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COMPLIANCE AUDIT

Comprehensive DVSA-Style Compliance Audits: Fortify Your Operations

Free Compliance Consultation

  • Protect Your Operator's Licence: Our audits help identify and rectify issues before the DVSA does, safeguarding your most vital asset.
  • Avoid Costly Penalties & Public Inquiries: Proactive compliance dramatically reduces the risk of fines, prohibitions, and calls to the Traffic Commissioner.
  • Boost Your OCRS Score: Understand your Operator Compliance Risk Score and get actionable insights to improve it, reducing roadside stops and enforcement visits.
  • Gain Complete Peace of Mind: Rest assured knowing your systems, drivers, and vehicles meet the latest DVSA standards and regulations.
  • Customised for the UK Transport Sector: We offer bespoke audits tailored to the unique challenges and regulatory landscape faced by UK HGV and PSV operators.
  • Expert Insight, Clear Actions: Receive practical, easy-to-implement recommendations from seasoned compliance specialists, not just a list of problems.
  • Identify Hidden Weaknesses: Our comprehensive review goes beyond surface-level checks to uncover systemic issues that could lead to non-compliance.
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DVSA Compliance Audit Areas

Comprehensive DVSA Compliance Audit Areas

Our detailed DVSA-style compliance audit covers all critical aspects of your operation to ensure full adherence to regulations and help you maintain a strong OCRS score. Explore the key areas we meticulously review:

🚛 Driver Management Systems

  • Driver Licence Checks: Verification of validity, categories, and endorsements, ensuring all drivers are legally qualified.
  • Training & Record Keeping: Comprehensive review of Driver CPC, DQC card logs, induction training, and ongoing professional development records.
  • Daily Checks & Defect Reports (DDI/DDR): Assessment of systems for drivers to conduct daily walkaround checks, reporting, and timely rectification of defects.
  • Driver Hours & Tachograph Management: Scrutiny of planning, recording, and scheduling to ensure compliance with driver hours regulations (EU & Domestic).
  • Working Time Directive (WTD) Records: Examination of records for adherence to Road Transport (Working Time) Regulations 2005.
  • Tachograph Analysis & Infringement Management: Review of analysis software usage, accurate reporting, and effective management of driver infringements.
  • Road Traffic Offences & Outcomes: Systems for recording, investigating, and managing road traffic offences and their outcomes.
  • HR & Disciplinary Procedures: Assessment of HR documentation, investigation processes, and disciplinary actions related to driver conduct and compliance.

🛠️ Vehicle Maintenance Systems

  • Preventative Maintenance Inspections (PMIs): Detailed review of PMI planning, execution, and associated records (e.g., roller brake tests, tacho-calibration).
  • Maintenance Planner & Aids: Assessment of systems for scheduling and tracking vehicle maintenance, including wall planners or digital aids.
  • Defect Detection, Recording, & Repair (3Rs): Evaluation of the entire defect management process, from identification to rectification and documentation.
  • GV79D Maintenance Provider Contracts: Review of agreements and communication with third-party maintenance providers to ensure standards are met.
  • Vehicle Documentation: Verification of mandatory vehicle documentation, including MOT certificates, plating certificates, and vehicle registration.
  • Spot Checks & Management Controls: Assessment of management's proactive checks and controls to monitor vehicle roadworthiness and compliance.
  • Wheel & Tyre Maintenance Policy: Examination of policies and records related to wheel and tyre condition, including torqueing and replacement.
  • Vehicle Off Road (VOR) Policy: Review of procedures for managing vehicles that are temporarily out of service due to defects or maintenance.
  • AdBlue Usage Monitoring: Assessment of AdBlue consumption records and systems to ensure proper usage and environmental compliance.

💻 Online Systems & Licensing Management

  • Vehicle Operator Licence (VOL) Management: Review of systems for managing your VOL, including amendments and declarations.
  • OCRS Status & Improvement Plan: Assessment of your Operator Compliance Risk Score (OCRS) and strategies to achieve or maintain a 'Green' status.
  • OTC Communications & Readiness: Review of procedures for managing communications with the Office of the Traffic Commissioner and readiness for inquiries.
  • Publication Guidance & Access: Understanding and application of official DVSA guidance and accessibility to relevant regulatory documents.
  • Operating Centre Suitability & Margin: Verification of the suitability of operating centres and ensuring sufficient margin for vehicles/trailers.
  • Hired Vehicle Arrangements: Review of policies and procedures for the hiring, use, and returning of hired vehicles.

📜 Safe Loading Management

  • Correct Loading/Unloading Procedures: Examination of systems and training for the safe and compliant loading and unloading of vehicles.
  • Overloading Prevention: Review of guidance and systems in place to prevent vehicle overloading, including weight checks and load distribution.
  • Vehicle Load Security: Assessment of methods and policies for securing loads to prevent movement during transit, ensuring road safety.

📚 Legal Entity: Verifying company and licence accuracy.

Ensuring details are accurate on Government websites, including your Vehicle Operator Licence (VOL) and Companies House checks, is fundamental to compliance.

A legal entity is a person or organisation recognised by law as having its own rights and responsibilities. In the UK, common types include companies, partnerships, trusts, and charities.

The most common legal entity in the UK transport sector is a company. A company is a separate legal person from its owners, meaning it can own property, enter contracts, and sue or be sued in its own name. Companies are also subject to specific laws and regulations.

Partnerships, another common legal entity, involve a business owned by two or more people. Unlike companies, partnerships are not separate legal entities from their owners, making partners personally liable for the partnership's debts and obligations.

Our audit includes checking your business's status, directors, and any changes against the Companies House register. This rigorous verification helps us ensure the accuracy and validity of your business entity, a crucial aspect of your compliance.

🏙️ Operating Centres/ Yard: Ensuring suitability & compliance.

We review evidence supporting your designated Operating Centres, including locations and the number of vehicles per centre, ensuring they meet regulatory standards.

An operating centre for a UK transport business is the primary location where goods vehicles are typically kept when not in use. This can be a depot, warehouse, or even a customer's premises. When applying for an operator's licence, you must provide the address(es) of your proposed centre(s) and details of the trailers and vehicles to be kept there. Your operating centre must demonstrate that it is:

  • Sufficiently large enough for your fleet.
  • Equipped with safe access for vehicles.
  • Located in an environmentally acceptable area.

The Traffic Commissioner must be satisfied that your operating centre(s) are suitable before issuing an operator's licence. Key considerations when choosing an operating centre include:

  • The size of your fleet.
  • The type of vehicles you operate.
  • The location of your customers.
  • The availability of parking facilities.
  • The cost of rent or lease.

It is crucial to select an operating centre that is both suitable for your operational needs and fully compliant with all regulations. If you are unsure where to start, seeking advice from the DVSA or a transport consultant can provide invaluable guidance.

🔧 PMI/ Maintenance: Roadworthiness checks & quality assurance.

We assess the availability, quality, and rigorous checks in place to ensure your vehicles are roadworthy and safe.

Preventive Maintenance Inspections (PMIs) are vital for identifying potential equipment problems before they cause costly failures. These inspections are typically scheduled based on manufacturer recommendations or the equipment's operating history.

The numerous benefits of performing regular PMIs include:

  • Preventing equipment failures.
  • Reducing vehicle downtime.
  • Increasing equipment lifespan.
  • Improving overall safety.
  • Reducing maintenance costs.

During a PMI, a technician meticulously follows a comprehensive checklist. This checklist typically covers items such as:

  • Checking for leaks.
  • Inspecting for loose or damaged components.
  • Ensuring proper lubrication.
  • Verifying correct electrical connections.
  • Checking for proper alignment.

Should any issues be found during a PMI, the technician will take immediate steps to rectify them, which may involve repairing the equipment, replacing a faulty part, or adjusting a setting.

PMIs are a critical part of any effective equipment maintenance programme. By performing regular PMIs, you can significantly prevent equipment failures, minimize downtime, and extend the operational life of your fleet.

For more about PMIs, visit our dedicated page.

🚶‍♂️ Driver Walkarounds: Daily checks for vehicle safety.

We review the systems in place for drivers to perform essential walkaround checks and report defects, ensuring daily roadworthiness.

HGV driver walkarounds are a mandatory safety check that drivers must conduct before each journey. These checks are specifically designed to identify any potential issues with the vehicle that could compromise its safety on the road.

The comprehensive checks cover the entire vehicle, including any attached trailer. Drivers are required to carefully assess both interior and exterior components that can be safely inspected. Key items to check include:

  • Tyre condition and pressure.
  • Brake systems and all components.
  • Steering responsiveness.
  • All lamps, direction indicators, and hazard warning lamps.
  • Windscreen wipers and washers.
  • Mirrors for visibility.
  • Fuel and oil levels.
  • Overall bodywork integrity.
  • Trailer coupling security.
  • And other critical items.

