Building a Driver Compliance File: What to Include

stuart47304
1 day ago
5 min read

A Complete Guide to Creating a Compliant Driver File for UK Operators

Every professional driver working under an Operator Licence — whether on a Standard or Restricted O-Licence — should have a compliance file.

Why? Because when DVSA inspectors or Traffic Commissioners come calling, one of the first things they ask for is evidence of driver competence and oversight. If you can’t produce complete, up-to-date driver files, you could face enforcement action, even if your fleet and paperwork are otherwise in good order.

In this guide, we’ll walk you through exactly what belongs in a driver compliance file, how to maintain and update it, and how to ensure it protects your licence — not puts it at risk.

What Is a Driver Compliance File?
Why Driver Files Are Essential for Operator Compliance
Who Needs a Driver File?
Digital vs Paper Files: What Works Best?
Core Sections of a Driver Compliance File
Full Driver Compliance File Contents Checklist
Managing Medicals, Licence Checks, and Qualifications
Tracking Driver CPC and Training
Logging Infringements and Disciplinary Action
Including Performance Reviews and Monitoring
File Management: Access, Audits, and Security
How Long to Keep Driver Records
Common Mistakes and How to Avoid Them
Final Thoughts: Make the Driver File Work for You

1. What Is a Driver Compliance File?

A Driver Compliance File is a centralised record — physical or digital — containing all relevant documents, checks, and performance data for a professional driver employed or used under your Operator Licence.

It's your legal and practical evidence that you’ve:

✅ Checked their qualifications

✅ Provided necessary training

✅ Monitored infringements and incidents

✅ Taken corrective actions when needed

✅ Maintained oversight of driver conduct

2. Why Driver Files Are Essential for Operator Compliance

Driver files help you:

Prove your drivers are qualified and legal
Prepare for DVSA audits or Public Inquiries
Respond to claims, accidents, or investigations
Spot risks early (e.g. repeated infringements)
Meet your Operator Licence undertakings

A missing or out-of-date file is often treated as a sign of poor management.

3. Who Needs a Driver File?

You should maintain a file for any driver who operates vehicles under your O-Licence, including:

✅ Full-time employees

✅ Part-time drivers

✅ Agency drivers (if used regularly)

✅ Owner-drivers operating under your licence

✅ Casuals or zero-hour drivers

Even Restricted Licence holders must maintain driver records — the size of your fleet doesn’t exempt you.

4. Digital vs Paper Files: What Works Best?

Format	Pros	Cons
Paper Files	Simple, familiar, easy to review	Can be lost, harder to audit, bulky
Digital Files	Secure, searchable, accessible remotely	Needs setup and consistent file naming

✅ Many operators now scan and store all records digitally while retaining signed originals for key forms (e.g. driver declarations).

5. Core Sections of a Driver Compliance File

Each file should be divided into the following sections:

Personal and Legal Documents
Licence and Qualification Records
Training and CPC Certificates
Defect Checks and Tacho Infringements
Disciplinary and Conduct Notes
Performance and Review Logs

Use folders, dividers, or a digital index to make auditing easy.

6. Full Driver Compliance File Contents Checklist

Here’s what your file should contain:

✅ Section 1: Personal and Legal Info

Employment contract or driver agreement
Photocopy of driver’s licence (front & back)
Right to work documentation (passport, share code, etc.)
National Insurance number
Emergency contact details

✅ Section 2: Licence and DVLA Checks

D796 licence check mandate (valid for 3 years)
Record of DVLA licence checks (dates, results)
Risk profile (based on points or infringements)
Tachograph driver card copy
Expiry date tracker (licence, tacho card)

✅ Section 3: CPC and Training

Driver CPC card copy
CPC hours tracker (e.g. 21/35 hours completed)
CPC course certificates (JAUPT-approved)
Internal training records (e.g. tacho use, walkaround checks)
Toolbox talk attendance sheets
Induction checklist (signed)

✅ Section 4: Vehicle Use & Compliance

Signed walkaround check forms (or sample weeks)
Driver defect reports (if submitted)
Infringement reports and driver explanations
Tachograph analysis summaries (for the driver)
Working time records (if applicable)

✅ Section 5: Conduct & Disciplinary

Complaint records or notes
Disciplinary warnings (verbal/written)
Driver statements and investigation outcomes
Retraining records post-infringement
Accident/incident involvement forms

✅ Section 6: Reviews & Monitoring

Driver appraisals or 1-to-1 meeting notes
Fuel efficiency or incident trend reports
Development plan or ongoing training schedule
Notes on supervisor observations or coaching

7. Managing Medicals, Licence Checks, and Qualifications

Operators must ensure:

✅ Drivers are medically fit to drive

✅ Drivers hold valid entitlement for the correct vehicle type

✅ Licence checks are performed every 3–6 months

Include:

Self-declaration of fitness to drive
D4 medical certificate (if HGV, every 5 years after age 45)
DVLA check results
Copies of relevant qualifications (e.g. HIAB, ADR, First Aid)

8. Tracking Driver CPC and Training

CPC tracking is essential to avoid:

❌ Expired DQCs

❌ Non-compliant driving

❌ Fines or roadside prohibitions

Best practice:

Maintain a 35-hour training log per driver
Include copies of each module’s certificate
Track expiry dates (with reminders 6 and 3 months out)
Include non-CPC refresher training and attendance sheets

9. Logging Infringements and Disciplinary Action

If a driver:

Commits a tacho offence
Misses a check
Is involved in a reportable incident
Receives a complaint

…it must be logged.

Include:

✅ Written reports

✅ Evidence or screenshots

✅ Driver response

✅ Action taken (warning, retraining, monitoring)

✅ Date of follow-up or resolution

These protect you at audit and show proactive management.

10. Including Performance Reviews and Monitoring

Professional operators hold regular driver reviews — ideally every 6 or 12 months.

Include:

Notes from meetings
Goals set and progress
Discussions on conduct, training, or hours compliance
Any ongoing concerns (fatigue, attitude, customer issues)

This turns the file from a risk tool into a development and retention tool.

11. File Management: Access, Audits, and Security

Your file system should be:

✅ Organised — easy to retrieve during audits

✅ Secure — access only by authorised staff

✅ Backed up — especially digital systems

✅ Updated regularly — set review reminders

Use a standard naming convention for digital files (e.g. "Smith_J_CPC_Certificate_2024.pdf").

12. How Long to Keep Driver Records

Record Type	Retention Period
Licence checks	3 years (minimum)
Driver defect reports	15 months
Training records	2–5 years
CPC certificates	Until replaced
Disciplinary records	2–3 years from incident
Driver file (post-employment)	At least 2 years

Keep a retention schedule and securely archive or delete expired files.

13. Common Mistakes and How to Avoid Them

❌ No evidence of training (verbal-only doesn’t count)

❌ Expired CPC cards or tacho cards not tracked

❌ Licence checks not carried out or logged

❌ Disciplinary actions undocumented

❌ Files missing from agency or part-time drivers

❌ Inaccessible digital folders (password locked or corrupted)

✅ Use a checklist and internal audit at least every 6 months

14. Final Thoughts: Make the Driver File Work for You

A well-maintained Driver Compliance File isn’t just an admin task — it’s your frontline defence during inspections and your record of professional oversight.

✅ It shows you’re meeting your legal obligations

✅ It protects your business in the event of a claim or inquiry

✅ It improves driver accountability and communication

✅ It supports safer roads and better transport standards