Compliance, Efficiency & AutomationHGV & PSV operators · England & Scotland
0113 534 8006  ·  support@theftc.co.uk
Guide

Transport Compliance 101: the simple things that cost operators their licence

None of what follows is complicated, expensive or clever. It is the basic, everyday stuff — and it is what I see going wrong again and again when I am called in during a DVSA investigation or to prepare an operator for Public Inquiry.

Operators rarely lose their licence because they misunderstood a complex piece of regulation. They lose it because nobody inspected the hire vehicle when it arrived, because the relief driver was put straight into a cab, or because a genuinely well-run operation could not produce a single piece of paper to prove any of it.

That last point is the thread running through everything below. A Traffic Commissioner can only weigh the evidence in front of them. Being a good operator is not the same as being able to show you are one, and it is the second that decides the outcome of a Public Inquiry.

Here are seventeen things worth getting right. Work through them honestly and you will find one or two that apply to you.

What this covers

  1. Taking a vehicle on temporarily
  2. Taking on a relief or agency driver
  3. Walkaround defects you fixed yourself
  4. Checking the PMI and brake test
  5. Managing your VOL account properly
  6. Communicating with the Traffic Commissioner's office
  7. Infringements: risk management, not a signature exercise
  8. Spot checks and gate checks
  9. Learning to read a roller brake test
  10. VOR procedures
  11. Licence, CPC and tacho card expiries
  12. Maintenance interval drift
  13. Unaccounted mileage
  14. The 15-month rule
  15. Telling the TCO when things change
  16. Working Time records
  17. The fleet that never has a defect

1. Taking a vehicle on temporarily

A vehicle arrives on hire, on loan, or as a replacement while yours is off the road. It gets driven the same afternoon. Nobody looked at it, and nobody is quite sure whose licence it is on.

When a vehicle arrives, before anyone drives it:

  • Ask for the PMI or PDI and inspect the vehicle thoroughly yourself. File both the supplier's record and your own inspection.
  • Lock the vehicle in with your company card before it moves. This is the step most often skipped, and it is the one that decides whether the vehicle's data belongs to you.
  • Check MOT and tax yourself. Do not take the supplier's word for it.
  • Be clear whose licence it sits on, with a supporting contract that says so and sets out who is responsible for maintenance.
  • Add it to your insurance.
  • If it is on your licence for more than 28 days, specify it on your Operator Licence.

Every one of those takes minutes. Explaining at Public Inquiry why an unspecified, uninspected vehicle was running on your licence takes considerably longer.

2. Taking on a relief or agency driver

The temptation is to get them working, because that is why they are there. But an unknown driver is the single largest risk you can introduce to your operation in an afternoon.

  • Read their driver card before they drive and add them to your tacho analysis. If you have auto-downloaders, do not wait for them — that data is days away. Do it manually now, and look at what driving they have already done this week. It tells you a great deal about the driver, and about whether they are legal to start a shift for you at all.
  • Check their licence, and specifically what categories they are actually entitled to drive. A DVLA licence check takes moments and settles it.
  • Give them a mini induction — walkaround expectations, rest rules, safe loading, your defect reporting route, site rules.
  • Hand them a bump card and an escalation list so they know who to ring when something happens at 4am.
  • Buddy them with an experienced driver for the first shift.

Agency drivers are still your drivers while they are in your cab. The Traffic Commissioner will treat them that way, and so should you.

3. The walkaround defect you fixed yourself

A driver finds something minor — a blown bulb, a loose mirror. Someone sorts it in two minutes and everyone moves on. Nothing is written down, because it was fixed.

Record it anyway. Raise the defect, record the rectification, then close it. The full loop: reported, repaired, signed off.

Skipping it feels efficient, and it quietly destroys your records. A fleet whose paperwork shows no defects at all is not credible, because vehicles develop faults. What you have actually created is a record that proves your reporting system does not work — which is far worse than a record showing plenty of small defects, all properly closed. That closed loop is exactly what an examiner wants to see, and it is the thing a digital walkaround system makes hard to skip.

4. Checking the PMI and brake test

This one matters more than most operators realise. You cannot rely on your maintenance provider. If the inspection is inadequate, it is your problem as operator and Transport Manager — DVSA and the Traffic Commissioner have little or no jurisdiction over the garage. The undertakings are yours.

So review every PMI properly, and keep evidence that you did. Not a glance in the yard — a documented review, signed and dated.

If you do not have your own checklist, use our free TM/RP PMI Sign-Off tool. It walks you through what should have been checked and produces a record showing you checked it.

