DVSA Operator Compliance Audit Form

1. Cover & Executive Summary

Prepared For

Operator Licence Number

Licence Type

Operating Centre(s) Audited

Auditor Details

Auditor Name

Auditor Organisation

Auditor Qualifications / Relevant Experience Date(s) of Audit Overall Compliance Rating Executive Summary

2. Audit Methodology & Operator Overview Audit Methodology

Sample Size – Vehicles

Sample Size – Trailers

Sample Size – Drivers

Sample Period (PMIs / driver records) Business Description VOL Accuracy & Licence Details

Authorised Vehicles

Vehicles in Possession

Authorised Trailers

Trailers in Possession

Number of Drivers Number of Employees Relying on Transport Operation Evidence Reviewed (Operator Overview) Findings (Operator Overview) Compliance Rating – Operator Overview

3. Management Structure & Maturity Management Structure & Organogram Use of OCRS & Management Information Driver Employment Basis Use of Agency Drivers Assessment of New Drivers Driver Bonus Schemes Evidence Reviewed – Management Findings – Management Compliance Rating – Management

4. Company Repute Convictions / Enforcement Actions Other Enforcement or Regulatory Actions Pending Cases / Investigations Evidence Reviewed – Repute Findings – Repute Compliance Rating – Repute

5. Operating Centre Parking Adequacy Permission to Operate from Site Evidence Reviewed – Operating Centre Findings – Operating Centre Compliance Rating – Operating Centre

6. Transport Manager (Standard Licence Only) Transport Manager Status Hours & Other Licences Other Roles (if Internal TM) TM Contract Basis Practical Evidence of TM Involvement TM CPD / Refresher Training Evidence Reviewed – Transport Manager Findings – Transport Manager Compliance Rating – Transport Manager

7. Responsible Person (Restricted Licence Only) Appointment of Responsible Person Role and Duties Training & Competence Evidence Reviewed – Responsible Person Findings – Responsible Person Compliance Rating – Responsible Person

8. Driver Management Recruitment Practices & Selection Induction Training Ongoing Training & Driving Assessments Driver Handbook / Log Book Driver Turnover & Full-time/Part-time Mix CPC Days & DQC Management Licence Checks (All Staff Who Drive) Agency Driver Licence & Competence Checks Driver Training – Load Security Drink & Drug Policy Driver Medical & Eyesight Declarations Evidence Reviewed – Driver Management Findings – Driver Management Compliance Rating – Driver Management

9. Drivers’ Hours, WTD & Routing Drivers’ Hours Regimes Tachograph Systems (Analogue & Digital) Lost/Damaged Driver Card Log Download Frequency (Vehicle Units & Driver Cards) Tachograph & WTD Analysis Process Working Time Directive – Reference Period & Agreements Route Planning & Restrictions Evidence Reviewed – Hours & Routing Findings – Hours & Routing Compliance Rating – Hours & Routing

10. Vehicle & Trailer Specification Vehicle Allocation to Work Ownership / Lease / Hire Appropriateness of Fleet for Work Vehicle Replacement Policy Average Fleet Age & Mileage Insurance Arrangements Evidence Reviewed – Fleet & Insurance Findings – Fleet & Insurance Compliance Rating – Fleet & Insurance

11. Maintenance Forward Planner Tax & MOT Status PMI Frequency & Record History Maintenance Model (Internal / External) Internal Maintenance Controls (if applicable) External Maintenance Contracts (if applicable) Vehicle Off Road (VOR) & Missed Inspection Procedures New / Hired Vehicles & Trailers – First Use Brake Testing Procedure MOT First-Time Pass & Final Pass Rates Wheel & Tyre Policy Driver Walk-Around Checks & Defect Handling Prohibitions (PG9) & Improvement Actions Evidence Reviewed – Maintenance