenance Systems & Inspection Intervals

• A safety inspection is a periodic inspection that is carried out at pre-set intervals in line with what an operator has declared on the vehicle operator licensing service, which confirms roadworthiness and mirrors MOT scope. An inspection frequency would normally range between four to thirteen weeks. The DVSA recommends ten to thirteen weeks for lightly loaded vehicles, six to ten weeks for general haulage, four to six weeks for arduous work, and four weeks for off-road vehicles. Safety inspections should, where practical, be programmed to follow a time-based pattern like above. The frequency at which inspections are undertaken should be decided by assessing the level of mechanical deterioration likely to be incurred over a period because of the vehicle’s duty cycle, mileage, age, and usage. Assessing these factors for each vehicle will, in most cases, enable a time-based programme of inspections to be formulated. It is encouraged to monitor outcomes of inspections and adjust intervals if the level of defects rise. Older vehicles and trailers will need more frequent maintenance. A minimum safety inspections frequency of six weeks is needed for vehicles and trailers aged twelve years and older, unless operations clearly justify longer.
• A safety inspection report must be completed for each safety inspection for both vehicles and trailers. Each report should show the; name and signature of the inspector; location of the inspection; items to be inspected and the condition of each item inspected; details of any defects found; details of any remedial, rectification or repair work and who carried it out; and a signed statement declaring that all safety defects have been repaired satisfactorily and the vehicle is now in a safe and roadworthy condition. Safety inspection reports produced following an inspection not only provide the operator with the means to determine individual vehicle roadworthiness, but also the overall effectiveness of their maintenance systems that then allows them to find areas for review.
• Mileage-based inspection programs may be more suitable for some operators, if rotes and workloads vary, but will need to be linked to time. If you change your inspection schedule, it is needed to update the vehicle operator licence, entering into the system the expected maximum equivalent time-frequency of thirteen weeks and ensuring the mixed frequency box is ticked to record that a varied inspection frequency is being used. It is also sensible to continue to monitor outcomes monthly. A maintenance scheduling system, planner, or wall chart should be used to identify inspection dates at least six months in advance. To allow some flexibility in planning safety inspections, it is recommended that the International Organisation for Standardisation (ISO) week numbering system is used. With this system, the safety inspection should be completed within the relevant ISO week it falls.

Defect Reporting & Rectification Control

• A driver, or appointed responsible person, must conduct a walk-around check of a vehicle prior to using it on the public highway. A minimum of one walk-around check must be carried out every day, or at least once in every twenty-four-hour period that the vehicle is in service. There must be a system of reporting and recording defects that may affect the roadworthiness of the vehicle. This must include how they were rectified before the vehicle is used. These reports and records must be kept.
• Drivers should be aware that reporting defects promptly is a critical element of an effective vehicle roadworthiness system. Any defects, or symptoms of defects, that could prevent the safe operation of the vehicle, found during the walk-around check, while the vehicle is in use, or on its return to base, must be the subject of a written report by the driver or some other person responsible for recording defects. It is good practice to complete and keep ‘nil’ defects reported during reports as they are a useful means of checking that drivers are carrying out their duties and these forms can be used for audit purposes. A ‘nil’ defects reported during reporting system proves a check has been conducted and is a positive report that the vehicle is free from defects. It is recommended that ‘nil’ defect reports are kept for at least three months.
• A robust driver defect reporting system details the initial walk-around check and any defects or ‘nil’ defects reported during the day for the various drivers of that vehicle. Reports must be recorded, and provisions should be made to record details of any rectification work done.

