When a licence is granted to an operator, there are a number of conditions attached. This includes a duty on the operator to notify the Traffic Commissioner of any changes to the licence and also any events which may affect their fitness to hold a licence.

What to report

Section 22 of the Goods Vehicles (Licensing of Operators) Act 1995 and Section 16A of the Public Passenger Vehicles Act 1981 contain the standard conditions which are attached to all operators’ licences in relation to their duty to report to the Traffic Commissioner.

This includes a duty to report:

• Any changes to the licence, for example, changes in transport managers, operating centres, and vehicles.
• A change in the maintenance and safety inspection arrangements.
• A change in the legal entity of the business (a change in shareholding only needs to be notified if it causes a change in control).
• Anything which brings the good repute or professional competence of the operator, directors, or transport manager into question. This can include:
• Serious vehicle defects and DVSA prohibitions,
• Financial difficulties – bankruptcy, liquidation, and any other issues which may cause a shortfall in financial standing,
• Criminal convictions and fixed penalty notices, and
• Any other matters that affect repute – the conduct does not necessarily need to be unlawful to be relevant.

The latter two events will be considered below in more detail.

Criminal convictions and fixed penalty notices

• There is a duty to report criminal convictions in relation to the operator, directors, transport managers, employees, and agents.
• There is also a duty to report any fixed penalty notices issued to drivers or to anyone else connected with the transport operation.
• The full list of relevant convictions which must be reported is set in Schedule 2 of the Goods Vehicles (Licensing of Operators) Act 1995 and reg 21 of the Public Services Vehicles (Operators’ Licences) Regulations 1995. This includes road transport, driving, maintenance, and licensing-related convictions. Please note that relevant convictions differ if you hold a standard or restricted operator licence, and also whether you hold a PSV Operator Licence
• In addition, standard operator licence holders must report any conviction (either UK or international) in which punishment was:
• Imprisonment exceeding 3 months,
• A fine exceeding level 4 on the standard scale (www.sentencingcouncil.org.uk), currently £2500, and/or
• A community order requiring unpaid work for more than 60 hours, a community payback order requiring unpaid work, or unpaid work and other activity, to be undertaken for more than 60 hours.
• “Spent” convictions do not need to be reported. Convictions become “spent” at the end of their rehabilitation period. The rehabilitation period depends on the original sentence – see the table in the following link for guidance on when each conviction will become spent: Guidance on the Rehabilitation of Offenders Act 1974 and the Exceptions Order 1975 - GOV.UK
• It is important to remember that “spent” convictions only apply to individuals, not corporate bodies. 
• If you are unsure if you should report a particular conviction, please get in contact with us as we can advise you on your obligations.

Other matters that affect repute

• This is purposefully broad and should be assessed on a case-by-case basis.
• It might include, for example, some convictions under the Health and Safety at Work Act 1974, as well as any deliberate attempts to circumvent the operator licensing system.
• This term will also include bridge strikes and other serious incidents which take place on the road, as well as any operations which are unauthorised or outside the scope of the licence.
• Matters that affect professional competence, such as forgery, drug and alcohol abuse, and issues with mental capacity, are likely to be reportable.
• Some serious mental health issues in relation to senior management will be reportable if they lead to the inability to effectively carry out the role.

An operator’s relationship with the Traffic Commissioner, and therefore their ability to hold a licence, is built on trust. The relevant question is whether failing to notify the Traffic Commissioner would breach that trust. Adverse incidents can, of course, lead to regulatory action. However, engaging with the regulator with transparency and accountability is more likely to build trust in the long run and lead to a more compliant operation with less need for regulatory action.

How to report

A notification to the Traffic Commissioner must be in writing and should take the form of a formal letter. It should provide details of the notifiable issue, alongside any remedial action that has been taken. This might include improved procedures, training, repairs, and any other planned solutions or preventative measures for the future. Evidence can be attached if appropriate.

Operators should be cautious of sharing personal details, such as a driver’s name and address, medical or employment history, when reporting incidents to the traffic commissioner. Operators must ensure that any report complies with the principles under UK GDPR and there is a cited lawful basis for processing that data. A guide to lawful basis | ICO

Certain categories of data, including information in relation to a potential criminal offence, is special category data and therefore subject to additional protection.

Operators will need to seek consent from drivers in order to share their personal and sensitive data, unless there is already a provision contained in their contract of employment allowing for disclosure or the disclosure is required by operation of law (i.e. the condition of your operator licence to notify relevant convictions of employees).

One option would be to only disclose the facts of the incident and then consider whether to disclose relevant personal data in the event that this is requested by the Traffic Commissioner.

When to report

The operator must inform the Traffic Commissioner within 28 days of the notifiable event. Failing to report notifiable events within 28 days could result in regulatory action.

If you are aware of events which need to be reported, or reportable events which have not been reported within the relevant timescale, please contact us. We can assist you with advice, next steps, and any necessary correspondence with the Traffic Commissioner.