Operator Licence Audits and Compliance
The health of your Operator Licence paperwork, procedures and systems are very often overlooked until one is requested by the Office of the Traffic Commissioner or an Enforcement Officer. However, they are critically important as failure to have the correct systems and documentations in place can put your Operators Licence at risk. At Transolva Ltd. we offer a comprehensive and thorough audit service which now includes Earned Recognition audits.
Our audit services give operators peace of mind that going forward your paperwork and systems will compliant and stand you in good stead if you are subject to an inspection by an Enforcement Officer.
Our audit service comprises of at least the following checks:
- that directorship or partnership information on the Operator’s Licence is up to date and match Companies House records; the details and qualifications of the transport manager (if required);
- that vehicle authorisation and operating centre information; the use of Operator Licensing self-service and if the OCRS (Operator Compliance Risk Score), is signed- up for and utilised;
- of all paperwork relating to the Operator’s Licence and what insurances are in place;
- a full and thorough examination of your maintenance system, including:
- ensuring your maintenance system or planner is up-to-date ad shows at least 6- months advance inspections;
- ensuring this planner, whether on-line wall planner includes not only pmi’s but MoT’s; tachograph calibrations; vehicle taxation and other necessary equipment inspections such as LOLER tests;
- of your preventive maintenance inspection paperwork; that the frequency of your inspections is aligned with what was agreed when applying for your Operators Licence;
- if maintenance agreements are in place; correct up to date forms are being used by your chosen maintenance provider; ensuring brake tests are carried-out and recorded; and all other critical information recorded;
- that you have the required 15 months of maintenance records and defect reports;
- of the driver defect procedures are being carried out correctly by drivers and the records created; what items are checked; whether on-line or in paper format;]
- of how often, if ever a maintenance supplier systems and facilities are inspected;
- of the driver licence, digi card and DGQ check procedure; the frequency of these checks; what information is retained; whether the checking is up to date; consideration of an on-line system;
- of what procedure is in place for downloading cards and VU’s or analysis of analogue vehicles;
- by looking at the analysis procedure and systems in place; is it fit for purpose; what, if anything is used to record Road Transport Directive (Working Time); the driver disciplinary procedure;
- whether new driver inductions are in place; the systems in place for checking agency drivers (if used);
- if there are contracts of employment in place; are drivers issued with company handbooks;
- how are accidents and traffic violations dealt with and what systems are in place;
- if you are aware of what constitutes a requirement of a conviction for either a director, driver or partner to be reported to the Office of the Traffic Commissioner and within what timescale should this be reported (see Making Changes to an Operator’s Licence;
- of general site and vehicle Health & Safety including systems in place for dealing with COVID-19.
The above is a summary of what would be checked during an audit but the whole audit will take 3 – 4 hours and then a report will be provided to enable you to reflect on the audit.
Where problems are highlighted, we will assist you to put in the necessary policies, procedures or systems in place to help keep you compliant and be there to guide in the use of these and your own systems and how to ensure this is maintained for the future.
Examination of your systems paperwork and testing their robustness is the key to Operator Licence compliance.
Going forward, you will be given access to a portal in our website where generic policy and procedure documents will be available for you to download. You will then be able to adapt these to your own business or operation.
Should the audit be for Earned Recognition and this is achieved then systems will need to be self-monitored going forward as zero-tolerance will be adopted. There may also be ongoing charges involved to assist you with carrying this out. However, at no time will any actual data be passed to the DVSA, as the information is collated and sent to them as kpi reports. On achievement your websites, company paperwork, business cards can carry the Earned Recognition logo and your vehicles are less likely to be stopped by the DVSA in roadside checks.
If you are bewildered by what you have read and need to do, please contact us via email; [email protected] or call; 01935 577007 for free expert, friendly and professional advice regarding our Operator Licence application and compliance services.