Brake Performance Evidence

• To follow best practice and legislation, there is an expectation that every safety inspection will include a brake performance assessment using either a roller brake test (RBT), a suitable electronic braking performance monitoring system (EBPMS), or a decelerometer with temperature readings. Operators must satisfy themselves that the methods used to assess brake performance are sufficient to meet the requirements of Regulation 18 of the Road Vehicles (Construction and Use) Regulations 1986.
• To follow best practice and comply with legislation, there is an expectation that every safety inspection will include a brake performance assessment using either a RBT, a suitable EBPMS, or a decelerometer with temperature readings. A signed printout of the brake performance test from either the RBT, plate tester, or decelerometer should be attached to the safety inspection record. If the brake test equipment cannot produce a printout, the test results must be recorded by the inspector on the safety inspection report. If using RBT to monitor brake performance, the RBT report needs to be provided to the person conducting the safety inspection. A copy of the RBT report generated must be kept on the vehicle’s maintenance file. If using EBPMS to monitor brake performance, there must be an evaluation of the performance report before every safety inspection by a competent person who can interpret the data. The evaluation must be signed, dated, and attached to the vehicle record together with the performance data report.
• At present, EBPMS is only available for use on trailers. Trailers fitted with EBPMS would only require a laden brake test if there was insufficient data to produce a report to confirm the correct operation of the system or where work has been carried out on the braking system that may have affected braking performance. Where EBPMS is not used, it is expected there will be a minimum of four laden brake tests spread evenly across the year. This can include the annual test. A decelerometer with temperature readings would be an acceptable means of a performance assessment, where this is done unladen, then refer to acceptable reasons for not carrying out a laden brake assessment. Where satisfactory results cannot be achieved, another method to assess the brake performance needs to be used. Where a satisfactory EBPMS evaluation report is not available or a laden RBT is not carried out with the safety inspection, a risk assessment must be completed by a competent person who understands braking systems and components. However, there is an expectation that every attempt must be made to conduct a laden RBT.

Record Retention and Retrieval Speed

• Records of driver walk-around checks, defect reports, safety inspections, first-use inspections, intermediate safety checks, and repair records, must be kept for at least fifteen months for all vehicles. This includes vehicles that have been removed from the operator licence or have been sold or otherwise disposed of. They must be documented using either manual paper systems, electronic systems, or a hybrid of both, if they meet the DVSA’s security and audit requirements and have the essential information that can be made available for examination.
• If paper records are incomplete, damaged, or missing, the result is often prohibitions, a negative impact on Operator Compliance Risk Score (OCRS), and audit exposure.

Contractor Control

• It is essential to have a written contract that sets out precise details of vehicles covered, inspection frequency, type of check, and repair policy. Any subcontractors used should be detailed in the contract. The contract must be kept on the operator’s maintenance file and produced on request. You must also make sure the contracted maintenance provider details are up to date on the vehicle operator licensing service.

Management Control

• There must be an internal system to ensure that unroadworthy vehicles are removed from service, with someone responsible for taking vehicles off the road. If you are the operator, you must ensure that someone within your organisation has the authority to decide whether a vehicle is always fit for service. That person must be able to decide whether a vehicle needs to be taken out of service and when it can be allowed back on the road after repairs. The transport manager stays legally responsible for vehicle roadworthiness, regardless of whether their activities are delegated.

Download our self-audit checklist here.

 

Preparing for a Traffic Commissioner Public Inquiry

A public inquiry is a formal tribunal hearing, where a traffic commissioner is the decision maker. There are three main types of public inquiry; those held to determine licence applications, reviews of operating centres, and those held for regulatory reasons where the future of transport operations will be considered.

A public inquiry is not a criminal court and so the traffic commissioner will be concerned with the position of the operator at the date of the public inquiry. One way of showing that you meet the conditions of an existing licence is to bring the records requested in the letter calling you to public inquiry to the hearing. If the traffic commissioner finds that the requirements are not met, then they may refuse an application or take action against the licence or your refute as a transport manager.

The letter advising operators and transport managers of a hearing will also include specific directions and instructions. These should be followed in full. It is usual for certain documents to be required to be sent in advance of a hearing. Commonly requested documents relate to vehicle maintenance records and evidence to show compliance with drivers’ hours. It is important that any document or evidence is sent to the relevant Office of the Traffic Commissioner in the period stated, so that there is sufficient time for it to be carefully considered. If documents are not received following instructions, a traffic commissioner may decide not to take them into account. This could have a negative impact for the operator or transport manager.