If any problems are identified during the walkaround, the driver must *not* operate the vehicle until the issues have been rectified. Drivers are also legally obligated to record the results of their walkaround and report any defects to their employer.

The DVSA (Driver and Vehicle Standards Agency) routinely conducts roadside checks on HGVs. Drivers can be stopped and prevented from continuing their journey until defects are fixed, or they may face fines. Driver walkarounds are therefore a crucial part of maintaining HGV safety on the road. By diligently performing these checks, drivers significantly contribute to preventing accidents and ensuring the safety of themselves and other road users.

For a comprehensive list of things to check during a driver walkaround, click here.

📝 Driver Defect Reporting: Ensuring defects are logged & fixed.

We examine the system in place to report defects and ensure a robust closed-loop process that guarantees all issues are promptly fixed.

Driver defect reporting is the critical process of documenting and reporting any faults discovered on a Heavy Goods Vehicle (HGV) during the mandatory daily walkaround check. This is a legal requirement for all HGV drivers operating in the UK.

The primary purpose of driver defect reporting is to ensure that HGVs remain safe to drive and that any identified defects are rectified as quickly as possible. Unreported defects pose a serious risk to the safety of the driver, other road users, and pedestrians.

Drivers are required to carry out a comprehensive daily walkaround check of their HGV before commencing their journey. This check should include a thorough inspection for any obvious defects, such as:

  • Worn or damaged tyres.
  • Malfunctioning lights.
  • Brakes not operating correctly.
  • Oil leaks.
  • Damage to the bodywork.

If any defects are found, the driver must report them immediately to their employer or the person responsible for HGV maintenance. The defect must also be officially recorded on a vehicle defect report form.

Crucially, the driver must *not* operate the HGV until the defect has been rectified. If the defect is deemed dangerous, the driver must stop the vehicle immediately and not drive it until it is safe to do so.

Drivers who fail to perform daily walkaround checks or neglect to report defects can face fines from the Driver and Vehicle Standards Agency (DVSA), and in severe cases, may even be disqualified from driving. Adhering to these responsibilities is vital for all HGV drivers to ensure their own safety and that of everyone else on the road.

🏭 Inspection Facilities & 3rd Party: Oversight of maintenance providers.

We meticulously review your maintenance facilities or contracts with third-party service providers, ensuring compliance and quality workmanship.

The DVSA issues comprehensive guidelines for both in-house and third-party maintenance facilities, designed to ensure all vehicles are maintained to the highest standards and are safe for road use. These guidelines cover a wide range of topics, including:

  • The essential facilities that must be available at a maintenance centre.
  • The required qualifications and experience of all staff working at the facility.
  • The precise procedures that must be followed when carrying out any maintenance work.
  • The necessary records that must be diligently kept by the maintenance facility.

If you are considering using a maintenance facility, it is paramount to verify their adherence to DVSA guidelines. You can typically do this by requesting their DVSA inspection report or by contacting the DVSA directly.

Key points of the DVSA guidelines for maintenance facilities emphasize that:

  • The facility must have ample space for maintenance work.
  • The facility must possess all necessary equipment.
  • Staff must be qualified and experienced.
  • Procedures must ensure correct maintenance execution.
  • Comprehensive records of all maintenance work must be kept.

In our detailed compliance audits, Fleet Transport Consultants (FTC) places significant emphasis on how effectively operators manage and communicate with third-party service providers for services such as inspections, tyre repairs, and other essential maintenance tasks. Our audit specifically examines:

  • Control Systems: We assess your systems for consistently reviewing the quality of work performed by external providers, emphasizing stringent oversight regardless of the provider's size or reputation.
  • Communication Protocols: We evaluate the effectiveness of communication channels between your operation and your service providers, ensuring prompt issue resolution and efficiency.
  • Workmanship Review: We check for regular reviews and assessments of third-party workmanship. As specific legislation doesn't directly protect operators from substandard external work, proactive monitoring and evaluation are essential.

By focusing on these crucial areas, our audits empower operators to establish robust control and communication mechanisms with their third-party service providers, ensuring all maintenance and repair work consistently meets necessary standards and supports overall compliance and safety.

♻️ Vehicle Emissions (AdBlue): Monitoring usage for compliance.

We review your systems for measuring fuel and AdBlue usage, ensuring environmental compliance and efficient operation.

AdBlue is a solution of urea and deionized water, essential for reducing emissions from diesel engines. It is a key component of Selective Catalytic Reduction (SCR) technology, widely used in many HGV vehicles. SCR technology functions by injecting AdBlue into the exhaust stream, where it reacts with nitrogen oxides (NOx) to convert them into harmless nitrogen and water.

The use of AdBlue is critical in the UK as it significantly contributes to reducing air pollution. NOx emissions are a major pollutant, linked to various health problems including respiratory issues, heart disease, and cancer. By minimizing NOx emissions, AdBlue actively helps improve air quality and protect public health.

Furthermore, AdBlue is vital for meeting European Union emission standards. The EU has established stringent emission standards for diesel vehicles, and AdBlue is a core technology enabling compliance. By utilizing AdBlue, HGV operators ensure their vehicles adhere to these crucial EU standards.

Proper control and management of AdBlue are also paramount in the UK. AdBlue is a hazardous substance, requiring safe handling and storage. The UK government has enacted regulations concerning AdBlue handling and storage, which all businesses using AdBlue must rigorously follow.

In summary, the correct usage and control of AdBlue in HGV vehicles are indispensable in the UK. They contribute to reducing air pollution, complying with European Union emission standards, and ensuring the safe handling and storage of this important substance.

🚗 Wheel & Tyre Management: Safety, security & policy review.

We assess the effectiveness of your wheel security systems and tyre management policy, crucial for vehicle safety and compliance.

Here is a sample wheel and tyre policy for your HGVs, highlighting best practices:

Policy:

All HGVs must be fitted with tyres that are in excellent condition and fully meet all legal requirements.

Responsibilities:

  • The driver is responsible for meticulously checking their HGV's tyres before each journey and promptly reporting any problems to their supervisor.
  • The supervisor is responsible for ensuring that all HGVs consistently have safe and well-maintained tyres.

Procedures:

The following procedures should be rigorously followed to ensure all HGVs maintain safe and well-maintained tyres:

  • Drivers will inspect HGV tyres before each journey and immediately report any issues to their supervisor.
  • Supervisors will conduct regular inspections of all HGV tyres and report any problems to the fleet manager.
  • The fleet manager will ensure all HGVs adhere to a regular maintenance schedule for their tyres.
  • The fleet manager will also confirm that all HGVs are equipped with the correct type and size of tyres for their operation.

Records:

The following critical records must be meticulously kept:

  • A detailed record of all tyre inspections.
  • A record of all tyre replacements and re-torqueing.
  • A record of all tyre maintenance activities.

This is a sample policy and should be adapted to meet the specific and unique needs of your business to ensure optimal safety and compliance.

🔒 Load Security: Safe transport & regulatory adherence.

We review your load security practices to ensure maximum safety for goods in transit and full compliance with UK regulations.

Here is a sample load security policy for your HGVs in the UK:

Introduction:

This policy outlines the stringent requirements for load security on all HGVs operated by [Company Name]. Its purpose is to ensure all loads are transported safely and securely, in strict accordance with all applicable laws and regulations.

Responsibilities:

The primary responsibility for load security rests with the driver. However, all employees involved in the loading or unloading of HGVs must be thoroughly familiar with this policy and take all necessary steps to ensure loads are secured safely.

Load Security Procedures:

All loads must be secured in accordance with the following critical procedures:

  • The load must be evenly distributed on the vehicle to maintain stability.
  • The load must be securely attached to the vehicle using appropriate, certified load restraints.
  • The load must be checked to confirm it is fully secure before the vehicle commences its journey.

Load Restraint Equipment:

All load restraint equipment must be in excellent condition and used strictly in accordance with the manufacturer's instructions.

Training:

All drivers and loading/unloading staff must receive comprehensive training in load security procedures.

Inspections:

All HGVs must be regularly inspected to ensure they are in good condition and that load restraint equipment is in proper working order.

Records:

All load security inspections and checks must be meticulously recorded for audit purposes.

Compliance:

All employees must strictly comply with this policy. Any employee failing to comply may be subject to disciplinary action.

Review:

This policy will be reviewed annually to ensure its continued effectiveness and alignment with current regulations.

This is a sample policy that you should adapt to meet the specific requirements and unique operations of your business, ensuring optimal load safety and compliance.

🔐 Security: Site, vehicle & key management.

We review your site security and vehicle key management practices, crucial for protecting your fleet from unauthorised access and use.

Security and vehicle key management encompasses the procedures and practices designed to protect HGVs and their keys from unauthorised access and use. The DVSA (Driver and Vehicle Standards Agency), the UK government agency regulating driving and vehicle licensing, publishes guidelines on various aspects of driving and vehicle safety, including security and vehicle key management.

