Guide 2. How to Maintain Compliance with Your Operator’s Licence

Operating goods vehicles in the UK requires strict adherence to the conditions of your operator’s licence. Whether you run a single lorry or manage a large fleet, non-compliance can lead to serious consequences — including financial penalties, loss of your licence, and even criminal charges. To protect your business and reputation, it’s essential to understand and meet your day-to-day responsibilities.

In this guide, we’ll break down key areas of compliance: vehicle maintenance, record-keeping, driver checks, and tachograph rules.

1. Understanding the Importance of Compliance

Your operator’s licence isn’t simply a one-off application — it’s a continuing commitment to upholding industry standards. The Traffic Commissioner (TC) expects every licence holder to meet certain requirements every day, not just when it’s convenient. Failure to comply could result in:

• Public inquiries

• Curtailed, suspended, or revoked licences

• Heavy fines

• Criminal prosecution

• Damage to your reputation and business closure

Therefore, compliance isn’t just about avoiding punishment; it’s about running a safe, reliable, and efficient operation.

2. Vehicle Maintenance: Keeping Your Fleet Safe and Roadworthy

Proper vehicle maintenance is a cornerstone of compliance. You must ensure that all vehicles under your licence are safe, roadworthy, and inspected regularly.

Daily Walkaround Checks

Drivers must carry out daily walkaround checks before each journey. This includes inspecting:

• Brakes

• Lights and indicators

• Tyres and wheels

• Mirrors and windows

• Steering and suspension

• Bodywork and load security

• Horns and wipers

• Tachograph equipment

Drivers should report any defects immediately using a formal defect reporting system. Minor issues must be rectified promptly, and dangerous defects should result in the vehicle being taken off the road until repairs are made.

Tip: Use a checklist template so drivers can document inspections properly.

Preventive Maintenance Inspections (PMIs)

Scheduled preventive maintenance inspections are essential. Vehicles should be inspected based on mileage or time intervals, whichever comes first. Typically, PMIs are conducted every 6 to 10 weeks depending on vehicle usage, age, and condition.

PMIs must be:

• Thorough

• Conducted by competent personnel

• Properly recorded

Remember: You must be able to produce a full PMI history for each vehicle for at least 15 months.

Immediate Repairs and Defect Rectification

Defects found during checks or inspections must be repaired promptly. The repair must be documented, including:

• What defect was found

• How and when it was repaired

• Who performed the work

This not only ensures safety but also demonstrates a proactive approach if the Traffic Commissioner ever reviews your operation.

3. Record-Keeping: Proving Your Compliance

Good record-keeping is vital. If you can’t produce records on demand, you may be deemed non-compliant — even if the work was done correctly.

You must keep:

• Vehicle maintenance records (PMIs, repair documents, MOT certificates)

• Driver defect reports (and evidence of repairs)

• Driver licence checks (evidence of regular checks on driver validity)

• Working time records (to show compliance with driver hours regulations)

Retention Periods

• Keep maintenance records for at least 15 months.

• Keep driver hours and working time records for 2 years.

Maintaining a tidy, easily accessible filing system (digital or paper) makes audits and inspections less stressful.

4. Driver Checks: Monitoring Your Workforce

Your drivers play a huge role in compliance. You must ensure they are properly licensed, trained, and monitored.

Licence Checks

You are responsible for ensuring all drivers hold a valid, correct licence for the vehicle they operate.

• Check licences at least every 6 months (more often for high-risk drivers).

• Use DVLA’s online services or third-party platforms for efficiency.

Look for:

• Expiry dates

• Entitlement to drive certain vehicle types

• Endorsements or disqualifications

Tip: Implement a reminder system to flag upcoming expirations.

Driver CPC Compliance

Drivers must also hold a valid Driver Certificate of Professional Competence (CPC).

• Keep copies of CPC cards.

• Monitor periodic training (35 hours every 5 years).

Without valid CPC qualifications, a driver is operating illegally — and so are you.

Driver Conduct Monitoring

You should have systems in place to:

• Monitor drivers’ behaviour (speeding, collisions, complaints)

• Provide additional training if necessary

• Apply disciplinary procedures for misconduct

5. Tachograph Rules: Managing Drivers’ Hours Legally

Tachographs record driving times, breaks, and rest periods — and mismanagement can quickly land you in trouble.

You must ensure:

• Drivers are using tachographs correctly (digital or analogue as appropriate).

• Drivers know how to produce records when requested.

• Records are downloaded regularly (every 28 days for drivers, every 90 days for vehicles).

• Data is stored securely for at least 12 months (often 2 years if linked to working time records).

Analysis of Data

Simply downloading data isn’t enough. You must actively analyse it for infringements like:

• Exceeding driving hours

• Insufficient rest periods

• Breaks taken too late or too short

When infringements occur:

• Investigate promptly.

• Record findings.

• Take remedial action (retraining, disciplinary measures).

Tip: Use tachograph analysis software to streamline this process.

6. Additional Tips for Staying Compliant

Here are some extra practices that help ensure continuous compliance:

• Designate a Transport Manager: If required by your licence, ensure you have a qualified Transport Manager who is actively involved.

• Regular Training: Refresh driver knowledge on compliance topics — don’t assume they remember everything from initial induction.

• Self-Audits: Regularly audit your own operation using the DVSA’s Earned Recognition standards as a benchmark.

• Stay Updated: Legislation changes — keep an eye on updates from the DVSA and Traffic Commissioner.

• Report Problems Early: If things go wrong (e.g., vehicle accidents, loss of repute), notify the Traffic Commissioner as required rather than trying to hide issues.

  
  

7. What Happens if You Slip Up?

The Traffic Commissioner has wide-ranging powers and takes a dim view of any operator who can’t manage their licence correctly. Even small slip-ups can escalate quickly if they show poor management systems.

Common penalties include:

• Warnings and undertakings

• Curtailment (reduction) of the number of vehicles you can run

• Suspension of your licence

• Full revocation

• Personal penalties for Directors or Transport Managers

Appearing at a Public Inquiry can be stressful, costly, and damaging. Prevention is definitely better than cure.

Conclusion: Compliance Is a Daily Duty

Maintaining compliance with your operator’s licence isn’t just about ticking boxes — it’s about embedding good practices into the daily running of your business.

Prioritise vehicle maintenance, keep meticulous records, monitor your drivers carefully, and treat tachograph rules seriously. A compliant operator not only avoids fines and licence issues but also runs a safer, more efficient, and more respected business.

If you’re ever in doubt about your obligations, seek advice early — staying informed and proactive is the best way to protect your licence, your livelihood, and the people who rely on you.