When hearing an application, the traffic commissioner will consider evidence from the applicant and if required any valid opposition to the application. When reviewing an operating centre, the traffic commissioner will consider evidence from the operator and any valid complainants. In regulatory cases the traffic commissioner will consider evidence from the operator and usually evidence provided by the DVSA and/or other enforcement bodies.

It may be helpful to prepare some notes in advance, listing the relevant points you wish to raise at the inquiry, baring in mind the factors the traffic commissioner may consider.

Good Repute and Fitness

An applicant for a standard or restricted licence must be of good repute. Fitness is an essential element of an operator’s repute, and it is more than just convictions, it is the ability to meet the requirements/undertakings of the operator’s licence.

A useful indication of relevant evidence would be attendance on an operator licence awareness course, run by either a trade association, a professional body, an approved examination centre offering the relevant transport manager CPC qualification for the type of licence held, or a firm of solicitors with significant experience with road transport regulatory and compliance issues.

When compiling a submission to a traffic commissioner, members of staff should gather all relevant information, complete the template, provide facts, distinguishing information from evidence, and quote dates and licence numbers if applicable, be precise and to the point, and provide a recommendation which is fully supported by the relevant legislation.

Finance

Applicants for a standard or restricted licence must be of the proper financial standing as required.

Operators must be able to prove that it has at its disposal, always, capital, and reserves of £8,000 for the first heavy goods vehicle, £4,500 for each additional heavy goods vehicle and £800 for any authorised light goods vehicles. Operators of only light goods vehicles must show £1,600 for the first vehicle and £800 for each additional.

The case law for standard licences refers to the statutory purpose for the requirement of having available finance, namely that the holder of an operator’s licence has the financial resources available to ensure that its vehicles are safe to use on public rods, its passengers and other road users are not put at risk by them, and that it can compete fairly with other operators, within the constraints of the regulatory regime.

“It is necessary for road transport undertakings to have a minimum financial standing to ensure their proper launching and administration.” – Upper Tribunal, 2012/017NCF (Leicester) Ltd.

The provisions allow flexibility in how the continuing and mandatory requirements might be satisfied for standard national and international operators, including certified annual accounts comprising balance sheet, profit and loss accounts and notes on accounts, certified opening balance for new operators – a properly accredited person can provide a statement of assets and liabilities before they start trading – and financial guarantee. The reference to the acceptability of certified accounts must be read in context whereby it will prove every year that it has capital and reserves meeting the prescribed sum.

Arrangements might be provided in several ways, and the onus is on the applicant to prove that it meets the requirements.

Examples of available money – where the only decision the operator must take is whether to spend the money – include a credit balance in a bank account, the unused part of an overdraft, or the unused credit limit on a credit card.

“One purpose of the mandatory and continuing requirement to have appropriate financial standing is to avoid situations in which an operator says: ‘I know that this vehicle requires a safety critical repair but I cannot afford to have it done so I will carry on using the vehicle to earn enough money for the repair to be carried out.’” – Judge Broderick, 2014/065 Trevor Kevin Dibnah trading as Weyside Travel

An operator may prove the availability of financial resources or capital and reserves if he has money in the bank, which is capable of being used, or an overdraft at his disposal in the sense that there is a balance indrawn before the limit is reached.

Where a standard licence holder cannot prove financial standing, it is allowed, but not required, for the traffic commissioner to provide a period to rectify the situation. The operator may be given a limited time to make written representations before the traffic commissioner decides whether to allow time for rectification and for what period by way of a notice served under the legislation. On receipt of evidence from the DVSA, Courts, or other reputable sources that there are outstanding sums owed to a Court, then a request for an explanation and for proof of available finances should be sent to the operator before being given to the traffic commissioner.