5. Managing your VOL account properly

Vehicle Operator Licensing is the front door to your licence, and it is astonishing how often it is left in a mess. Two things stand out from experience:

  • Set up proper separate user accounts. One for the operator, one for the Transport Manager, and a separate administrative account for the TM — so a minimum of three. More for larger organisations and anywhere consultants are involved. Shared logins destroy accountability and make it impossible to show who did what.
  • Check the email address is right, and that someone reads it. I have seen operators land in serious trouble — and some lose their licence — purely because correspondence went to an address nobody monitored. A former employee's inbox is a genuinely dangerous place to keep your licence.

6. Communicating with the Traffic Commissioner's office

Use the VOL message service. Put everything through it.

It is the most effective route, it is logged, it is timestamped, and it is attributable. A phone call you cannot evidence is worth very little later, and posted letters go astray at exactly the wrong moment. If it matters, it goes in VOL. If you are unsure how a matter should be raised with the Traffic Commissioner, ask before you improvise.

7. Infringements: risk management, not a signature exercise

Tachographs exist for one reason: to manage drivers' hours. Yet I regularly meet operators and TMs deeply absorbed in every corner of their tacho system while infringements go genuinely unmanaged — reduced to a signature exercise nobody benefits from. Focus on what matters; the rest is noise.

Work an infringement as a risk management exercise:

  • Understand why it happened first. When you point a finger at the driver, three point back at you. What operational reason caused it? A schedule that never had enough time in it? A delivery slot that guarantees an overrun? A regular route with nowhere legal to park?
  • Ask what you can change to remove the cause, and record that thinking.
  • Then move to training and explanation.

Drivers are defensive about infringements, and understandably so. What helps enormously is showing them their activity timeline for that specific day, so they can replay what actually happened. It shifts the conversation from accusation to fact.

And do it quickly. Within days, not three weeks later. Nobody remembers a Tuesday from three weeks ago, and asking them to is how the whole exercise becomes theatre. Getting briefings and sign-off in front of drivers while the day is still fresh is the single biggest improvement most operators could make to their tacho management.

8. Spot checks and gate checks

These are not a nice-to-have. They are one of the clearest demonstrations of control you can produce — and they are worth doing properly.

Give it ten to fifteen minutes. A two-minute glance is not a check and will not read as one either. You have a driver and a vehicle standing in front of you, which is an opportunity you do not get often, so use all of it.

While they are there, cover:

  • The walkaround check — watch it being done, rather than just reading the sheet afterwards.
  • The driver card, and the hours they have already worked.
  • The driving licence and what they are actually entitled to drive.
  • Load security — and ask them how they decided it was secure.
  • An eyesight check: read a number plate at 20 metres.

Record every one, including the checks where everything was fine. An unrecorded spot check did not happen, and a thick file of clean, dated checks is precisely the evidence of control you want to be able to put in front of someone.

9. Learn to read a roller brake test

Far too many brake test printouts are filed without anyone genuinely reading them. Bind, time lag, ovality, imbalance, max force — if those terms are not immediately meaningful to you, that printout is not doing its job, and a deteriorating brake performance trend will pass you by.

We have written it up in plain English: the roller brake test report explained, step by step. It is worth thirty minutes of your time, and worth putting your TMs and workshop staff through as well.

10. Get tight on VOR procedures

Vehicle Off Road needs to be a procedure, not a conversation in the yard. When a vehicle goes VOR:

  • Record it at the moment it happens, with the reason.
  • Take an odometer reading.
  • Secure the keys. Physically.
  • Tell everyone who might otherwise plan work for that vehicle.
  • File the paperwork so the VOR period and its end are both evidenced.

The reason for the odometer reading and the keys becomes obvious the first time a VOR vehicle turns out to have moved. Explaining that is a very uncomfortable conversation.

11. Licence, CPC and tacho card expiries

Almost every operator checks a driver's licence when they join. Far fewer check it again with any discipline. Three years later nobody knows what is on that licence.

Three expiries need active tracking, not memory:

  • Driving licence — and entitlements, which can change without anyone telling you.
  • Driver CPC / DQC — an expired DQC means the driver is not legally entitled to drive professionally, from that day.
  • Digital tacho card — these expire at five years, and drivers frequently do not notice until it is refused.

Set a risk-based frequency for licence checks — more often for drivers carrying points — and diarise the rest. Automated bulk licence checking removes the memory element entirely, which is the point.

12. Maintenance interval drift

You declared six weeks on your licence. Look honestly at your last twelve PMI dates and see what you are actually running. Seven weeks. Eight. One at ten because of a holiday.

This is a direct breach of an undertaking you signed, and it is trivially provable — DVSA need about ninety seconds with your inspection dates. It also applies to trailers, which are forgotten far more often than vehicles.

If your declared interval is genuinely unworkable, that is a conversation to have properly rather than something to quietly drift away from. Otherwise the fix is simply a schedule that tells you an inspection is coming before it falls due instead of after. Our free SIPCAT schedule calculator builds one from your declared frequency in seconds — inspection dates with ISO week numbers and a RAG status per vehicle, trailers included — and if you would rather not run it yourself, that is what our maintenance management service is for.