The DVSA guidelines recommend that employers implement several measures to protect their vehicles and keys, including:

  • Storing keys in a secure location when not in use.
  • Requiring employees to sign for keys upon issuance and return.
  • Regularly rotating keys to enhance security.
  • Utilizing keyless entry systems where feasible.
  • Installing robust security alarms and tracking devices on vehicles.
  • Providing thorough training to employees on all security procedures.

The DVSA also advises employers to conduct regular risk assessments to identify potential security threats and ensure appropriate security measures are actively in place.

These DVSA guidelines for security and vehicle key management are designed to help employers safeguard their vehicles and keys from theft and unauthorised use. By diligently following these guidelines, operators can significantly reduce the risk of vehicle theft and protect their employees from its potentially severe consequences.

Here are some additional, actionable tips for enhancing your security and vehicle key management:

  • Always store keys in a locked cabinet or drawer when not in use.
  • Never leave keys in an unlocked HGV, even if you anticipate being away for only a few minutes.
  • Exercise extreme caution when handing over keys to employees or contractors. Verify their authorization and ensure they understand all security procedures.
  • If a key is lost, promptly change the locks on the affected vehicle.
  • Install security cameras and motion sensors around your business premises to deter potential thieves.
  • Provide ongoing training to your employees on security procedures, ensuring they know how to respond to suspicious activity.

📚 Training & Development: Ensuring competent & compliant staff.

We review your Continuing Professional Development (CPD) for operators, CPC Training, and general driver training to ensure your team remains competent and compliant.

CPD, or Continuing Professional Development, is a crucial process of lifelong learning that helps professionals maintain and enhance their skills and knowledge. For vehicle licence operators in the UK, CPD is essential to stay abreast of industry changes and consistently deliver a high standard of service.

Vehicle licence operators can engage in CPD through various methods, including attending training courses, reading industry-specific books and articles, or networking with other professionals. CPD can also be informal, such as staying updated with industry news or engaging in discussions with customers.

The required amount of CPD varies based on an operator's role and experience. However, most operators should aim for at least 30 hours of CPD annually.

CPD offers significant value, enabling vehicle licence operators to improve their skills and knowledge, adapt to industry developments, and consistently provide excellent service.

Here are some examples of beneficial CPD activities for vehicle licence operators:

  • Attending specialized training courses.
  • Engaging with industry publications and research.
  • Networking at conferences and seminars.
  • Writing articles or blog posts, or listening to relevant webinars.
  • Delivering presentations on industry topics.
  • Undertaking focused research projects.
  • Mentoring less experienced colleagues.

Driver Certificate of Professional Competence (CPC) Training:

Driver CPC is mandatory training for all HGV drivers in the UK. This training is specifically designed to ensure drivers' skills and knowledge are current, thereby enhancing overall road safety. It covers a broad range of topics, including advanced driving theory, practical driving skills, and crucial health and safety protocols.

HGV drivers are required to complete 35 hours of CPC training every five years. This training offers flexibility and can be undertaken through various formats, including classroom-based courses, e-learning modules, and distance learning programs.

Drivers who fail to complete the mandatory CPC training may face fines of up to £1,000 and could also be disqualified from driving HGVs.

Completing CPC training offers significant benefits, helping drivers to:

  • Continuously improve their driving skills.
  • Stay up-to-date with the latest driving regulations.
  • Reduce their risk of accidents.
  • Enhance their job prospects within the industry.

For HGV drivers, ensuring timely completion of your CPC training is paramount. This training not only contributes to your safety on the roads but also significantly bolsters your career opportunities.

💳 Driver Licence Checks: Validating driver credentials & fitness.

We review your driver licence checks, points, and risk management systems to ensure all drivers are fully compliant and fit for purpose.

The Driver and Vehicle Standards Agency (DVSA) is tasked with ensuring the safety and competence of drivers in the United Kingdom. They perform a range of crucial checks on drivers, including:

  • Driving Licences: Verifying validity and ensuring the driver holds the correct entitlement for the vehicle type they are operating.
  • Medical Fitness: Confirming the driver is medically fit to drive.
  • Convictions and Penalty Points: Checking records to ensure the driver is not disqualified from driving.
  • Tachograph Records: Reviewing these to ensure adherence to rules on working hours and rest periods.
  • Vehicle Safety: Confirming the vehicle's roadworthiness.

The DVSA also conducts roadside checks at any time. Drivers can be stopped and requested to provide proof of identity, driving licence, and vehicle insurance. Vehicle checks may also be performed, including inspections for defects, overloading, and illegal modifications.

If the DVSA identifies any issues with a driver or their vehicle, they can take action, which may include:

  • Issuing a driver warning.
  • Imposing a penalty, such as a fine or points on their licence.
  • Disqualifying the driver from driving.
  • Seizing the vehicle.

The DVSA is dedicated to maintaining road safety, and their comprehensive checks on drivers and vehicles are instrumental in achieving this. Drivers must be aware of the checks the DVSA performs and ensure they are always compliant with the law.

In addition to DVSA checks, drivers should also be aware of other potential checks:

  • Employer Checks: Employers may conduct checks on their drivers' driving records and medical fitness.
  • Insurance Company Checks: Insurance providers may also verify drivers' records and medical fitness.
  • Other Organisations: Other entities, such as trade unions, may perform checks on their driving members.

Drivers must be fully informed about all potential checks and ensure they remain compliant with all legal requirements.

⏱️ Driver Hours: Managing driving time for safety & compliance.

We assess your driver and vehicle card downloads and contingency planning, critical for robust driver hours management.

The Driver and Vehicle Standards Agency (DVSA) dictates the maximum daily and weekly driving hours for HGV drivers. These rules are rigorously enforced to prevent driver fatigue and ensure the safety of both drivers and other road users.

The best practice for managing driver hours involves utilizing a digital tachograph. This device precisely records the driver's work and rest periods, enabling effective journey planning and ensuring that drivers do not exceed permitted hours.

Drivers are also required to take regular breaks. A break of at least 45 minutes must be taken after driving for 4.5 hours. Additionally, an 11-hour break is required after 14 hours of driving.

It is important to note that the DVSA routinely conducts checks on drivers and their work hours. Any breach of the rules can result in penalties.

Here are some of the best practices for managing driver hours for HGV drivers, as per DVSA guidelines:

  • Utilize a digital tachograph to accurately record all work and rest periods.
  • Plan journeys meticulously to ensure you do not exceed the legally permitted driving hours.
  • Take regular, mandated breaks, including a 45-minute break after 4.5 hours of driving and an 11-hour break after 14 hours.
  • Stay fully aware of the DVSA's rules on driver hours and be prepared to present your tachograph records upon request.

By adhering to these best practices, you can ensure compliance with DVSA rules and contribute significantly to overall road safety.

Work Time Directive: Adhering to working time regulations.

We review your tachograph reporting and record keeping, ensuring full adherence to the Work Time Directive for HGV drivers in the UK.

The Driver and Vehicle Standards Agency (DVSA) is the UK government agency responsible for regulating drivers, vehicles, and driving standards. The DVSA sets out best practices for managing work time for HGV drivers in its comprehensive guidelines.

The DVSA guidelines recommend that HGV drivers should:

  • Maintain a meticulous record of their work and rest times.
  • Take regular, prescribed breaks.
  • Not drive for more than 9 hours in a single day.
  • Take a break of at least 45 minutes after driving for 4.5 hours.
  • Not drive for more than 15 hours in a day, including a minimum 9-hour break.
  • Observe a weekly rest period of at least 45 hours.

The DVSA also strongly recommends that HGV drivers should:

  • Be acutely aware of the signs of fatigue.
  • Strictly avoid driving when feeling tired.
  • Ensure they get sufficient sleep.
  • Maintain a healthy diet.
  • Stay well-hydrated throughout their shifts.
  • Take regular breaks, even if not feeling tired.
  • Completely abstain from alcohol and drugs while on duty.

The DVSA guidelines are designed to rigorously protect HGV drivers and all other road users from the serious dangers of fatigue. By diligently following these guidelines, HGV drivers can help ensure they are fit to drive and are not posing risks to themselves or others.

Here are some additional tips for effectively managing work time for HGV drivers:

  • Plan your routes carefully, allowing ample time for all required breaks.
  • If you begin to feel tired, pull over immediately and take a break.
  • Never drive under the influence of alcohol or drugs.
  • Prioritize a healthy diet and consume plenty of fluids.
  • Ensure you get adequate sleep before shifts.
  • Take regular breaks, even if you do not yet feel tired.
  • Be vigilant for the signs of fatigue, such as yawning, difficulty concentrating, and irritability.
  • If fatigue sets in, pull over safely and take a break.
  • Do not drive if you are not in a fit condition to do so.

📃 Previous Notices: Reviewing past Traffic Commissioner actions.