“When considering whether or not to grant a period of grace, Traffic Commissioners will need some tangible evidence, beyond mere hope and aspiration, that granting a period of grace will be worthwhile, and that there are reasonable prospects for a good outcome. Some sort of analysis along these lines will be necessary because, amongst other reasons, Traffic Commissioners have to decide how long to grant.” – Upper Tribunal, 2014/008 Duncan McKee.

The largest allowable period of grace for financial standing is six months to show that the requirement will be met on a permanent basis. Financial standing is an important means by which a transport business becomes established and is intended to support the maintenance of vehicles and trailers during operation. It is a condition of an operators licence that changes in the availability of finance are notified to the traffic commissioner. On any application for a period of grace, a traffic commissioner will wish to be satisfied that the operator is not insolvent, there are no outstanding maintenance or other issues which might impact on road safety, and that this is not an attempted device to avoid responsibility for alleged failures in compliance.

Operators should understand that if, upon expiry of a period of grace, financial standing has still not been proven, then the operator’s licence will have to be revoked. As an alternative to seeking a period of grace, operators might wish to consider whether other sources of finance might be secured or look to persuade the traffic commissioner to accept a voluntary reduction in authority to a level which can be supported by the available finance. If they wish to continue with a period of grace, the operator will need to set out how the absence of financial standing will be remedied. A traffic commissioner will require tangible evidence to show that financial standing can be met in the future.

Transport Managers

A transport manager is a person employed by an undertaking or another person appointed by that undertaking by means of a contract, who effectively and continuously manages the transport activities of that undertaking.

A designated transport manager must; be of good repute; be professionally competent; effectively and continuously manage the transport activities of the undertaking; not be prohibited from acting as a transport manager by a traffic commissioner, and; must not be designated to act as external transport manager for more than four operators or be responsible for more than fifty vehicles or such smaller number as the traffic commissioner considers appropriate.

Transport managers should be able to supply a suitable certificate of qualification. They should be able to show that, however infrequently vehicles return to the operating centre, he or she is able to and does exercise continuous and effective management of the vehicles on a day-to-day basis.

“Given the importance attached to operators complying with the regulatory regime and given that transport managers must effectively and continuously manage the transport activities of an undertaking holding an operator’s licence, it seems to us that whether or not an individual has the character, personality, ability and leadership qualities to ensure compliant operation as an operator or to effectively and continuously manage the transport activities as a transport manager is a factor which can be, properly, be taken into account when assessing good repute.” – 2014/050 Andrew Harris trading as Harris of Leicester

When considering whether to disqualify a transport manager, the traffic commissioner will consider the available evidence when determining the need to disqualify and the length of any order relevant matters might include: admissions as to any misconduct, proposed remedial measures, reliability of the evidence provided and acceptance of the individual’s responsibilities.

Applicants for the post of transport manager should have high-quality professional knowledge. Continuing Professional Development is the term used to describe the learning activities professionals engage in to develop and enhance their abilities. This practice promotes learning to be conscious and proactive, rather than passive and reactive. If there has been some time since CPD was undertaken, the starting point for evidence would be for the completion of a two day transport manager CPC refresher course, run by either a trade association, a professional body, an approved exam centre offering the relevant transport manager CPC qualification for the type of licence held, or a firm of solicitors with significant experience with road transport regulatory and compliance issues.

A transport manager should expect to provide evidence of their capacity to meet the statutory duty through continuing professional development at Public Inquiry when considering whether a transport manager has exercised continuous and effective management.

The person or persons concerned should have knowledge which would be shown with a compulsory written examination which may be supplemented by an oral examination.

The production of an extract from a judicial record or an equivalent document issued by a competent judicial or administrative authority would be accepted as sufficient proof of good repute. A certificate issued by a competent judicial or administrative authority stating that conditions have been met would be accepted as sufficient proof if the document cannot be provided. That document or certificate may be replaced by a declaration on oath or by a solemn declaration made by the transport manager or any other relevant person before a competent judicial or administrative authority or before a notary. Such authority or notary shall issue a certificate authenticating the declaration on oath or the solemn declaration.

