Common Compliance Failures for Restricted Licence Holders

Holding a Restricted Operator Licence gives you the ability to run goods vehicles for your own business — but it also puts you squarely in the sights of the DVSA and the Traffic Commissioner.

Too often, small businesses treat their licence as a formality. But ignoring your compliance obligations — even by accident — can lead to:

• DVSA prohibition notices

• Fixed penalties

• Revocation of your licence

• Public Inquiries

• Business disruption or closure

This post highlights the 10 most common compliance failures made by Restricted Licence holders — and how to avoid them.

1. No Written Maintenance Schedule

The failure: Relying on “when it feels right” instead of a planned regime.

The consequence: Missed inspections, vehicles operating in unsafe condition, higher DVSA risk rating.

The fix:

✅ Create a written schedule of safety inspections (e.g. every 6 weeks)

✅ Include MOTs, brake tests, and servicing

✅ Share it with your maintenance provider and file each inspection result

2. Poor Daily Walkaround Checks

The failure: No proof that daily checks are being done, or checks done improperly.

The consequence: Prohibitions at the roadside, evidence of operator neglect.

The fix:

✅ Train all drivers on walkaround checks

✅ Use a standard defect sheet (paper or digital)

✅ File daily reports for at least 15 months

✅ Sign off and fix any reported issues

3. Not Monitoring Driver Licences

The failure: Not checking if drivers are still qualified or have penalty points.

The consequence: Unlicensed or disqualified drivers operating your vehicles — your responsibility.

The fix:

✅ Check each driver’s licence at least every 6 months (every 3 months is better)

✅ Use DVLA’s online service or a licence checking provider

✅ Keep a log of checks and results

4. No Record-Keeping System

The failure: Keeping transport records in a disorganised drawer or scattered files.

The consequence: Panic when DVSA or Traffic Commissioner requests documents.

The fix:

✅ Maintain clear digital or paper folders

✅ Organise by driver and vehicle

✅ Follow consistent naming and file retention policies

✅ Write and follow a Record-Keeping Policy

5. Missed Safety Inspections (PMIs)

The failure: Failing to carry out Preventive Maintenance Inspections regularly.

The consequence: Increased risk of mechanical failure, DVSA prohibitions, OCRS penalties.

The fix:

✅ Agree PMI intervals with your garage (e.g. 6 or 8 weeks)

✅ Record the schedule in a maintenance planner

✅ File reports and repair documentation

✅ Never exceed the agreed interval

6. Assuming Tachograph Rules Don’t Apply

The failure: Believing that a Restricted Licence exempts you from EU rules.

The consequence: Tachograph misuse, driver hours breaches, or data download failures.

The fix:

✅ Understand when tachograph rules apply (over 3.5t + 100km radius = usually in-scope)

✅ Fit and calibrate tacho units

✅ Issue and download driver cards

✅ Keep and monitor tachograph data

✅ If exempt, still maintain duty records under GB domestic rules

7. Not Rectifying Reported Defects

The failure: Treating defect reports as optional or ignoring minor issues.

The consequence: DVSA considers this a serious failure of operator control.

The fix:

✅ Investigate all reported faults

✅ Record what action was taken (e.g. repaired, part replaced)

✅ Sign off completed work with dates

✅ Keep defect reports for 15+ months

8. No Evidence of Financial Standing

The failure: Failing to maintain the required financial reserves.

The consequence: Revocation for failing to meet licence conditions.

The fix:

✅ Maintain proof that you meet the required funds (e.g. £3,100 for one vehicle, £1,700 per extra)

✅ Acceptable proof includes:

• Bank statements

• Overdraft facility

• Credit agreement or finance plan

✅ Ensure funds are available continuously, not just during application

9. Parking or Operating from Unauthorised Sites

The failure: Using a home driveway, street, or unapproved location as an Operating Centre.

The consequence: Objections, complaints, enforcement action or Public Inquiry.

The fix:

✅ Only use sites that have been approved on your licence

✅ Notify the Office of the Traffic Commissioner if your site changes

✅ Get written permission from landowners

✅ Keep site plans, agreements, and planning documents on file

10. Thinking "It’s Only One Truck" Excuses You

The failure: Assuming small scale = no need for paperwork.

The consequence: DVSA and the Traffic Commissioner apply the same standards to all operators.

The fix:

✅ Take your responsibilities seriously from day one

✅ Build a small-scale compliance system that works

✅ Keep it simple — but consistent and complete

Bonus Tip: Failing to Respond to DVSA Letters

One of the fastest ways to get called to Public Inquiry is ignoring communication from the DVSA or Traffic Commissioner’s office.

Always:

• Read letters and emails carefully

• Respond professionally and within deadlines

• Seek advice if unsure

How to Avoid These Failures: Simple Compliance System

Area	Must-Have
Vehicles	Safety inspection planner, defect reports, repair history
Drivers	Licence check log, training records, daily walkaround sheets
Records	Filing system, digital backup, record-keeping policy
Tachograph (if in-scope)	Download schedule, infringement reports
Operating Centre	Proof of use, planning consent if needed
Financial	Bank statements, cash flow forecast, proof of reserves

Conclusion

Restricted Licence holders often fly under the radar — until they don’t.

Every one of the failures listed here can lead to enforcement action, loss of licence, or serious business disruption. But every one of them is preventable with a simple, proactive approach.

You don’t need expensive systems — just the right knowledge, consistent habits, and the willingness to stay compliant.

Next in the series:👉 What Is a Public Inquiry? A Guide for Restricted Licence Operators