13. Unaccounted mileage

A vehicle moved, and no driver card was in it. It shows up immediately in tachograph data as distance travelled with nobody logged in.

It is usually innocent — a fitter shunting in the yard, a vehicle moved to the wash bay, an agency driver who did not insert their card. But it reads as either untracked driving or interference with the equipment, and if you cannot explain it, that is how it will be treated.

Investigate every instance, record the explanation, and act on the pattern. Vehicles that regularly move without a card point to a process problem you can fix. Systematic tachograph analysis surfaces this automatically; without it, you simply will not see it.

14. The 15-month rule

Walkaround checks, defect reports and their rectification, PMI records, brake test printouts — fifteen months. All of them, retrievable.

The usual failures are mundane: the book lives in the cab and leaves with the driver; the app only retains ninety days; a folder was cleared out; the previous TM took a laptop with them.

If you cannot produce a record for the last fifteen months, for every practical purpose it does not exist — whatever actually happened at the time. This is the single strongest argument for keeping records digitally: retention stops being something anyone has to remember, and producing an audit bundle stops being a fortnight of panic.

15. Telling the TCO when things change

Your licence is granted on the basis of a set of facts. When those facts change, you have a duty to say so, and there are deadlines.

The ones most often missed: a new or departing director, a change of registered or correspondence address, adding or leaving an operating centre, a Transport Manager resigning, and financial standing dipping below requirement.

"We will sort it at renewal" is how operators arrive at a Public Inquiry they created themselves. None of these notifications are difficult; not making them is what causes the damage. We have set out what to report and when in a separate guide — worth reading properly once, so you know where the deadlines sit.

16. Working Time records

The Working Time regulations are a separate legal regime from drivers' hours, and they are very frequently not recorded at all. Operators assume tacho data covers it. It does not.

Where records do exist, the common problem is Period of Availability used as a dumping ground — POA applied liberally to make awkward numbers behave. If your POA usage would not survive being questioned individually, it will not survive being questioned collectively either.

17. The fleet that never has a defect

This is point 3 seen from the other end, and it deserves its own place because it is so easy to miss.

Pull your defect records for the last three months. If they are close to empty across the whole fleet, do not congratulate yourself. Vehicles develop faults, and a nil return usually means one of three things: drivers are not genuinely doing the walkaround, they are fixing things quietly, or they have learned that reporting a defect causes them grief.

That third one is worth sitting with. If reporting a defect makes a driver's day harder, they will stop reporting defects, and you will have engineered your own blind spot.

The thread running through all of this

Read back through those seventeen and you will notice most are not really about doing something differently. They are about evidencing what you already do.

The operators I see in the most trouble are rarely the negligent ones. They are ordinarily competent operations that cannot prove it — where the checks happened but were not recorded, the conversation took place but was not minuted, the vehicle was inspected but nobody kept the sheet.

Fix the evidence and most of this looks after itself. That is the whole idea behind DDIR: capture it once, at the moment it happens, and the record exists whether or not anyone remembers to create it.

If you would like to know how you would actually fare, the TEVR self-assessment takes a couple of minutes and gives you an honest score against the same framework DVSA use.

FAQs

Frequently asked questions

How long do I have to keep walkaround checks and PMI records?+
Fifteen months. That applies to driver walkaround checks, defect reports and their rectification, safety inspection (PMI) records and brake test printouts. If a record cannot be produced for the last 15 months, for practical purposes it does not exist. Storing them digitally is the simplest way to guarantee retention.
Do I need to add a temporary vehicle to my Operator Licence?+
If the vehicle is being used under your licence and you keep it for more than 28 days, it must be specified on your Operator Licence. Under 28 days you still need it insured, taxed, MOT'd, inspected on arrival and covered by a clear contract setting out whose licence it sits on and who is responsible for maintenance.
What is the most common failure at Public Inquiry?+
Not being able to evidence what you say you do. Most operators genuinely carry out checks, but cannot produce dated, signed records to prove it. A Traffic Commissioner can only weigh the evidence in front of them, so an undocumented good system counts for very little.
How quickly should infringements be discussed with drivers?+
Within days, not weeks. A driver asked about an infringement three weeks later cannot remember the day and will simply become defensive. Showing them their activity timeline for that specific day, while it is still fresh, turns a paperwork exercise into a conversation that actually changes behaviour.
Why does a fleet with no reported defects look bad?+
Because vehicles develop faults. A record showing zero defects across a fleet for months does not indicate a perfect fleet; it indicates a reporting culture that has stopped working, or drivers fixing things quietly without recording them. DVSA and Traffic Commissioners read it exactly that way.
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