We examine any previous actions on file, including Public Inquiries (PIs) or Preliminary Hearings (PGs) and associated sanctions recorded on your OCRS.

The Traffic Commissioner can issue various types of notices to operators, depending on the specific circumstances. Some of the most frequently issued notices include:

  • Variation Notice: Issued when an operator seeks to amend their operator's licence, such as adding a new vehicle or altering their operating area.
  • Variation with Conditions Notice: Similar to a variation notice, but includes specific conditions the operator must fulfill to enact the change (e.g., additional training or new equipment installation).
  • Suspension Notice: Issued when the Traffic Commissioner believes the operator is no longer fit and proper to hold an operator's licence, often due to serious offences or repeated non-compliance.
  • Revocation Notice: Issued when the Traffic Commissioner deems it necessary to permanently withdraw an operator's licence, typically following serious offences or persistent licence breaches.
  • Directions Notice: Issued when the Traffic Commissioner requires the operator to take specific actions, such as undertaking additional training or installing new equipment.
  • Improvement Notice: Issued when the Traffic Commissioner believes the operator's standards require enhancement, for example, improving maintenance procedures or customer complaint handling.
  • Warning Notice: Issued when the Traffic Commissioner has concerns about an operator's standards but does not yet deem further immediate action necessary. This notice typically outlines required improvements.

The Traffic Commissioner may also issue other types of notices depending on specific circumstances. For more detailed information, please refer to the DVSA website.

For more about roadside checks and notices, click here. For more about public inquiries, click here.

💬 Communications: Effective internal & external dialogue.

"Words fly away, but writing remains." At Fleet Transport Consultants (FTC), we recognize that effective communication is critical to maintaining compliance and fostering a robust culture of safety within any transport operation. Our audits thoroughly review communication practices at all levels, ensuring clarity and accountability.

Our audit includes:

  • Driver Communication: We examine both formal and informal communication with drivers. This includes ensuring clear procedures for addressing and managing driver infringements, reviewing formal disciplinary protocols for effective communication and consistent application, and assessing the use of informal communication methods such as WhatsApp, email, and notice boards to keep drivers informed and engaged.
  • Third-Party Service Providers: We evaluate the communication channels and protocols used with third-party service providers. Effective communication is vital to ensure that any issues are promptly addressed and that high standards of workmanship are consistently maintained.
  • Transport Manager and Supervisors: We review the communication flow between the transport manager, transport supervisors, and other key personnel. Clear and consistent communication is essential for coordinating operations and maintaining uninterrupted compliance.
  • Traffic Commissioner’s Office: We assess the operator's communication with the Traffic Commissioner’s office, ensuring that all necessary reporting and correspondence are handled appropriately and promptly, especially in time-sensitive situations.

For every communication channel, we meticulously look for a comprehensive paper trail that unequivocally demonstrates the operator's proactive approach to mitigating risk and actively driving a compliance culture within the organization. By ensuring all communication is diligently documented and traceable, operators can effectively manage compliance, enhance operational integrity, and provide irrefutable evidence when required.

📄 Operator Licence: Verifying accuracy & adherence to commitments.

As the saying goes, "the devil is in the detail." At Fleet Transport Consultants (FTC), the operator licence forms the cornerstone of our compliance audits for HGV and PSV operators. We meticulously examine the accuracy and validity of the licence, focusing on every critical detail to ensure full adherence to regulatory requirements.

Our comprehensive audit includes:

  • Entity and Directors: We verify the details of the operating entity and its directors, ensuring all information is current and compliant with regulatory requirements.
  • Vehicle Allocation: We precisely check the number of vehicles listed on the licence, confirming they accurately match the operator's current fleet.
  • Licence Type: We validate the specific type of licence held (e.g., Standard National, International, Restricted), ensuring it aligns perfectly with the operator's activities and scope of operation.
  • Maintenance Commitment: We rigorously review the operator's stated maintenance commitments, ensuring they meet and are actively fulfilling the required standards for vehicle roadworthiness.
  • Operating Centre: We thoroughly inspect the designated operating centre(s), confirming their compliance with the licence specifications and suitability for the fleet size.
  • Transport Manager: We critically evaluate the role and engagement of the transport manager, confirming their qualifications, continuous professional development, and active involvement in the daily operational compliance.

This comprehensive review provides invaluable insights into the alignment and engagement of directors and transport managers with this crucial aspect of their operating model. Our detailed approach ensures that all facets of the operator licence are thoroughly assessed, reinforcing compliance, minimizing risk, and strengthening overall operational integrity.

📁 Vehicle Documentation: Ensuring all records are present & valid.

We verify that all relevant vehicle documentation and plates are present and valid, ensuring legal operation and readiness for inspection.

Operating HGVs in the UK requires a comprehensive set of documents to ensure legal compliance and road safety. These include:

  • Driver's Licence: The HGV driver must possess a valid driver's licence appropriate for the vehicle type they are operating.
  • Vehicle Registration Document (V5C): The HGV must have a valid vehicle registration document, proving ownership and outlining vehicle specifics.
  • Insurance Certificate: Valid vehicle insurance is mandatory, covering the driver and the vehicle in the event of an accident.
  • Roadworthiness Certificate (MOT Certificate): The HGV must hold a current roadworthiness certificate, confirming its safety for UK roads.
  • Operator's Licence: If the HGV is used for commercial purposes, the operator must possess a valid operator's licence issued by the Driver and Vehicle Standards Agency (DVSA).
  • Load Plan: If the HGV is transporting a load, the driver must carry a detailed load plan, specifying the weight, dimensions, and intended route.
  • Dangerous Goods Documentation: For HGVs carrying dangerous goods, the driver must have all appropriate documentation, detailing the goods type and necessary safety precautions.

In addition to these core documents, HGV drivers may also be required to carry other essential documents, such as a tachograph card or a vehicle excise duty (VED) disc. Ensuring all documentation is current and accessible is vital for smooth operations and avoiding compliance issues.

Health & Safety: Robust policies & risk assessments.

We review your Health & Safety policies and risk assessments, ensuring a safe working environment and compliance with all relevant legislation.

For an HGV freight business, robust health and safety policies and comprehensive risk assessments are not just good practice, they are essential for protecting your employees and operations. Key areas that should be in place include:

  • Driver Training: Drivers must be thoroughly trained in safe driving practices, including accident avoidance, hazardous materials handling, and emergency procedures.
  • Vehicle Maintenance: Vehicles must be regularly inspected and maintained to ensure they are consistently in safe working condition.
  • Load Security: Loads must be properly secured to prevent dangerous shifting or falling during transport.
  • Working Environment: The workplace must be safe and free from hazards such as slippery floors, uneven surfaces, and inadequate lighting.
  • Equipment Safety: All equipment must be properly maintained and in good working order.
  • Personal Protective Equipment (PPE): Employees must be provided with and trained to use appropriate PPE, such as hard hats, safety glasses, and gloves.
  • Fire Safety: Adequate fire safety measures must be in place, including fire extinguishers, alarms, and clear evacuation plans.
  • First Aid: The workplace must have a well-stocked first aid kit and trained first aid personnel.
  • Accident Reporting: All accidents and injuries must be reported and thoroughly investigated to prevent recurrence.
  • Risk Assessments: Regular, comprehensive risk assessments must be carried out to identify and control potential hazards across all operations.

Furthermore, for HGV freight businesses transporting hazardous materials, additional specific measures are required to protect employees and the public. These include:

  • Specialized training in the safe handling of hazardous materials.
  • Proper labelling and secure packaging of all hazardous materials.
  • Strict procedures for the loading and unloading of hazardous materials.
  • Regular inspections of vehicles and equipment used for hazardous material transport.
  • Robust emergency plans in place for spills or accidents involving hazardous materials.

By implementing these critical steps, HGV freight businesses can effectively ensure the safety of their employees, the public, and the environment, maintaining the highest standards of operational safety.

👥 Human Resources: Meeting HR/ER obligations.

We review your Human Resources policies, including company handbooks, contracts, and disciplinary processes, to ensure full compliance with UK employment law.

In the UK, companies have fundamental HR/ER (Human Resources/Employee Relations) obligations that must be met. These minimum requirements include:

  • Employment Contracts: All employees must have a written employment contract clearly outlining the terms and conditions of their employment, including job title, pay, hours of work, holiday entitlement, and notice period.
  • Payroll: Companies must maintain accurate records of employee pay and hours worked, and ensure timely and full payment of wages.
  • Time Off Work: Employees are legally entitled to various forms of paid and unpaid time off, such as sick leave, maternity leave, and paternity leave. Companies must facilitate this when needed.
  • Health and Safety: Companies must take all reasonable steps to protect employee health and safety, including providing a safe working environment, health and safety training, and conducting regular risk assessments.
  • Discrimination and Harassment: Companies must actively prevent discrimination against employees based on age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, or sexual orientation. Measures must also be in place to prevent harassment.
  • Redundancy: If redundancies are necessary, companies must follow a fair and reasonable process, including consulting with employees and providing adequate notice.
  • Data Protection: Companies must protect employees' personal data, ensuring data security and using it only for legitimate purposes, in line with GDPR.
  • Records: Companies must meticulously keep specific employee records, such as pay, pension, and health and safety documentation.
  • Training: Companies must provide appropriate training to employees, including on health and safety, discrimination and harassment, and data protection.