“The case of good repute it does not automatically follow that good repute is restored at the end of a disqualification. Instead, it simply means that the person concerned has an opportunity to apply to act as a transport manager, (or in the case of disqualification from holding or obtaining an operator’s licence, to apply for a licence). It is open to a Traffic Commissioner to call in such an application to resolve any lingering doubts as to whether good repute, in either capacity, has, in fact, been restored. By contrast at the end of a period of disqualification… the person concerned can again use their Certificate of Professional Competence as conclusive proof that they are professionally competent.” – 2014/050 Andrew Harris trading as Harris of Leicester

Demonstrate change by showing that effective systems are in place so that the transport manager either alone or jointly with one or more other persons, has continuous and effective responsibility for the management of the transport operations of the business. If someone else is aiding the transport manager, show what qualifications they hold, how they will be supervised and how the transport manager will meet the obligation to exercise continuous and effective responsibility. Show what technology and management systems will be utilised, and how the compliance management of the organisation will support the transport manager in meeting the statutory duty. Describe the number of times and length of period that the transport manager intends to visit each operating centre, and whether the transport manager has ready access to relevant records including records of remedial action.

A Certificate of Professional Competence from any European Union member state should be taken as evidence of a transport manager’s capability to perform that role, subject to matters that might affect the transport managers’ good repute. The transport manager should be up to date with the current requirements of the operator licence and should be able to ensure that the required records are completed and maintained.

 

Digital systems and audit-ready compliance

Driver walk-around checks, safety inspections, first use inspections and intermediate safety checks must be documented using either manual systems or electronic systems or a hybrid of both.

However, paper records come with the risk of being incomplete, damaged, or missing, having slow retrieval times, missing signatures, and not being able to control or update versions of records.

In contrast, the right digital solution can add benefits to any maintenance system by providing ease of access to all relevant data in one place, including safety inspections, unplanned maintenance, inspection reports, driver defect reporting system, and fleet management.

Electronic systems accepted by the DVSA must:

• Be tamper-proof
• Have a clear end-to-end audit trail from inspection to sign-off after repair
• Have instant access to downloaded reports or be capable of producing hard copy information if needed
• Have a back-up and disaster recovery system
• Include effective date and time stamping to make sure data is reliable
• Be accessible for sufficient delegated people to support effective management control in case of staff absence
• Have digital authentication to support driver signatures and secure logins

This applies to driver daily walk-around checks, in-service defects, PMI’s, brake results, planners, safety inspections, first-use inspections, and intermediate safety checks. These records must be kept for at least fifteen months as part of a vehicle’s maintenance history.

 

How Autocheck supports operator licence compliance

Autocheck was built to make creating, managing, and completing inspections simple and flexible for any fleet. Whether you are running weekly driver checks, scheduling six or eight weekly PMIs, or completing specialist inspections, Autocheck puts everything you need in one easy-to-use system. We provide you with unlimited templates – including digital inspection templates aligned to asset type – colour-coded reports, digital sign-off, and a full audit trail, all without extra fees. We are a UK hosted platform with 99.9% uptime and frequent backups.

With Autocheck, you can create fully customisable inspection templates tailored to different vehicle types. We keep every inspection you complete securely stored, fully searchable, and ready to share whenever you need it. Whether you are preparing for an audit, sending reports to customers, or simply reviewing a vehicle’s history, everything is at your fingertips, with no paperwork and no delays.

Every completed inspection automatically generates a professional, branded job card; colour-coded for clarity and stored indefinitely for full compliance and audit readiness. This helps keep your maintenance history organised and complete.

Autocheck allows you to store important documents against each vehicle or trailer, such as V5 certifications, tax and insurance documents, service contracts, maintenance histories, and inspection reports. Everything is securely backed up, searchable, and accessible whenever you need it. We provide you with an audit trail that is tamper-resistant with time stamps, plus rapid exports for hearings.

