HGV Operator Compliance Audit

Use the HGV Operator Compliance Audit to ensure adherence to regulations set by the UK Traffic Commissioners Office to inspect licences, OCRSs' and more.

HGV Operator Compliance Audit



Defect Reporting

1. Is there a suitable system of written defect reporting in operation?


Photo Comment

2. Have drivers received written instructions in defect reporting?


Photo Comment

3. Are positive defects reported promptly in writing?


Photo Comment

4. Is there a 'Nil defect' reporting system?


Photo Comment

5. Are defects noted during first use and daily checks recorded in a suitable manner?


Photo Comment

6. Are details of rectification shown against defects?


Photo Comment

7. Are positive defect reports held on file for the required period?


Photo Comment

8. What management controls and checks are in place to ensure that defects are being reported and correctly handled?


Photo Comment
Documentation

1. Are Plating certificates available?


Photo Comment

2. Are copies of vehicle plates available?


Photo Comment

3. Are copies of trailer MOT discs available?


Photo Comment

4. Are current MOT certificates available?


Photo Comment

5. Is a reduced pollution certificate available?


Photo Comment

6. Are current tachograph calibration certificates available?


Photo Comment

7. Are V5 registration documents available?


Photo Comment

8. Are copies of Road Tax available?


Photo Comment

9. Is a LOLER certificate available?


Photo Comment

10. Are Insurance Docs available?


Photo Comment
Driver Licences And DCPC

1. Are driver licences and DQC checked?


Photo Comment

2. Are entitlements/categories/periods of validity/licences understood?


Photo Comment

3. Are drivers reminded of the requirement to report medical conditions to DVLA at times of checks?


Photo Comment

4. Are renewal dates noted and checked on?


Photo Comment

5. Are copies of all driver and DCPC licences held on file?


Photo Comment

6. Are these copies updated on a regular basis?


Photo Comment

7. Is there a system to log penalty points between updates?


Photo Comment
B Digital Tachograph

1. Are written instructions provided to drivers on digital tachograph use and records?


Photo Comment

2. How many drivers have their Smart Cards?


Photo Comment

3. Does the company have Company cards?


Photo Comment

4. Are these used for “lock in” and “lockout”?


Photo Comment

5. Are driver cards downloaded at least once every 28 days?


Photo Comment

6. Are vehicle units downloaded at least once every 90 days?


Photo Comment
Working Time

1. Does the company have a Workforce Agreement?


Photo Comment

2. Does the Agreement fix the reference periods? If so, what are the dates?


Photo Comment

3. Does the Agreement extend the night work limit?


Photo Comment

4. If so, what is the agreed maximum?


Photo Comment

5. Is there a system in place for recording Working time?


Photo Comment

6. Are allowances for statutory holidays, sickness, maternity/paternity/adoptive leave included in the working time calculation, and are the allowed exceptions being applied?


Photo Comment

7. Does this system identify instances of drivers exceeding the 48-hour weekly average?


Photo Comment

8. Does this system identify instances of drivers exceeding the 60-hour weekly maximum?


Photo Comment

9. If there is no agreement to extend the night work limit, does the system identify instances of drivers exceeding the 10-hour night work limit?


Photo Comment
Tachograph/Working Time Compliance Management And Enforcement

1. Is work organised so that drivers can comply with the drivers’ hours and Working Time regulations?


Photo Comment

2. Is there a clear and documented reporting process for Tachograph and Working Time performance compliance?


Photo Comment

3. Is there identified management responsibility for this process?


Photo Comment

4. How is evidence of speeding checked during analysis?


Photo Comment

5. If evidence of speeding is found, what course of action is taken?


Photo Comment

6. Are reports produced recording any errors/infringements found during analysis?


Photo Comment

7. Are steps taken to avoid repetition of driver’s errors including training and disciplinary action?


Photo Comment

8. Do drivers complete a declaration regarding work carried out for other employers?


Photo Comment
Driver Training

1. Are new/agency drivers provided with suitable induction training?


Photo Comment

2. Is training provided on driver’s hours and records training?


Photo Comment

3. Is training provided on Analogue and/or Digital Tachograph use?


Photo Comment

4. Is training provided on defect reporting?


Photo Comment

5. Are existing drivers given refresher training in drivers’ hours and records and defect reporting?


Photo Comment

6. Are there arrangements for Driver CPC training in place?


Photo Comment

7. Are the Driver CPC training arrangements sufficient and up to date?


Photo Comment
Policies

1. Does the company have a detailed mobile device policy in place?


Photo Comment

2. Does the company have a drug and alcohol policy in place?


Photo Comment

3. Does the company have a driving policy in place?


Photo Comment

4. Does the company supply drivers with a handbook?


Photo Comment
HGV Operator Compliance Audit

1. Is a copy of the 'O' Licence held on site with the correct entity named and is it within the review date?


Photo Comment

2. Are all Directors/Partners named on the 'O' Licence?


Photo Comment

3. Are details of any specific undertakings or conditions recorded on the 'O' Licence?


Photo Comment

4. Is the type of licence appropriate for the work being undertaken?


Photo Comment

5. Is the CPC holder named on the licence?


Photo Comment

6. When was the CPC qualification obtained?


Photo Comment

7. Are details of refresher training or proven means of keeping up-to-date provided?


Photo Comment

8. Is evidence of Financial Standing available, containing enough resources, and is there evidence of a system in place to communicate with the Traffic Commissioner?


