Undertakings Checklist for Operator Licence Holders

Legal Responsibilities of Licence Holders – Part 1

Introduction

When you apply for and are granted an Operator’s Licence in the UK, you make a number of formal promises known as “undertakings.” These undertakings form the legal and operational backbone of your licence, and failing to meet them can result in enforcement action, a Public Inquiry, curtailment, suspension, or even revocation of your licence.

Whether you hold a Restricted, Standard National, or Standard International licence, these commitments are not just formalities — they are binding conditions designed to protect road safety, ensure fair competition, and maintain industry standards.

In this guide, we break down every operator undertaking into a clear, easy-to-follow checklist that you can use as a compliance tool in your day-to-day operations. This blog is especially useful for Restricted Licence holders who may not employ a professional Transport Manager but still carry the full legal burden of compliance.

Table of Contents

1. What Are Operator Licence Undertakings?

2. Why the Undertakings Matter

3. Complete Undertakings Checklist

4. Breakdown of Each Undertaking (with Practical Actions)

5. Evidence of Compliance: What to Keep and Show

6. Consequences of Failing Your Undertakings

7. Undertakings for Restricted vs. Standard Licences

8. Undertakings and Public Inquiries

9. How to Stay Compliant: Internal Systems and External Help

10. Downloadable Checklist (PDF)

11. How JS Transport Solutions Can Help You Meet Your Undertakings

1. What Are Operator Licence Undertakings?

When you apply for an Operator Licence, you agree to a list of conditions and undertakings which appear on the granted licence documentation and are publicly viewable on the Operator Licensing self-service portal. These undertakings are:

• Legal obligations under the Goods Vehicles (Licensing of Operators) Act 1995

• Binding commitments for ongoing compliance

• Individually enforced by the Traffic Commissioner

Some are general legal obligations, while others are specific to the type of licence you hold.

2. Why the Undertakings Matter

These undertakings are not optional. Failing to comply may lead to:

• Fixed penalties or fines from the DVSA

• Referral to the Traffic Commissioner

• A call to attend a Public Inquiry

• Licence revocation or curtailment

• Damage to your business reputation

In short, every undertaking is a promise to the public — and the Traffic Commissioner will hold you to it.

3. Complete Undertakings Checklist

Here’s your master Operator Licence Undertakings Checklist. Tick these off as part of your monthly compliance review:

✅ Vehicles are kept in a roadworthy condition

✅ Drivers report defects and carry out daily walkaround checks

✅ Regular safety inspections are carried out at appropriate intervals

✅ Safety inspections and repairs are recorded and retained

✅ You only use operating centres specified on your licence

✅ You do not overload your vehicles

✅ You obey driver’s hours and tachograph regulations

✅ You notify the Traffic Commissioner of any material change

✅ You inform the TC of any convictions or penalties

✅ You keep proper employment and disciplinary procedures

✅ You ensure drivers are properly trained and licensed

✅ You have sufficient financial standing at all times

✅ You cooperate with DVSA and enforcement bodies

✅ You make arrangements for audit, where necessary

✅ You understand the responsibilities even without a TM (Restricted Licence)

4. Breakdown of Each Undertaking (with Practical Actions)

Let’s explore each in more detail, including practical tips and what kind of evidence to keep.

1. Vehicles Are Kept in a Roadworthy Condition

What It Means: All vehicles on your licence must be well-maintained, safe, and legal at all times.

What To Do:

• Schedule regular PMI (Preventative Maintenance Inspections)

• Fix defects promptly

• Use a qualified maintenance provider

• Record all inspections and repairs

Evidence:

• Maintenance planner

• Inspection reports

• Repair invoices

2. Daily Walkaround Checks and Defect Reporting

What It Means: Every driver must inspect their vehicle before use.

What To Do:

• Train drivers on walkaround check procedure

• Use defect report books or electronic systems

• Keep signed reports for at least 15 months

Evidence:

• Defect report sheets

• Policy document

• Driver training logs

3. Safety Inspections at Regular Intervals

What It Means: Vehicles must be inspected at least every 6 to 13 weeks (depending on usage).

What To Do:

• Set up a maintenance calendar

• Appoint a reliable inspection centre

• Follow-up on advisory notes

Evidence:

• Inspection planner

• Safety inspection sheets

4. Maintenance Records Retention

What It Means: You must retain maintenance records for 15 months minimum.

What To Do:

• Organise physical or digital storage

• Ensure documents are legible and complete

Evidence:

• Maintenance folders (paper or digital)

• Audit logs

5. Use Only Licensed Operating Centres

What It Means: You can only park and operate from the centres listed on your licence.

What To Do:

• Avoid unauthorised vehicle storage

• Notify the TC of any change in base

Evidence:

• Photos of sites

• Lease agreements

• Site layout plans

6. Avoid Overloading

What It Means: Vehicles must not exceed weight limits.