On our app, every action is logged and stored securely against the vehicle for a complete, easily accessible audit trail for inspections, compliance reviews, and internal checks. The process is simple, clear, and designed to keep your fleet safe, compliant, and on the road without delays.

Whether you are managing a small fleet or hundreds of assets, we want to make it easier to stay organised, reduce errors, and meet your compliance obligations effortlessly. Everything is stored securely, so your records are always clean, current, and ready for audits or roadside inspections.

Autocheck is built to grow with your business. Our flexible platform handles fleets of all shapes and sizes, without extra costs or complicated upgrades. There are no limits on the number of vehicles, trailers, or users you can add, so cadence is not limited by seat licences. You can segment and filter assets by type, depot, hire status, or custom tags. You can keep a clear, searchable history of inspections, defects, and repairs. You can stay audit-ready with detailed version histories and digital records. Your data is securely stored, backed up, and accessible whenever you need it. We give you the freedom to scale your operations without worrying about system restrictions or hidden fees, making it the smart choice for growing fleets.

If you would like a closer look at how Autocheck can help you stay compliant, organised, and in control, download our free brochure to explore everything we offer.

If you want genuine advice from real people about how Autocheck can work for you, book a demo here and one of our team members will be in touch to book a time that suits you.

 

FAQs

How often should safety inspections be done?

An inspection frequency would normally range between four to thirteen weeks. The DVSA recommends ten to thirteen weeks for lightly loaded vehicles, six to ten weeks for general haulage, four to six weeks for arduous work, and four weeks for off-road vehicles.

Safety inspections should, where practical, be programmed to follow a time-based pattern like above. The frequency at which inspections are undertaken should be decided by assessing the level of mechanical deterioration likely to be incurred over a period because of the vehicle’s duty cycle, mileage, age, and usage.

Older vehicles and trailers will need more frequent maintenance. A minimum safety inspection frequency of six weeks is needed for vehicles and trailers aged twelve years and older, unless operations clearly justify longer.

How long must records be kept?

Records must be kept for at least fifteen months. This includes:

• Records of safety inspections for all vehicles, including vehicles that have been removed from the operator licence or have been sold or otherwise disposed of
• Drivers’ defect reports used to record any faults and rectification work, including nil returns if you use them
• Brake performance evidence

Driver walk-around checks, safety inspections, first-use inspections, and intermediate safety checks must be documented using either manual paper systems, electronic systems, or a hybrid of both, if the records are complete and accessible.

What should be in a safety inspection report?

A safety inspection report must be completed for each safety inspection for both vehicles and trailers. Each report should show:

• The name and signature of the inspector
• Location of the inspection
• Items to be inspected and the condition of each item inspected
• Details of any defects found
• Details of any remedial, rectification, or repair work and who carried it out
• A signed statement declaring that all safety defects have been repaired satisfactorily and the vehicle is now in a safe and roadworthy condition

Safety inspection reports produced following an inspection not only provide the operator with the means to determine individual vehicle roadworthiness, but also the overall effectiveness of their maintenance systems that then allows them to find areas for review.

What happens if you miss inspections?

The DVSA and Traffic Commissioners require – under the Goods Vehicles (Licensing of Operators) Act 1995 and the Public Passenger Vehicles Act 1981 – for vehicles to be kept in a fit and serviceable condition through adequate facilities and satisfactory arrangements.

Missed or extended preventative maintenance inspections (PMI’s) beyond the stated interval can be considered non-compliance. Operational needs must not override safety considerations.

Failure to comply can lead to prohibitions, public inquiries, curtailment, or loss of vocational driving licence or operator’s licence.

Can you use electronic records?

Electronic records are acceptable to the DVSA, provided that they contain the essential information that can be made available for examination, show a clear audit trail from inspection to sign-off after repair, and are tamper-proof, capable of producing hard copy information if required, and time-stamped. They must remain available for fifteen months.

What should I bring to a public inquiry?