Companies failing to comply with these critical obligations may face significant fines or legal action in court/tribunals. Our audits help ensure you meet these requirements, safeguarding your business.

🔏 GDPR: Data security & compliance with regulations.

We assess how secure and compliant customer and colleague data is in your company's possession, ensuring adherence to UK GDPR.

The UK General Data Protection Regulation (UK GDPR) is the UK's implementation of the EU General Data Protection Regulation (EU GDPR). It applies to all organizations processing personal data of individuals located in the UK, regardless of the organization's base.

The UK GDPR outlines several critical obligations for organizations processing personal data, including:

  • Consent: Organizations must obtain explicit consent from individuals before processing their personal data, unless another legal basis for processing exists.
  • Purpose Limitation: Personal data must only be processed for specified, explicit, and legitimate purposes.
  • Data Minimization: Only adequate, relevant, and necessary personal data should be processed for the intended purposes.
  • Accuracy: Personal data must be kept accurate and up to date.
  • Security: Organizations must implement appropriate security measures to protect personal data from unauthorized or unlawful processing, accidental loss, destruction, or damage.
  • Individual Rights: Organizations must provide individuals with access to their personal data and allow them to correct, erase, or restrict its processing.
  • Breach Notification: The Information Commissioner's Office (ICO) must be notified of a personal data breach if it is likely to pose a high risk to the rights and freedoms of individuals.

The UK GDPR also grants individuals several rights, including the right to:

  • Request access to their personal data.
  • Request correction or erasure of their personal data.
  • Object to the processing of their personal data.
  • Restrict the processing of their personal data.
  • Port their personal data to another organization.
  • Not be subject to automated decision-making.

Organizations failing to comply with UK GDPR can face severe sanctions, including fines of up to £10 million or 4% of global turnover (whichever is greater). Given the complexity of this legislation, organizations should seek professional advice to ensure full compliance and protect their operations.

📜 Policies: Reviewing essential operational guidelines.

"Have sound Policies, then Procedures will follow." At Fleet Transport Consultants (FTC), we thoroughly review the policies an operator has in place to ensure they are not merely theoretical documents but are effectively implemented and robustly enforced. We ensure your policies translate into compliant daily operations.

Here is a list of essential policies we meticulously check during our audit, along with some additional suggestions for a comprehensive compliance framework:

  • Health & Safety (H&S) Policy
  • Drugs and Alcohol Policy
  • Mobile Phone Usage Policy
  • Road Traffic Collision (Bump Policy)
  • Night Worker Provisions
  • Dashcams & Cab Cameras Policy
  • Vehicle Off Road (VOR) Procedures
  • Tyre & Wheel Safety Policy
  • Driver Wellbeing Policy
  • Driver Hours and Tachograph Usage Policy
  • Fatigue Management Policy
  • Training and Development Policy
  • Emergency Procedures
  • Environmental Policy
  • Data Protection and Privacy Policy
  • Equal Opportunities and Diversity Policy
  • Maintenance and Servicing Schedules
  • Load Security Policy

By ensuring these policies are comprehensive, up-to-date, actively communicated, and effectively implemented, we help operators maintain the highest standards of compliance and operational integrity. This proactive approach transforms policies into practical safeguards for your business.

What Our Clients Say About Our Audits

NRC WWS Ltd: Excellent service, ongoing partnership.

"Excellent service all around, the audit helped us massively to identify areas of improvement. The FTC have been working alongside us as a partner and supporting us on an ongoing basis."

Bannister Hall Nurserys: Highly efficient and proactive organization.

"Working alongside Zed & Andre is a pleasure. The compliance audit was a wake-up call and they quickly supported us to sort all the areas. They are a highly efficient and proactive organisation, highly recommended."

Ocean King Ltd: Instrumental in ensuring compliance, real peace of mind.

"We approached the Fleet Transport Consultants and Zed has been instrumental in ensuring we are compliant in all aspects of our transport operation. We have an ongoing long-term relationship that ensures support when we need it, real peace of mind."

Clare James Automotive Ltd: Highly professional, provided actionable insights.

"We commissioned the FTC to perform a compliance audit. Highly professional organisation. We were furnished with an audit and a gap analysis / action plan that helped us massively."

This comprehensive audit provides a 360-degree view of your compliance levels, helping you identify and address any weaknesses before they become costly problems.

Legal Entity

Details accurate on Government websites, includes VOL and Companies House Checks.

A legal entity is a person or organisation that is recognised by law as having its own rights and responsibilities. In the UK, there are many different types of legal entities, including companies, partnerships, trusts, and charities.

The most common type of legal entity in the UK is a company. A company is a legal person that is separate from its owners. This means that a company can own property, enter into contracts, and sue or be sued in its own name. Companies are also subject to their own set of laws and regulations.

Another common type of legal entity in the UK is a partnership. A partnership is a business owned by two or more people. Partnerships are not separate legal entities from their owners, which means that the partners are personally liable for the debts and obligations of the partnership.

Checking the details as shown with the Companies House register, to check status of business, directors and changes allows us to verify the business entity.

Operating Centres/ Yard

Evidence in support of Operating Centres, locations and number of vehicles per Centre.

An operating centre for a transport business in the UK is a place where goods vehicles are normally kept when not in use. It could be a depot, a warehouse, or even a customer's premises. When you apply for an operator's licence, you'll be asked to give the address of your proposed centre(s) and information about the numbers of trailers and vehicles you will keep there. You'll need to show that your operating centre:is large enough, has safe access, is in an environmentally acceptable location.

The Traffic Commissioner will need to be satisfied that your operating centre(s) are suitable before they will issue you with an operator's licence.There are a number of things you need to consider when choosing an operating centre, including:

  • The size of your fleet

  • The type of vehicles you operate

  • The location of your customers

  • The availability of parking

  • The cost of rent or lease

It's important to choose an operating centre that is both suitable for your needs and compliant with the regulations. If you're not sure where to start, you can get advice from the DVSA or a transport consultant.

PMI/ Maintenance

Availibility, Quality and Checks in place to ensure vehicles are roadworthy and safe.

Preventive maintenance inspections (PMIs) are a type of inspection that is done to identify potential problems with equipment before they cause a failure. PMIs are typically scheduled based on the manufacturer's recommendations or on the equipment's operating history.

There are many benefits to performing PMIs, including:

  • Preventing equipment failures

  • Reducing downtime

  • Increasing equipment life

  • Improving safety

  • Reducing costs

To perform a PMI, a technician will typically follow a checklist of items to inspect. The checklist may include items such as:

  • Checking for leaks

  • Checking for loose or damaged components

  • Checking for proper lubrication

  • Checking for proper electrical connections

  • Checking for proper alignment

If any problems are found during a PMI, the technician will typically take steps to correct the problem. This may involve repairing the equipment, replacing a part, or adjusting a setting.

PMIs are an important part of any equipment maintenance program. By performing regular PMIs, you can help to prevent equipment failures, reduce downtime, and increase the life of your equipment.

Click here for more about PMIs

Driver Walkarounds

Review the system in place for driver to perform walkarounds and report defects.

HGV driver walkarounds are a safety check that HGV drivers must carry out before each journey. The checks are designed to identify any potential problems with the vehicle that could make it unsafe to drive.

The checks cover the whole vehicle, including the trailer that the vehicle is towing. Drivers must carefully assess both interior and exterior items that can be safely assessed by the driver.

The checks that drivers must carry out include:

Tyre condition, Brake systems and components, Steering,Lamps, direction indicators, hazard warning lamps,Windscreen wipers and washers, Mirrors, Fuel and oil levels,  Bodywork, Trailer coupling, etc

If any problems are found during the walkaround, the driver must not drive the vehicle until the problems have been fixed. Drivers must also record the results of the walkaround and report any defects to their employer.

The DVSA (Driver and Vehicle Standards Agency) can stop HGV drivers to carry out checks on their vehicles. Drivers can be stopped from driving until they fix any problems that are found, or they can be issued with a fine.

Driver walkarounds are an important part of keeping HGVs safe on the road. By carrying out these checks, drivers can help to prevent accidents and keep themselves and others safe.

For a comprehensive list of things to check during a driver  walkaround click here.

Driver Defect Reporting

System in place to report defects and a closed loop that ensures they are fixed.

Driver defect reporting is the process of recording and reporting any defects found on a heavy goods vehicle (HGV) during a daily walkaround check. This is a legal requirement for all HGV drivers in the UK.

