Building a Bulletproof Compliance File: What to Keep and Why

If the DVSA or Traffic Commissioner knocked on your door today and asked to see your compliance records, would you be ready?

For many Restricted Operator Licence holders, compliance feels like a moving target. You know you need to keep “the right records,” but no one hands you a ready-made checklist — until now.

This guide will help you build a bulletproof compliance file — the kind that shows you take your operator responsibilities seriously and can stand up to scrutiny.

We'll cover:

• Why a compliance file matters

• What documents to include

• How long to keep each type

• Paper vs. digital systems

• Tips for staying organised

• How to show evidence proactively

Why Build a Compliance File?

A compliance file is your defence — and your proof — that you’ve taken every reasonable step to operate legally and safely.

It helps you:

✅ Respond quickly to DVSA audits or spot checks

✅ Prepare for Public Inquiries

✅ Train and manage drivers

✅ Avoid enforcement action or licence revocation

✅ Sleep better at night knowing you’re on top of things

In short, it’s your paper trail of professionalism.

What Should Be in a Compliance File?

Here’s a breakdown of essential documents to include — grouped into logical sections:

📁 1. Operator Licence and General Details

• Copy of your Operator Licence (front and back)

• Licence undertakings (signed)

• DVSA correspondence

• Evidence of Operating Centre permission (e.g. lease, letter)

• Planning consent (if applicable)

• Contact details for your maintenance provider

• Company structure and key contacts

📁 2. Vehicle Maintenance

For each vehicle in your fleet:

• Safety inspection planner (12-month rolling schedule)

• PMI (Preventive Maintenance Inspection) reports — last 15 months

• Repair and service invoices

• MOT certificates and failure/retest records

• Brake test reports

• VOSA/DVSA inspection sheets

• Wheel torque tightening records (if applicable)

• Roadside defect rectification evidence

• Vehicle disposal or purchase paperwork

📁 3. Defect Reporting & Daily Walkaround Checks

• Blank walkaround check sheets or app screenshots

• Completed defect reports (15 months retention)

• Rectification logs signed by maintenance provider

• Driver defect training or briefing records

• Internal process (policy) for defect reporting

📁 4. Tachograph & Driver Hours Compliance (if in-scope)

• Copy of tachograph calibration certificates

• Driver card and vehicle unit download logs

• Infringement reports and sign-offs

• Training records for tacho use

• Records of weekly rest, daily driving hours, and breaks

• Exemption policy (if operating under GB domestic rules)

• Duty logs (for exempt vehicles)

📁 5. Driver Management & Conduct

For each driver, keep:

• DVLA driving licence copy

• Licence check logs (every 3–6 months)

• Evidence of entitlement to drive relevant category

• Medical declarations (if applicable)

• Training records (e.g. hours rules, defect checks, load safety)

• Incident or disciplinary records

• Employment or engagement contract (if relevant)

📁 6. Operating Centre Information

• Approved site documentation (e.g. from licence application)

• Planning approval or evidence of exemption

• Site plan or photos

• Complaints log (if applicable)

• Noise management or traffic mitigation policies

📁 7. Financial Standing Evidence

• Last 3–6 months’ bank statements

• Overdraft facility letters (if used to meet standing)

• Cash flow forecast or budget plan

• Profit & loss summaries (for audits or renewals)

📁 8. Policies & Procedures

• Record-Keeping Policy

• Maintenance Policy

• Driver Defect Reporting Policy

• Driver Conduct Policy

• Transport Compliance Responsibility Statement

• GDPR/data handling statement for driver data

• Training policy (even informal guidance)

📁 9. Audit & Internal Review Documents

• Internal compliance checklists

• Review notes of previous issues and actions taken

• Consultant or external audit reports

• DVSA reports or inspection outcomes

• Public Inquiry paperwork (if any)

How Long Should You Keep Transport Records?

Record Type	Minimum Retention
Maintenance records	15 months
Driver defect reports	15 months
Tachograph data	12 months (driver) / 12 months (vehicle unit)
Driver hours logs	12 months
Driver licence checks	2 years recommended
Financial standing documents	12–24 months
Training & briefings	2 years
Operator licence correspondence	Indefinitely
Public Inquiry outcomes	Indefinitely

Tip: Keep backups — cloud storage or scanned copies protect you from loss.

Digital vs. Paper Filing: What’s Best?

Both are accepted — DVSA and the Traffic Commissioner will accept digital files, provided they are:

• Complete

• Readable

• Accessible on request

Paper systems work well for small operators if kept tidy and current.

Many use a hybrid model:

• Paper walkaround checks

• Digital maintenance planner

• Cloud storage for scanned PMIs, invoices, driver checks

Use whatever system you’re more likely to maintain consistently.

How to Organise Your File

Structure your system by:

• Driver: All documents per individual

• Vehicle: Everything related to a specific reg

• Policy areas: Maintenance, licensing, finance, etc.

✅ Use clear folder names

✅ Date-stamp every document

✅ Create an index or checklist at the front

Tips to Keep It Bulletproof

• Review monthly — set a calendar reminder

• Use checklists to spot missing documents

• Keep signed records (especially for training and policies)

• Address any gaps in writing — note why something is missing

• Train your team (even part-timers) to follow the process

• Store backup copies off-site or in cloud storage

How a Good File Helps You

A robust compliance file can:

• Protect you in a DVSA audit

• Demonstrate good repute to the Traffic Commissioner

• Reduce the risk of Public Inquiry

• Speed up renewals or site changes

• Impress insurance providers and clients

• Help you sleep better at night

It’s not about red tape. It’s about proving you're serious about safety and legality.

Conclusion

Your Operator Licence is a legal privilege — and your compliance file is your evidence that you deserve it.

Don’t wait for a roadside stop or a formal request. Build your file now, keep it current, and you’ll be ready for whatever comes your way.

A tidy file could be the difference between a warning and losing your licence.

Next in the series:👉 Compliance Health Check: Is Your Operation at Risk?