A public inquiry is a formal tribunal hearing, where a traffic commissioner is the decision maker. There are three main types of public inquiry; those held to determine licence applications, reviews of operating centres, and those held for regulatory reasons where the future of transport operations will be considered.

A public inquiry is not a criminal court and so the traffic commissioner will be concerned with the position of the operator at the date of the public inquiry. One way of showing that you meet the conditions of an existing licence is to bring the records requested in the letter calling you to public inquiry to the hearing. If the traffic commissioner finds that the requirements are not met, then they may refuse an application or take action against the licence or your refute as a transport manager.

The letter advising operators and transport managers of a hearing will also include specific directions and instructions. These should be complied with in full. It is usual for certain documents to be required to be sent in advance of a hearing. Commonly requested documents relate to vehicle maintenance records and evidence to show compliance with drivers’ hours. It is important that any document or evidence is sent to the relevant Office of the Traffic Commissioner in the time stated, so that there is sufficient time for it to be carefully considered. If documents are not received following instructions, a traffic commissioner may decide not to take them into account. This could have a negative impact for the operator or transport manager.

When hearing an application, the traffic commissioner will consider evidence from the applicant and if required any valid opposition to the application. When reviewing an operating centre, the traffic commissioner will consider evidence from the operator and any valid complainants. In regulatory cases the traffic commissioner will consider evidence from the operator and usually evidence provided by the DVSA and/or other enforcement bodies.

It may be helpful to prepare some notes in advance, listing the relevant points you wish to raise at the inquiry, baring in mind the factors the traffic commissioner may consider.

Can I change my PMI interval?

Yes, if you change your inspection schedule, it is sensible to monitor the effect on roadworthiness monthly. If an unacceptable increase in defects were seen, then a change back to the original schedule would be necessary.

Update the vehicle operator licensing service (VOL) when you change the basis. VOL records a time-based frequency for both vehicles and trailers. Therefore, if a mileage-based frequency is adopted, the expected maximum equivalent time-frequency should be entered into the system. Then ensure the mixed frequency box is ticked on VOL to record that a varied inspection frequency is being used. This same process should be used if a mixed time frequency is being used for different vehicles or trailers on the fleet. Keep evidence that roadworthiness has not suffered and use the International Organisation for Standardisation (ISO) week numbering system, so safety inspections are completed within the relevant ISO week it falls and to prevent creep.

Who is responsible if maintenance is outsourced?

If you are an operator, you must decide whether to undertake your own safety inspection and maintenance work in-house or to contract all or part of the work to someone else. If you decide to provide your own safety inspection facilities, you must ensure that they are adequate, even if the inspection is contracted out. If you choose to outsource any of your maintenance, you need to take steps to ensure the maintenance facility is adequately equipped and completes any work to a satisfactory standard. The quality of the work and the workshop facilities should be periodically reviewed by undertaking quality assurance checks.

If you decide to use a contractor, you are still responsible for the condition of vehicles that are inspected and/or maintained for you by your agents or contractors. Care must be taken to ensure that the facilities used by the contractor are adequate. This includes any work carried out by subcontractors.

Facilities must be a safe working environment and should include:

• Undercover accommodation for the largest vehicle in the fleet
• Tools and equipment appropriate to the size and nature of the fleet
• An adequate under-vehicle inspection facility
• Adequate lighting
• Access to brake test equipment
• Brake temperature sensing device
• Tread depth gauge
• Tyre pressure gauge
• Access to on-board diagnostic equipment
• Access to emissions testing equipment
• Access to steam or pressure under-vehicle washing facilities.

If an operator does not keep vehicles in a safe and roadworthy condition with the facilities provided, the Traffic Commissioner may take regulatory action.

Make sure that the contractors’ staff are competent. This can be done by obtaining evidence of technical training, qualifications, and continuous professional development (CPD). You should also establish that the contractor uses proper technical data and inspection manuals and has suitable systems to record safety inspections and repairs.