The purpose of driver defect reporting is to ensure that HGVs are safe to drive and that any defects are rectified as soon as possible. Defects that are not reported can pose a serious risk to the safety of the driver, other road users, and pedestrians.

Drivers must carry out a daily walkaround check of their HGV before they start their journey. This check should include looking for any obvious defects, such as:

  • Tyres that are worn or damaged

  • Lights that are not working

  • Brakes that are not working properly

  • Oil leaks

  • Damage to the bodywork

If any defects are found, the driver must report them to their employer or the person responsible for maintaining the HGV. The defect must also be recorded on a vehicle defect report form.

The driver must not drive the HGV until the defect has been rectified. If the defect is dangerous, the driver must stop the vehicle and not drive it until it is safe to do so.

Drivers who do not carry out daily walkaround checks or who do not report defects can be fined by the Driver and Vehicle Standards Agency (DVSA). In some cases, drivers may also be disqualified from driving.

It is important for all HGV drivers to be aware of their responsibilities in relation to driver defect reporting. By carrying out daily walkaround checks and reporting any defects, drivers can help to keep themselves, other road users, and pedestrians safe.

Inspection Facilities & 3rd Party

Review of maintenance facilities or contracts with third part service providers.

The DVSA issues guidelines for maintenance facilities for third parties or in house repairs, which are designed to ensure that all vehicles are maintained to a high standard and are safe to drive. The guidelines cover a range of topics, including:

  • The facilities that must be available at a maintenance facility

  • The qualifications and experience of the staff who work at a maintenance facility

  • The procedures that must be followed when carrying out maintenance work

  • The records that must be kept by a maintenance facility

If you are considering using a maintenance facility, it is important to check that they are following the DVSA guidelines. You can do this by asking the facility to show you their DVSA inspection report or by contacting the DVSA directly.

Here are some of the key points of the DVSA guidelines for maintenance facilities:

  • The facility must have adequate space to carry out maintenance work.

  • The facility must have the necessary equipment to carry out maintenance work.

  • The staff who work at the facility must be qualified and experienced to carry out maintenance work.

  • The facility must have procedures in place to ensure that maintenance work is carried out correctly.

  • The facility must keep records of all maintenance work that is carried out.

In our comprehensive compliance audits, Fleet Transport Consultants (FTC) places significant emphasis on how well operators manage and communicate with third-party service providers. This includes services such as inspections, tyre repairs, and other essential maintenance tasks. Our audit examines:

Control Systems: We assess the systems in place to ensure that operators consistently review the quality of work performed by third-party providers. Regardless of the size or reputation of the service provider, it is crucial that operators maintain stringent oversight to ensure high standards are met.

Communication Protocols: We evaluate the effectiveness of communication channels between the operator and their service providers. Clear and efficient communication is vital to ensure that any issues are promptly addressed and resolved.

Workmanship Review: We check for regular reviews and assessments of third-party workmanship. As there is no specific legislation protecting operators from substandard work by third parties, it is essential that operators take proactive measures to monitor and evaluate the quality of services received.

By focusing on these areas, our audits help operators establish robust control and communication mechanisms with their third-party service providers, ensuring that all maintenance and repair work meets the necessary standards and supports overall compliance and safety.

Vehicle Emissions (AdBlue)

Review of systems to measure the fuel and AdBlue usage

AdBlue is a solution of urea and deionized water that is used to reduce emissions from diesel engines. It is a key component of selective catalytic reduction (SCR) technology, which is used in many HGV vehicles. SCR technology works by injecting AdBlue into the exhaust stream, where it reacts with nitrogen oxides (NOx) to form harmless nitrogen and water.

The use of AdBlue is important in the UK because it helps to reduce air pollution. NOx emissions are a major contributor to air pollution, and they can cause a range of health problems, including respiratory problems, heart disease, and cancer. By reducing NOx emissions, AdBlue helps to improve air quality and protect public health.

The use of AdBlue is also important in the UK because it helps to meet European Union emission standards. The EU has set strict emission standards for diesel vehicles, and AdBlue is a key technology for meeting these standards. By using AdBlue, HGV operators can help to ensure that their vehicles are compliant with EU emission standards.

The control of AdBlue is also important in the UK. AdBlue is a hazardous substance, and it is important to ensure that it is handled and stored safely. The UK government has set regulations for the handling and storage of AdBlue, and these regulations must be followed by all businesses that use AdBlue.

In conclusion, the usage and control of AdBlue in HGV vehicles is important in the UK because it helps to reduce air pollution, meet European Union emission standards, and ensure the safe handling and storage of AdBlue.

Wheel & Tyre Management

Effectiveness of the wheel security System and tyre management Policy

Here is a sample wheel and tyre policy for your HGVs:

Policy: All HGVs must have tyres that are in good condition and meet the legal requirements.

Responsibilities: The driver is responsible for checking the tyres of their HGV before each journey and reporting any problems to their supervisor. The supervisor is responsible for ensuring that all HGVs have safe and well-maintained tyres.

Procedures: The following procedures will be followed to ensure that all HGVs have safe and well-maintained tyres:

Drivers will check the tyres of their HGV before each journey and report any problems to their supervisor.

Supervisors will inspect the tyres of all HGVs on a regular basis and report any problems to the fleet manager.

The fleet manager will ensure that all HGVs have a regular maintenance schedule for their tyres.

The fleet manager will also ensure that all HGVs have the correct type and size of tyres.

Records: The following records will be kept:

  • A record of all tyre inspections.

  • A record of all tyre replacements & Re-torque

  • A record of all tyre maintenance.

This is just a sample policy and you may need to adapt it to meet the specific needs of your business.

Load Security

Review the operators load security practices

Here is a sample load security policy for your HGVs in the UK:

Introduction - This policy sets out the requirements for load security on all HGVs operated by [Company Name]. It is designed to ensure that all loads are carried safely and securely, in accordance with all applicable laws and regulations.

Responsibilities - The responsibility for load security rests with the driver. However, all employees involved in loading or unloading HGVs must be familiar with this policy and must take all necessary steps to ensure that loads are secured safely.

Load security procedures

  • All loads must be secured in accordance with the following procedures:

  • The load must be evenly distributed on the vehicle.

  • The load must be secured to the vehicle using appropriate load restraints.

  • The load must be checked to ensure that it is secure before the vehicle is driven.

Load restraint equipment - All load restraint equipment must be in good condition and must be used in accordance with the manufacturer's instructions.

Training - All drivers and loading/unloading staff must be trained in load security procedures.

Inspections - All HGVs must be inspected regularly to ensure that they are in good condition and that load restraint equipment is in good working order.

Records - All load security inspections and checks must be recorded.

Compliance - All employees must comply with this policy. Any employee who fails to comply with this policy may be subject to disciplinary action.

Review - This policy will be reviewed annually to ensure that it remains effective.

Security

Site security and vehicle key management

Security and vehicle key management refers to the procedures and practices that are used to protect HGVs and their keys from unauthorized access and use. The DVSA (Driver and Vehicle Standards Agency) is the UK government agency responsible for regulating the driving and vehicle licensing system. The DVSA publishes guidelines on a variety of topics related to driving and vehicle safety, including security and vehicle key management.

The DVSA guidelines on security and vehicle key management recommend that employers take a number of steps to protect their vehicles and their keys, including:

  • Keeping keys in a secure location when not in use

  • Requiring employees to sign for keys when they are issued and returned

  • Rotating keys regularly

  • Using keyless entry systems where possible

  • Installing security alarms and tracking devices

  • Training employees on security procedures

The DVSA also recommends that employers carry out regular risk assessments to identify potential security threats and to ensure that appropriate security measures are in place.

The DVSA guidelines on security and vehicle key management are designed to help employers protect their vehicles and their keys from theft and unauthorized use. By following these guidelines, employers can help to reduce the risk of vehicle theft and to protect their employees from the consequences of vehicle theft.

Here are some additional tips for security and vehicle key management:

Keep keys in a locked cabinet or drawer when not in use.

Do not leave keys in an unlocked HGV, even if you are only going to be away for a few minutes.

Be careful when handing over keys to employees or contractors. Make sure that they are authorised to have the keys and that they understand the security procedures.

If you lose a key, change the locks on the vehicle as soon as possible.

Install security cameras and motion sensors around your business to deter thieves.

Train your employees on security procedures and make sure that they know what to do if they see something suspicious.

Training & Development

CPD for the operator, CPC Training and general driver training

CPD stands for Continuing Professional Development. It is a process of lifelong learning that helps professionals to maintain and develop their skills and knowledge. CPD is important for vehicle licence operators in the UK because it helps them to keep up with changes in the industry and to ensure that they are providing a high standard of service.

There are many different ways for vehicle licence operators to undertake CPD. They can attend training courses, read books and articles, or network with other professionals. CPD can also be informal, such as by reading industry news or talking to customers.