Photo Comment

9. How many operating centers are specified on the licence?


Photo Comment

10. Is the location of centers specified on the licence?


Photo Comment

11. Is the 'O' Licence managed online?


Photo Comment

12. If so, who is authorized to use online services?


Photo Comment

13. Are copies of vehicle identity discs held on-site? 


Photo Comment

14. Have details of identity discs been seen?


Photo Comment

15. How many vehicles are authorized on the licence (by site)?


Photo Comment

16. How many vehicles are specified on the licence (by site)?


Photo Comment

17. Are all vehicles specified in possession?


Photo Comment

18. What is the vehicle margin?


Photo Comment

19. How many trailers are authorized on the licence?


Photo Comment

20. How many trailers are operated?


Photo Comment

21. What is the trailer margin?


Photo Comment
Operating Centre

1. Is the number of vehicles kept at the Operating Centre within authorised limits?


Photo Comment

2. Is the Operating centre of adequate size for both specified and hired vehicles used?


Photo Comment

3. Are all vehicles specified on the O'Licence normally kept at the specified address(es)?


Photo Comment

4. Have there been any operating restrictions imposed?


Photo Comment

5. If yes, what restrictions have been imposed?


Photo Comment

6. Have any vehicles been transferred from operating centres on a licence in another Traffic Area to this area?


Photo Comment

7. If yes, then has it been longer than 3 months?


Photo Comment

8. If yes, then have they been specified in this licence?


Photo Comment
OCRS And Offences

1. What is the most recent OCRS rating?


Photo Comment

2. How frequently are they monitored?


Photo Comment

3. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Roadworthiness of vehicles/trailers


Photo Comment

4. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Speeding offences


Photo Comment

5. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Load Security


Photo Comment

6. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Drivers Hours/Records


Photo Comment

7. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Driver Licensing or DCPC


Photo Comment

8. In the past five years, have any of the following offences been committed relating to the operation of vehicles: PG9 Prohibitions


Photo Comment

9. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Vehicle/trailer testing and plating


Photo Comment

10. In the past five years, have any of the following offences been committed relating to the operation of vehicles: International road haulage permits


Photo Comment

11. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Forgery (licences, documents, etc)


Photo Comment

12. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Unlawful use of vehicles


Photo Comment

13. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Unlawful use of rebated fuel


Photo Comment

14. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Contravening parking restrictions and prohibitions


Photo Comment

15. In the past five years, have any of the following offences been committed relating to the operation of vehicles: Environmental


Photo Comment

16. Has any company employee, including directors, received a fine of more than level 4- or 60-hours community service or 3 months imprisonment for any offence?


Photo Comment

17. Have any Graduated Fixed Penalties been issued?


Photo Comment

18. Has the Traffic Commissioner been notified of any convictions or other legally required penalties within 28 days?


Photo Comment
Overloading

1. What systems are in place to ensure vehicles are not overloaded?


Photo Comment

2. Are drivers aware of loading procedures through written instructions?


Photo Comment

3. Are drivers trained in loading and problems associated with loading?


Photo Comment

4. Have any TE160 overload notices been issued?


Photo Comment
Maintenance Systems

1. Have all changes in maintenance and inspection arrangements been notified to the Traffic Commissioner?


Photo Comment

2. What is the inspection frequency agreed with the Traffic Commissioner?


Photo Comment

3. Are safety inspections pre-planned?


Photo Comment

4. What items are included in planning?


Photo Comment

5. Is this method suitable?


Photo Comment

6. Are the safety inspections programmed at the same frequency as stated on the O'Licence?


Photo Comment

7. If maintenance is contracted out, are the contractors named on the O'Licence?


Photo Comment

8. If contracted out, is there a written agreement in force?


Photo Comment

9. What is the number of vehicles?


Photo Comment
Maintenance Records

1. Are the safety inspection reports used of a suitable type – including roller brake testing?


Photo Comment

2. What is the time lapse between inspections and visual/hard copy availability to the operator?


Photo Comment

3. Are these inspection reports correctly completed?


Photo Comment

4. Are maintenance quality checks undertaken and by what means?


Photo Comment

5. Are these reports held for the required period?


Photo Comment

6. Do daily walk-round checks appear to be carried out correctly on all vehicles/trailers?


Photo Comment

7. Is a check kept of test pass rate against the national average (e.g. by obtaining OCR Maintenance Test History Reports)?


Photo Comment

8. If yes, what is the most recently recorded pass rate?


Photo Comment

Is this sample what you are looking for?
Sign up to use & customise this template, or create your own custom checklist:

Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

Easy inspection app for your digital checklists