Guidance

Vehicle operator maintenance investigations

The areas that are looked at during maintenance investigations to check that vehicle operators have suitable systems, facilities and arrangements.

• From: Driver and Vehicle Standards Agency
• Published: 3 September 2020
• Last updated: 4 May 2023
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  1. 4 May 2023

     ## Question 4a * safety inspection records must now also include the details of the external maintenance provider who carried out the inspection * all details on safety inspection records must be legible ## Question 4b * operators must now also have documents relevant to safety inspections, for example, brake testing reports or while fixing retorque records * hard copies of safety inspections must be made available on request – they do not need to be prepared in advance unless asked for * roller brake tests must be laden and at least 3 should be carried out each year as well as the one at the MOT * decelerometer tests for rigid vehicles must include a brake temperature measurement * electronic braking performance monitoring system (EBPMS) assessment can be used for any vehicles now, not just trailers * road test removed as an option for brake testing during a safety inspection ## Question 4f Operators must now regularly check for safety recalls. ## Question 8b Tyre management system must now monitor that tyre tread depths are measured using a calibrated gauge. ## Question 11 Section replaced with new questions and requirements. Original question 11a is split up over two questions: * question 11a is about site security measures * question 11b is about vehicle security procedures.

  2. 1 April 2022

     The separate guides for HGV and PSV investigations have been combined into a single guide. ##2. Condition of vehicles examined at the fleet check Changed number of vehicles the examiner will inspect when investigating an operator. There are two new questions: * 2a: State the number of vehicles and trailers in possession for the scope of the investigation * 2b: Were any vehicles or trailers inspected? The old question 2b is now question 2c. ##3. Operating centre Question 3b now has “mostly satisfactory” as an assessment outcome “if parking appears adequate but minor issue observed”. ## 4. Inspection and maintenance records Changed number of files the examiner will use as a sample when investigating an operator. This is now based on whether the operator has any prohibitions issued in the last 15 months. Question 4b is now “Are records completed?” Question 4g no longer allows PSV operators to use other incident reporting forms when telling the Driver and Vehicle Standards Agency about an incident. ## 5. Driver defect reporting Question 5a now has “There is clear evidence that walkaround checks are not carried out” as a reason to report to traffic commissioners. Question 5c now has “Clear evidence of vehicles being used with reported safety defects” as a reason to report to traffic commissioners. ##6. Inspection facilities and maintenance arrangements Question 6b now has “Clear evidence there are no maintenance facilities or arrangements in place” as a reason to report to traffic commissioners. Question 6c now has the following as reasons to report to traffic commissioners: * clear evidence of poor maintenance standards resulting in safety-critical defects * clear evidence of no management control ##7. Vehicle emissions Question 7a now requires operators to use manufacturer’s type approved values when testing emissions systems. Question 7a now has “There is clear evidence of deliberate modification or removal of manufacturers emission plate values” as a reason to report to traffic commissioners. ##8. Wheel and tyre management Question 8a now has “Clear evidence of no effective system in place leading to a wheel off incident” as a reason to report to traffic commissioners. Question 8b now has “Clear evidence of the manufacturers date code being deliberately modified or removed” as a reason to report to traffic commissioners. ##10. Prohibition Assessment For third party trailers where the operator was not responsible for the safety inspection, Question 10a now requires examiners to check if the driver would not have been aware of the defect either with a walkaround check, system warning or by towing the trailer . ##11. Security Requirements An operator’s security system must now include security culture. ##13. Transport manager or responsible person Question 13a now has “There is no evidence of a genuine link between the transport manager and the operation” as a reason to report to traffic commissioners. Question 13c is now “Based on this investigation, has the transport manager/responsible person demonstrated effective and continuous management control of the operation and shown integrity?” Question 13c now has: * “Effective control” instead of “Full control” as an assessment outcome * an outcome of no control for “Obvious problems are being ignored by the transport manager or responsible person” * “Issues of integrity” as a new assessment outcome. Question 13c ##14. Request for Explanation (RFE) Response The examiner will still report the operator to the traffic commissioners even if the request for evidence response is satisfactory.

  3. 1 February 2021

     Updated maintenance investigations: HGV operators Section 4.1 Q4a Under what a safety inspecttion record must include: Removed "and who they work for' after name of inspector Section Q8b Replaced additional information with link to British Tyre Manufacturers' Association Guide to tyre management and maintenance on heavy vehicles Maintenance investigations: public service vehicle (PSV) operators Section 4.1 Q4a Under what a safety inspecttion record must include: Removed "and who they work for' after name of inspector Section 4.7 QP4g Changed life-threatening injury to serious injury and added significant body damage to reportable incidents Section Q8b Replaced additional information with link to British Tyre Manufacturers' Association Guide to tyre management and maintenance on heavy vehicles

  4. 3 September 2020

     First published.

Applies to England, Scotland and Wales

Documents

Maintenance investigations: questions

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Details

The Driver and Vehicle Standards Agency (DVSA) carries out maintenance investigations of vehicle operator licence holders in England, Wales and Scotland.

The investigations check if the operator has suitable systems, facilities and arrangements in place.

DVSA may report the outcome of a maintenance investigation to the Traffic Commissioners for Great Britain.

The questions used during the maintenance investigation are set out in this guide, including the question requirements and assessment criteria. There may also be additional instructions and further information for each question.

How to use this guide

The maintenance investigation visit report has 14 question sections:

1. Operator legal entity
2. Condition of vehicles examined at the fleet check
3. Operating centre
4. Inspection and maintenance records
5. Driver defect reporting
6. Maintenance facilities and arrangements
7. Vehicle emissions
8. Wheel and tyre management
9. • Load security – heavy goods vehicles (HGVs) only
   • Public Service Vehicle Accessibility Regulations (PSVAR) – public service vehicles (PSVs) only
10. Prohibition assessment
11. Security requirements
12. Previous reported shortcomings, conditions and undertakings
13. Transport manager/responsible person
14. Request for explanation response (where applicable)

There is a maximum of 4 assessment outcomes for a question section:

• satisfactory – the operator does not need to take any action
• mostly satisfactory – DVSA gives advice to the operator
• unsatisfactory – operator action and explanation required
• report to the Traffic Commissioners for Great Britain – operator action and explanation required

Investigation outcome

Satisfactory and mostly satisfactory

The operator does not need to take any action, unless DVSA has given them advice to improve any systems or procedures.

Unsatisfactory

The operator must respond with an explanation to show what action they’ll take to address the issues. Further action depends on the operator’s response but could include:

• DVSA closing the case
• deferred checks by the DVSA Remote Enforcement Office
• DVSA sending the maintenance investigation visit report with any operator explanations to the Traffic Commissioners for Great Britain

Report to the Traffic Commissioners for Great Britain

The operator must respond with an explanation to show what action they’ll take to address the issues. DVSA will send the maintenance investigation visit report with any operator explanations to the Traffic Commissioners for Great Britain.