The amount of CPD that a vehicle licence operator needs to undertake will vary depending on their role and experience. However, most operators should aim to undertake at least 30 hours of CPD per year.

CPD can be a valuable way for vehicle licence operators to improve their skills and knowledge. It can also help them to stay up-to-date with changes in the industry and to provide a high standard of service.

Here are some examples of CPD activities that vehicle licence operators could undertake:

  • Attending training courses

  • Reading books and articles

  • Networking with other professionals

  • Attending conferences and seminars

  • Writing articles or blog posts or listening to Webinars

  • Giving presentations

  • Undertaking research projects

  • Mentoring others

CPC training stands for Driver Certificate of Professional Competence.

It is mandatory training for all HGV drivers in the UK. The training is designed to help drivers keep their skills and knowledge up to date, and to improve road safety. The training covers a range of topics, including driving theory, driving practice, and health and safety.

HGV drivers must complete 35 hours of CPC training every five years. The training can be taken in a variety of ways, including classroom-based courses, e-learning courses, and distance learning courses.

Drivers who do not complete the required CPC training may be fined up to £1,000. They may also be disqualified from driving HGVs.

There are a number of benefits to completing CPC training. The training can help drivers to:

  • Improve their driving skills

  • Stay up-to-date with the latest driving regulations

  • Reduce their risk of accidents

  • Improve their job prospects

If you are an HGV driver, it is important to make sure that you complete your CPC training. The training can help you to stay safe on the roads, and to improve your career prospects.

Driver Licence Checks

Driver licence checks, Points and risk management

The Driver and Vehicle Standards Agency (DVSA) is responsible for ensuring that drivers in the United Kingdom are safe and competent. They carry out a number of checks on drivers, including:

  • Checks on driving licenses to make sure they are valid and that the driver has the correct entitlement to drive the type of vehicle they are driving.

  • Checks on medical fitness to make sure the driver is fit to drive.

  • Checks on records of convictions and penalty points to make sure the driver is not disqualified from driving.

  • Checks on tachograph records to make sure the driver is not breaking rules on hours of work and rest.

  • Checks on vehicle safety to make sure the vehicle is roadworthy.

The DVSA also carries out roadside checks on drivers. These checks can be carried out at any time, and drivers can be stopped and asked to provide evidence of their identity, driving license, and vehicle insurance. The DVSA can also carry out checks on vehicles, including checking for defects, overloading, and illegal modifications.

If the DVSA finds any problems with a driver or their vehicle, they can take action, which could include:

  • Giving the driver a warning.

  • Imposing a penalty, such as a fine or points on their license.

  • Disqualifying the driver from driving.

  • Seizing the vehicle.

The DVSA is committed to keeping the roads safe, and their checks on drivers and vehicles help to achieve this. Drivers should be aware of the checks that the DVSA can carry out, and they should make sure that they are compliant with the law.

In addition to the checks carried out by the DVSA, there are a number of other checks that drivers should be aware of. These include:

  • Checks by employers. Employers may carry out checks on their drivers, such as checking their driving record and medical fitness.

  • Checks by insurance companies. Insurance companies may carry out checks on their drivers, such as checking their driving record and medical fitness.

  • Checks by other organisations. Other organisations, such as trade unions, may carry out checks on their members who are drivers.

Drivers should be aware of the checks that can be carried out on them, and they should make sure that they are compliant with the law.

Driver Hours

Driver & Vehicle card downloads and contingency planning

The Driver and Vehicle Standards Agency (DVSA) sets out the hours that HGV drivers can drive in a day and week. These rules are designed to ensure that drivers are not fatigued and that their safety and the safety of others is not compromised.

The best practice for managing driver hours is to use a digital tachograph. This is a device that records the driver's hours of work and rest. It can be used to plan journeys and ensure that drivers do not exceed the permitted hours.

Drivers should also take regular breaks. They should take a break of at least 45 minutes after driving for 4.5 hours. They should also take a break of at least 11 hours after driving for 14 hours.

It is important to note that the DVSA can carry out checks on drivers and their hours of work. If a driver is found to be in breach of the rules, they may be issued with a penalty.

Here are some of the best practices for managing driver hours for HGV drivers as per DVSA guidelines:

Use a digital tachograph to record your hours of work and rest.

Plan your journeys carefully to ensure that you do not exceed the permitted hours.

Take regular breaks, including a 45-minute break after driving for 4.5 hours and an 11-hour break after driving for 14 hours.

Be aware of the DVSA's rules on driver hours and be prepared to produce your tachograph records if asked to do so.

By following these best practices, you can help to ensure that you are compliant with the DVSA's rules and that you are driving safely.

Work Time Directive

Tachograph reporting and record keeping

The Driver and Vehicle Standards Agency (DVSA) is the UK government agency responsible for regulating drivers, vehicles, and driving standards. The DVSA sets out best practice for managing work time for HGV drivers in its guidelines.

The DVSA guidelines recommend that HGV drivers should:

  • Keep a record of their work and rest times.

  • Take regular breaks.

  • Not drive for more than 9 hours in a day.

  • Take a break of at least 45 minutes after driving for 4.5 hours.

  • Not drive for more than 15 hours in a day plus a break of at least 9 hours.

  • Take a weekly rest period of at least 45 hours.

The DVSA also recommends that HGV drivers should:

  • Be aware of the signs of fatigue.

  • Avoid driving when they are tired.

  • Get enough sleep.

  • Eat a healthy diet.

  • Stay hydrated.

  • Take regular breaks.

  • Avoid alcohol and drugs.

The DVSA guidelines are designed to protect HGV drivers and other road users from the dangers of fatigue. By following these guidelines, HGV drivers can help to ensure that they are fit to drive and that they are not putting themselves or others at risk.

Here are some additional tips for managing work time for HGV drivers:

  • Plan your route carefully and allow plenty of time for breaks.

  • If you are feeling tired, pull over and take a break.

  • Do not drive when you are under the influence of alcohol or drugs.

  • Eat a healthy diet and drink plenty of fluids.

  • Get enough sleep.

  • Take regular breaks, even if you are not feeling tired.

  • Be aware of the signs of fatigue, such as yawning, difficulty concentrating, and irritability.

  • If you start to feel fatigued, pull over and take a break.

  • Do not drive if you are not fit to do so.

Previous Notices

Any previous actions on file

The Traffic Commissioner can issue a variety of notices to operators, depending on the circumstances. Some of the most common notices include:

Variation notice: This notice is issued when an operator wants to make a change to their operator's licence. For example, they might want to add a new vehicle to their fleet or change their operating area.

Variation with conditions notice: This notice is similar to a variation notice, but it includes conditions that the operator must meet in order to make the change. For example, the Traffic Commissioner might require the operator to carry out additional training or to install new equipment.

Suspension notice: This notice is issued when the Traffic Commissioner believes that the operator is no longer fit and proper to hold an operator's licence. This might be because the operator has committed serious offences or because they have failed to comply with the terms of their licence.

Revocation notice: This notice is issued when the Traffic Commissioner believes that the operator should no longer have an operator's licence. This might be because the operator has committed serious offences or because they have failed to comply with the terms of their licence on a number of occasions.

Directions notice: This notice is issued when the Traffic Commissioner wants the operator to take specific action. For example, they might direct the operator to carry out additional training or to install new equipment.

Improvement notice: This notice is issued when the Traffic Commissioner believes that the operator needs to improve their standards. For example, they might direct the operator to improve their maintenance procedures or to improve the way they deal with customer complaints.

Warning notice: This notice is issued when the Traffic Commissioner is concerned about the operator's standards, but they do not believe that it is necessary to take further action at this stage. The notice will usually set out what the operator needs to do to improve their standards.

The Traffic Commissioner can also issue a number of other notices, depending on the circumstances. For more information, please see the DVSA website.

For more about roadside checks and notices click here

Communications

"Words fly away, but writing remains"

My favourite email subject: Further to Our Conversation ..........

At Fleet Transport Consultants (FTC), we recognise that effective communication is critical to maintaining compliance and fostering a culture of safety within any transport operation. Our audits thoroughly review communication practices at all levels, including:

Driver Communication: We examine both formal and informal communication with drivers. This includes: 

  • Infringement Management: Ensuring there are clear procedures for addressing and managing driver infringements. Disciplinary Processes: Reviewing formal disciplinary protocols to ensure they are effectively communicated and consistently applied. Informal Channels: Assessing the use of informal communication methods such as WhatsApp, email, and notice boards to ensure drivers are kept informed and engaged.

  • Third-Party Service Providers: We evaluate the communication channels and protocols used with third-party service providers. Effective communication ensures that any issues are promptly addressed and that high standards of workmanship are maintained.

  • Transport Manager and Supervisors: We review the communication between the transport manager, transport supervisors, and other key personnel. Clear and consistent communication is essential for coordinating operations and maintaining compliance.

