The Complete Operator Licence Compliance Checklist

An operator licence compliance checklist helps demonstrate that the undertakings attached to a standard goods operator licence are being met. The checklist below follows key expectations set out in the DVSA Guide to Maintaining Roadworthiness, the Senior Traffic Commissioner’s Statutory Documents, and retained Regulations 561/2006 and 165/2014.

Vehicle Maintenance and PMI Management

Maintenance systems must be effective, documented and suitable for the fleet operated.

• Preventive maintenance inspection (PMI) intervals are set and reviewed according to vehicle age, usage and risk.
• PMI schedules are planned in advance and completed on time.
• Safety inspections cover all items recommended in the DVSA Guide to Maintaining Roadworthiness.
• Defects identified during PMI are rectified promptly and repair records retained.
• Vehicles receive required annual tests and associated inspections.
• Maintenance providers are monitored where work is outsourced.
• Wheel security, brake performance and tyre management procedures are documented.

DVSA evidence: PMI sheets, maintenance planner, repair records, brake test records, annual test history, workshop agreements and audit reports.

Operator Licence Compliance Checklist: Driver Defect Reporting

• Drivers complete daily walkaround checks before vehicle use.
• Written or electronic defect reporting is used consistently.
• Nil defect reports are retained where used within the system.
• Reported defects are assessed and repaired before the vehicle returns to service where safety is affected.
• Defect reporting procedures are included in driver induction and refresher training.

DVSA evidence: Driver defect reports, repair records, training records and management reviews.

Drivers’ Hours and Tachograph Controls

• Procedures cover compliance with retained Regulations 561/2006 and 165/2014.
• Driver card and vehicle unit data are downloaded according to company policy.
• Drivers receive guidance on manual entries, card use and record keeping.
• Infringements are reviewed and investigated.
• Corrective action and driver coaching are documented.
• Working time and duty records support compliance monitoring where applicable.

DVSA evidence: Download schedules, infringement reports, investigation notes, driver briefings and tachograph analysis records.

Driver Licensing and Driver CPC Checks

• Driving licence entitlement checks are completed before employment and repeated periodically.
• Licence endorsements and restrictions are reviewed.
• Driver Certificate of Professional Competence (Driver CPC) validity is monitored.
• Agency and temporary drivers are included within checking procedures.
• Records of inductions, assessments and policy acknowledgements are retained.

DVSA evidence: Licence check records, Driver CPC records, personnel files and training documentation.

Operating Centre and Licence Administration

• Vehicle and trailer numbers remain within authorised licence limits.
• The operating centre is suitable for the authorised fleet.
• Any required licence advertisements were correctly placed during application or variation processes.
• Environmental and neighbour considerations are managed.
• Changes affecting the licence are notified to the traffic commissioner when required.

DVSA evidence: Operator licence documents, operating centre records, correspondence and site management records.

Financial Standing

• Financial standing requirements are monitored continuously.
• Management accounts and supporting financial records are available.
• Bank statements and other accepted evidence are retained.
• Financial reviews are completed regularly and documented.
• Any significant financial risks are recorded and addressed.

DVSA evidence: Financial records, management accounts, bank statements and internal review notes.

Record Retention and Compliance Monitoring

• Maintenance, driver and compliance records are organised and accessible.
• Document retention periods are defined and followed.
• Internal compliance audits are completed periodically.
• Corrective actions are tracked to completion.
• A nominated transport manager reviews compliance performance regularly.

DVSA evidence: Audit reports, action logs, management meeting records and compliance reviews.

Quick Review Before a DVSA Visit

• PMI records are complete and up to date.
• Driver defect reports can be produced promptly.
• Tachograph analysis and infringement investigations are available.
• Licence and Driver CPC checks are current.
• Financial standing evidence is accessible.
• Operating centre details match the operator licence.
• Compliance records are filed and easy to retrieve.

This is general guidance for Great Britain and is not legal advice.