Maintenance records are far more than just paperwork. For any business holding an operator's licence, they are the evidence that vehicles are safe, roadworthy and compliant, and the first thing the DVSA and Traffic Commissioner will ask to see when something goes wrong.

The consequences for the operator

Operators give undertakings to the Traffic Commissioner, including that vehicles will be kept fit and serviceable condition at all times and that routine maintenance records will be held for at least 15 months as per the DVSA guidance. Breach them and you may be called to a Public Inquiry in front of the Traffic Commissioner for your region (8 in total), where the outcomes can include:

• Curtailment (reduced fleet size for example) or suspension of the licence
• Revocation of the licence
• Loss of good repute for the operator or transport manager
• Disqualification from holding a licence in the future

For many businesses, losing the licence means losing their business.

The criminal consequences

Where records are falsified, backdated or created for work never carried out, a regulatory issue can quickly become a serious criminal one. Offences that may be considered include:

• Creating a false instrument which was known to be false (Forgery and Counterfeiting Act 1981), carrying a maximum sentence of 10 years imprisonment.
• Dishonesty by false representation trying to pass the instrument as legitimate (Fraud Act 2006), also up to 10 years imprisonment.
• False statements and records under road traffic legislation, leading to fines, a criminal record and, in serious cases, custody.
• Perverting the course of justice, where records are altered after an investigation begins, with a maximum of a life sentence.

If a poorly maintained vehicle is involved in a serious or fatal collision, the stakes rise further. Investigators will examine the maintenance history, and the company and individuals may face health and safety offences, corporate manslaughter (allowing the business to be guilty of the offence), gross negligence manslaughter or causing death by dangerous driving. A conviction can also bring confiscation proceedings and a criminal record.

It's not just the company

Responsibility does not stop with the business. Those who create, sign or amend records can be prosecuted in their own right, and may also face:

• Loss of employment and lasting career damage.
• Loss of repute for transport managers, and action against drivers' vocational licences.
• Disqualification from involvement in operator licensing.

An engineer who signs off an inspection that never happened, or a manager who "sorts out" a file before an audit, risks their livelihood and reputation.

We (JMW) are currently dealing with a number of prosecutions in the Crown Court for individuals who are alleged to have created false inspection paperwork. This can include indicating a brake test has occurred when it hasn’t, an inspection occurred on a particular date when the tachograph data shows the vehicle to be in another location or defects being repaired when no such repair has been undertaken.   It shows how quickly a relaxed record keeping system can escalate for everyone involved.

Training is your best protection

Most failures begin with pressure, poor systems or unclear responsibilities rather than dishonesty. Operators should ensure:

• Engineers and record keepers are trained in what must be recorded and how.
• Records are completed at the time of the work, not later (to keep accuracy).
• Regular internal audits find gaps before the DVSA does (potential for external audit company to be involved).
• Staff can raise concerns without fear of blame (the sooner the better).
• Training is refreshed regularly, not treated as a one time thing.

How JMW can help

Our specialist Road Transport team acts for operators, transport managers, drivers and individuals facing DVSA investigations, Traffic Commissioner proceedings and criminal prosecutions.

If a problem has arisen, including allegations of falsified or forged documents, early advice is critical. We can guide you through the process and represent you at public inquiries and in court, protecting both the business and the individuals involved.

To mitigate any issues arising, we can deliver practical training for operators, engineers, transport managers and office staff on record keeping obligations, compliance standards and the personal risks of getting it wrong.