Comprehensive DVSA-Style Compliance Audits: Fortify Your Operations

• 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.

• 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.

• 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.

• 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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

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.

"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.

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.

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.

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.

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.

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.

"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.