What To Do:

• Train drivers on GVW and axle weights

• Use weighbridges where available

• Keep loading balanced

Evidence:

• Weighbridge tickets

• Overload prevention policy

7. Driver Hours and Tachograph Compliance

What It Means: You must follow EU or GB driver hours rules.

What To Do:

• Train drivers on hours and rest requirements

• Download tachograph data weekly

• Analyse infringements and correct them

Evidence:

• Tachograph analysis reports

• Driver debriefs

• Driver hours policy

8. Notify Traffic Commissioner of Material Changes

What It Means: Changes in business structure, directors, TM, operating centres etc. must be notified.

What To Do:

• Review your licence every quarter

• Inform the TC via the self-service portal

Evidence:

• Confirmation emails

• Records of correspondence

9. Declare Convictions and Penalties

What It Means: You must inform the TC of any relevant legal issues affecting the licence holder or TM.

What To Do:

• Monitor company and staff convictions

• Submit written notifications

Evidence:

• Disclosure logs

• TC acknowledgement letters

10. Employment and Disciplinary Policies

What It Means: You must manage your drivers responsibly.

What To Do:

• Implement clear contracts and expectations

• Take action on misconduct

• Hold disciplinary hearings where needed

Evidence:

• Disciplinary procedure documents

• HR logs

11. Driver Competence and Licensing

What It Means: All drivers must be properly licensed and trained.

What To Do:

• Check driving licences regularly

• Record CPC training hours

• Provide induction training

Evidence:

• Licence check logs

• Driver training matrix

12. Financial Standing

What It Means: You must demonstrate the financial ability to operate safely.

What To Do:

• Maintain access to required capital

• Keep up-to-date accounts

Evidence:

• Bank statements

• Company accounts

13. Cooperate with DVSA and Enforcement Bodies

What It Means: You must comply with roadside checks and enforcement visits.

What To Do:

• Be courteous and provide requested documents

• Follow up on inspection advice

Evidence:

• DVSA visit reports

• Post-visit action plans

14. Audit Readiness and Record Keeping

What It Means: You must be able to show proof of compliance on request.

What To Do:

• Keep audit files organised

• Regularly review compliance documents

Evidence:

• Completed audit checklists

• Compliance file

15. Restricted Licence Holders Must Still Comply

What It Means: You are legally accountable even without a TM.

What To Do:

• Educate yourself on compliance

• Consider appointing an external Transport Manager or compliance coach

Evidence:

• Training records

• Consultancy agreements

5. Evidence of Compliance: What to Keep and Show

A good rule of thumb: If you can’t prove it, it didn’t happen.

Keep:

• PMI records (15 months)

• Defect reports (15 months)

• Driver hours data (12 months)

• Maintenance planners

• Operating centre evidence

• Training records

• Financial standing documents

Use digital document systems if possible to stay organised.

6. Consequences of Failing Your Undertakings

• Prohibition notices at the roadside

• Fixed penalties and points

• DVSA reports to the Traffic Commissioner

• Public Inquiry summons

• Licence curtailment or revocation

• Disqualification as a licence holder or TM

7. Restricted vs. Standard Licence Undertakings

Undertaking	Restricted	Standard
Maintenance	✅	✅
Driver Hours	✅	✅
Financial Standing	✅	✅
Employment Procedures	✅	✅
External TM Required	❌	✅

Restricted licence holders are fully responsible for compliance even if they don’t have a TM.

8. Undertakings and Public Inquiries

At Public Inquiry, the TC will focus on:

• Breaches of undertakings

• Failure to monitor compliance

• Inadequate documentation

• Repeated DVSA encounters

A solid undertakings file could save your licence.

9. How to Stay Compliant

• Conduct monthly internal audits

• Appoint a compliance coach or External TM

• Invest in staff training

• Use document management software

• Attend industry briefings

10. Downloadable Checklist (PDF)

[Click here to download your Operator Undertakings Checklist – PDF Format] (coming soon)

Keep it in your compliance file and review monthly.

11. How JS Transport Solutions Can Help

At JS Transport Solutions, we specialise in helping operators comply with their undertakings through:

✅ External Transport Manager services

✅ Compliance coaching for Restricted Licence holders

✅ Full document audits

✅ Maintenance system reviews

✅ Tachograph data analysis

✅ Public Inquiry preparation

Need help staying on top of your undertakings? Get in touch today for a free compliance consultation.

👉 Visit www.jstransport.uk

Conclusion

Your undertakings are not just paperwork — they are legal promises. Make sure you understand them, act on them, and document everything.

Staying compliant is not just about avoiding penalties — it’s about protecting your business, your licence, and public safety.

Next in the series: [Vehicle Maintenance Record Template – Best Practices & Free Download]