  • Traffic Commissioner’s Office: We assess the operator's communication with the Traffic Commissioner’s office, ensuring that all necessary reporting and correspondence are handled appropriately and promptly.

For every communication channel, we look for a comprehensive paper trail that demonstrates the operator's proactive approach to mitigating risk and driving a compliance culture within the organisation. By ensuring that all communication is documented and traceable, operators can effectively manage compliance and enhance operational integrity.

Operator Licence

As the saying goes, "the devil is in the detail"

At Fleet Transport Consultants (FTC), the operator licence forms the cornerstone of our compliance audits for HGV and PSV operators. We meticulously examine the accuracy and validity of the licence, focusing on every detail. Our audit includes:

  • Entity and Directors: We verify the details of the entity and its directors, ensuring all information is up-to-date and compliant with regulatory requirements.

  • Vehicle Allocation: We check the number of vehicles listed on the licence, confirming they match the operator's current fleet.

  • Licence Type: We validate the type of licence held, ensuring it aligns with the operator's activities.

  • Maintenance Commitment: We review the operator's maintenance commitments to ensure they meet the required standards.

  • Operating Centre: We inspect the designated operating centre, ensuring it complies with the licence specifications.

  • Transport Manager: We evaluate the role of the transport manager, confirming their qualifications and involvement in the daily operations.

This comprehensive review provides valuable insights into the alignment and engagement of directors and transport managers with this crucial aspect of their operating model. Our detailed approach ensures that all facets of the operator licence are thoroughly assessed, reinforcing compliance and operational integrity.

Vehicle Documentation

All relevant vehicle documentations and plates present

There are a number of different types of documents that are required for HGVs in the UK. These include:

Driver's license: The driver of an HGV must have a valid driver's license that is appropriate for the type of vehicle they are driving.

Vehicle registration document: The HGV must have a valid vehicle registration document. This document shows who owns the vehicle and what type of vehicle it is.

Insurance certificate: The HGV must have valid insurance. This insurance covers the driver and the vehicle in the event of an accident.

Roadworthiness certificate: The HGV must have a valid roadworthiness certificate. This certificate shows that the vehicle is safe to drive on UK roads.

Operator's licence: If the HGV is being used for commercial purposes, the operator must have a valid operator's licence. This licence is issued by the Driver and Vehicle Standards Agency (DVSA).

Load plan: If the HGV is carrying a load, the driver must have a load plan. This plan shows the weight and dimensions of the load, as well as the route that the HGV will be taking.

Dangerous goods documentation: If the HGV is carrying dangerous goods, the driver must have the appropriate documentation. This documentation shows the type of goods that are being carried, as well as the safety precautions that must be taken.

In addition to these documents, HGV drivers may also be required to carry other documents, such as a tachograph card or a vehicle excise duty (VED) disc.

Health & Safety

Review of the H&S Policy and Risk assessments

Here are some health and safety and risk assessments that an HGV freight business should have in place:

Driver training. Drivers should be trained in safe driving practices, including how to avoid accidents, how to handle hazardous materials, and how to deal with emergencies.

Vehicle maintenance. Vehicles should be regularly inspected and maintained to ensure they are in safe working condition.

Load security. Loads should be properly secured to prevent them from shifting or falling during transport.

Working environment. The workplace should be safe and free from hazards, such as slippery floors, uneven surfaces, and poor lighting.

Equipment safety. All equipment should be properly maintained and in good working order.

Personal protective equipment. Employees should be provided with the appropriate personal protective equipment, such as hard hats, safety glasses, and gloves.

Fire safety. The workplace should have adequate fire safety measures in place, such as fire extinguishers, fire alarms, and evacuation plans.

First aid. The workplace should have a first aid kit and someone trained in first aid.

Accident reporting. All accidents and injuries should be reported and investigated.

Risk assessments. Regular risk assessments should be carried out to identify and control hazards.

In addition to these general health and safety measures, there are also specific risks associated with the transportation of hazardous materials. HGV freight businesses that transport hazardous materials should have in place additional measures to protect their employees and the public, such as:

Training in the safe handling of hazardous materials

Proper labeling and packaging of hazardous materials

Strict procedures for loading and unloading hazardous materials

Regular inspections of vehicles and equipment used to transport hazardous materials

Emergency plans in place in case of a spill or accident involving hazardous materials

By taking these steps, HGV freight businesses can help to ensure the safety of their employees, the public, and the environment.

Human Resources

Company Handbook, contracts, disciplinary process, etc

The minimum requirements of a company with regards to HR/ER and their obligations in the UK are as follows:

Employment contracts - All employees must have a written employment contract that sets out the terms and conditions of their employment. This includes the job title, pay, hours of work, holiday entitlement, and notice period.

Payroll - Companies must keep accurate records of their employees' pay and hours worked. They must also pay their employees on time and in full.

Time off work- Employees are entitled to certain amounts of paid and unpaid time off work, including sick leave, maternity leave, and paternity leave. Companies must allow their employees to take this time off when they need it.

Health and safety - Companies must take reasonable steps to protect the health and safety of their employees. This includes providing a safe working environment, training employees on health and safety issues, and carrying out risk assessments.

Discrimination and harassment - Companies must not discriminate against their employees on the grounds of age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex, or sexual orientation. They must also take steps to prevent harassment of their employees.

Redundancy - If a company is making employees redundant, they must follow a fair and reasonable process. This includes consulting with employees and giving them notice of the redundancy.

Data protection - Companies must protect the personal data of their employees. This includes keeping data secure and only using it for legitimate purposes.

Records - Companies must keep certain records of their employees, such as their pay records, pension records, and health and safety records.

Training - Companies must provide their employees with appropriate training. This includes training on health and safety, discrimination and harassment, and data protection.

Records- Companies must keep certain records of their employees, such as their pay records, pension records, and health and safety records.

Companies that fail to comply with these obligations may be liable to pay fines or be taken to court/tribunal.

GDRP

How secure and compliant is the customer and colleague data in companys possession.

The UK General Data Protection Regulation (UK GDPR) is the UK's implementation of the EU General Data Protection Regulation (EU GDPR). The UK GDPR applies to all organisations that process personal data of individuals located in the UK, regardless of where the organisation is based.

The UK GDPR sets out a number of obligations for organisations that process personal data. These include the following:

Organisations must obtain consent from individuals before processing their personal data, unless there is another legal basis for processing the data.

Organisations must only process personal data for specified, explicit and legitimate purposes.

Organisations must only process personal data that is adequate, relevant and limited to what is necessary in relation to the purposes for which it is processed.

Organisations must keep personal data accurate and up to date.

Organisations must take appropriate security measures to protect personal data from unauthorised or unlawful processing, accidental loss, destruction or damage.

Organisations must provide individuals with access to their personal data and allow them to correct, erase or restrict the processing of their personal data.

Organisations must notify the Information Commissioner's Office (ICO) of a personal data breach where it is likely to result in a high risk to the rights and freedoms of individuals.

The UK GDPR also sets out a number of rights for individuals, including the right to:

Request access to their personal data.

Request that their personal data be corrected or erased.

Object to the processing of their personal data.

Restrict the processing of their personal data.

Port their personal data to another organisation.

Not be subject to automated decision-making.

Organisations that fail to comply with the UK GDPR may be subject to a range of sanctions, including fines of up to £10 million or 4% of global turnover, whichever is greater.

The UK GDPR is a complex piece of legislation and organisations should seek professional advice to ensure compliance.

Previous PGs & PIs

Any restriction and previous PI sanctions or PGs Recorded on OCRS

More about public inquiries click here

More about Notices click here

Policies

"Have sound Policies, then Procedures will follow"

At Fleet Transport Consultants (FTC), we thoroughly review the policies an operator has in place to ensure they are not merely paper exercises but are effectively implemented and robustly enforced. Here is a list of essential policies we check, along with some additional suggestions:

  • Health & Safety (H&S)

  • Drugs and Alcohol

  • Mobile Phone Usage

  • Road Traffic Collision (Bump Policy)

  • Night Worker Provisions

  • Dashcams & Cab Cameras

  • Vehicle Off Road (VOR) Procedures

  • Tyre & Wheel Safety

  • Driver Wellbeing

  • Driver Hours and Tachograph Usage

  • Fatigue Management

  • Training and Development

  • Emergency Procedures

  • Environmental Policy

  • Data Protection and Privacy

  • Equal Opportunities and Diversity

  • Maintenance and Servicing Schedules

  • Load Security

By ensuring these policies are comprehensive, up-to-date, and actively implemented, we help operators maintain high standards of compliance and operational integrity.

Transport Managers

Treat your TM as a Director in your organisation

More about Roles & Responsibilities of an External Transport Manager  click here

For more about wow many hours should a Transport Manager Work? click here

Difference between External & Internal Transport Managers click here

If you need an External Transport Manager click here

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