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



Maintenance Records

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


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


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3. Are these inspection reports correctly completed?


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


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5. Are these reports held for the required period?


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


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


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


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Defect Reporting

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


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2. Have drivers received written instructions in defect reporting?


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3. Are positive defects reported promptly in writing?


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


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


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6. Are details of rectification shown against defects?


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


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


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Documentation

1. Are Plating certificates available?


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2. Are copies of vehicle plates available?


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3. Are copies of trailer MOT discs available?


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4. Are current MOT certificates available?


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5. Is a reduced pollution certificate available?


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6. Are current tachograph calibration certificates available?


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7. Are V5 registration documents available?


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8. Are copies of Road Tax available?


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9. Is a LOLER certificate available?


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10. Are Insurance Docs available?


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Driver Licences And DCPC

1. Are driver licences and DQC checked?


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


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


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4. Are renewal dates noted and checked on?


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


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6. Are these copies updated on a regular basis?


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


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B Digital Tachograph

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


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2. How many drivers have their Smart Cards?


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3. Does the company have Company cards?


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


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


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


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Working Time

1. Does the company have a Workforce Agreement?


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


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3. Does the Agreement extend the night work limit?


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4. If so, what is the agreed maximum?


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


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


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


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


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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?


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Tachograph/Working Time Compliance Management And Enforcement

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


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


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3. Is there identified management responsibility for this process?


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4. How is evidence of speeding checked during analysis?


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


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


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


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


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Driver Training

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


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


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


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4. Is training provided on defect reporting?


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


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


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


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Policies

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


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


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


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4. Does the company supply drivers with a handbook?


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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?


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


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


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


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5. Is the CPC holder named on the licence?


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6. When was the CPC qualification obtained?


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


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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?


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


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


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11. Is the 'O' Licence managed online?


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


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


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14. Have details of identity discs been seen?


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


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


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17. Are all vehicles specified in possession?


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18. What is the vehicle margin?


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19. How many trailers are authorized on the licence?


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20. How many trailers are operated?


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21. What is the trailer margin?


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Operating Centre

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


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


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


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4. Have there been any operating restrictions imposed?


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5. If yes, what restrictions have been imposed?


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


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


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


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OCRS And Offences

1. What is the most recent OCRS rating?


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2. How frequently are they monitored?


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


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


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


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


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


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


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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


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


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


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


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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


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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


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


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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?


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17. Have any Graduated Fixed Penalties been issued?


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


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Overloading

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


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


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


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4. Have any TE160 overload notices been issued?


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Maintenance Systems

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


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


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3. Are safety inspections pre-planned?


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4. What items are included in planning?


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5. Is this method suitable?


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


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


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


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9. What is the number of vehicles?


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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.

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