CPC Holder when nominated on an Operator’s Licence as the Transport Manager has a number of Responsibilities, which are known as undertakings by the Operator Licensing Regime, & it’s regulatory & enforcement bodies, DVSA, OTC. These areas of regulation which make up the core of the responsibilities a CPC Holder will need to maintain when carrying his/her duties in relation to maintaining compliance.
This undertaking, which can be viewed as a personal promise to the Operator Licencing Regime. In addition, the undertaking is made legally binding, as the CPC Holder whose nomination is forwarded to the Office of the Traffic Commissioner for consideration has to sign a document along with the Operator Licence applicant/holder, which is known as a TM1 form. (Please Note: Form March 2018 the TM1 form is now in an online format, & part of the online Operator Licence application format. Paper forms are no longer available, unless set out via the Office of the Traffic Commissioner, central licensing office, which is based in Leeds). This has the effect of making them both legally responsible for the maintaining of the Responsibilities or undertakings as listed in the form.
Therefore, both the CPC Holder who is nominated as the Transport Manager, & the Operator Licence applicant/holder, need to be aware of what those Responsibilities or undertakings are & how to maintain them. In most cases, it is the CPC Holder who has been nominated as the Transport Manager, that will implements & maintains systems of work that uphold those Responsibilities, Undertakings which are attach to the granting of the Operator’s Licence. There are occasions when additional undertakings are added to an Operator’s Licence when it is granted, or after a Public Inquiry. In either case both the Transport Manager CPC holder, need to make sure they are aware, & have the necessary, systems of work in place for them to be maintained. Please find below the standard undertakings shown on a TM1 form, & which can be considered as the CPC Holder Responsibilities, known as Undertakings. These undertakings can also be known as Duties, or formal compliance tasks, that are listed on a TM1 form
CPC Holder: The Undertakings
The making of arrangements to ensure that drivers comply with drivers’ hours and tachograph rules and with speed limits; The making of arrangements to ensure that the vehicles are maintained properly, including the inspection of vehicles at the appropriate time and the action taken to remedy defects found;
The reporting and recording of vehicle defects by drivers;
The method of compilation and the accuracy of all records, which must be kept for a period of no less than 15 months;
The making of arrangements to ensure that the vehicle/s are not overloaded;
Ensuring that authorised vehicles will be kept at the authorised operating centre(s) when not in use;
Where appropriate, notifying the relevant traffic commissioner (in writing) of all prosecutions and convictions concerning the operator, the drivers and all persons connected to the operator’s licence within 28 days of the court hearing;
Notifying the relevant traffic commissioner of resignation, termination or any other reason which ends with the nominated CPC Holder being no longer named on the Operator Licence on which he/she is nominated.
Any role that the CPC Holder may have in: Verifying contracts and documents; Basic accounting; Any other role involving safety procedures;
Please Note: The list shown above is not to be taken as exhaustive one and is subject to change at the will of the Traffic Commissioner. You should not act in reliance of it, in relation to any area of Operator Licence or any other regulatory compliance.
CPC Holder: Sharing of Responsibility
CPC Holders who are nominated on an Operator’s Licence all too often find that the view, of both their colleagues, but more importantly the Operator Licence Holder (I.E. Company Director’s) is they are solely responsible for legal & legislative obligations in relation to the operator’s licence. This misunderstanding may stem from how many people, both within & outside the transport industry, when seeing the name of the CPC Holder on the operator’s licence document as the nominated Transport Manager, or via the on-line operator’s licence search facility, coupled with the terms transport & manager, are led to believe that “He/She is the manager so they are responsible for it” i.e. “That’s the manager’s job”.
Unfortunately, this view also can lead to many Operator Licence Holders to believe, that they have no role to play in making sure that the licence they hold is compliant and that it is the nominated Transport manager CPC Holder who is responsible. This has often led operator licence holders to mistakenly believe that because the CPC Holder as the nominated Transport Manager on the operator’s licence & that they are paying the CPC Holder to maintain the legal & legislative obligations in relation to it, they have no obligations. i.e. “That’s what he/she is being paid to do”
In fact, the true situation is that any CPC Holder who is nominated on an Operator’s Licence along with the Operator Licence Holder, take an equal share of the legal responsibilities in connection with the maintaining of the Operator Licence undertakings (obligations) that are in place against the licence. Therefore, all CPC Holders should be making sure that not only drivers are compliant in areas such as driver’s hours but also that the senior management is aware of their responsibilities in the area of operator licence compliance. So, with this in mind, all CPC Holders should be making sure that part of their role, is that all who work under the authority of the operator’s licence, are aware of their responsibilities in helping to maintain compliance, with the operator licensing regime.
CPC Holder: Failure to Maintain Undertakings
If a CPC Holder who is the nominated Transport Manager on an Operator Licence fails to maintain the Undertakings attach to the Operator’s Licence. The CPC Holder & the operator licence holder face the possibility of being subjected to enforcement and regulatory action being taken against them.
Such action could be the revocation of the Operator’s Licence and the CPC Holder & operator licence facing the loss of their repute. The CPC Holder also faces the revocation of his/her Certificate of Professional Competence or CPC.
Before any action(s) are taken against the CPC Holder & the Operator Licence Holder will be called to a Public Inquiry where a Traffic Commissioner or a Deputy Traffic Commissioner will consider what action if any, will be taken against either or both, the CPC Holder and the Operator Licence Holder, for any failures in relation to maintaining the undertakings attach to the Operator Licence, which the CPC Holder, & Operator Licence Holder are legally responsible for.
A CPC Holder can also be summoned to what is known as a Transport Manager Hearing, in effect a Public Inquiry for a Certificate of Professional Competence Holder who is viewed by the authorities as not fulfilling their obligations in the areas of being a CPC Holder, this normally happens when a CPC Holder may have committed a criminal act, or taken actions outside what is expected of a Certificate of Professional Competence holder. These actions would normally not involve the Operator Licence Holder, & happen outside of his/her’s duties as a nominated Transport Manager on an Operator’s Licence.
Again, this may result in the CPC Holder’s repute being lost for either prolong or indefinite period, & the loss of their Certificate of Professional Competence, this is known on occasions as a loss fitness, or professional competence. Both Good Repute, & professional competence can be restored, on approval by the “Traffic Commissioner”.
From experience, there are questions people reading this section of our website have typically asked, & they fall into three categories, please see below, & click on the link for further information on your question, or you can use our contact form to send your question, or enquiry to us. Were Oplas Transport Consultancy will try to answer it for you.
1: You are an operator licence holder (or are currently applying for an operator licence) and are looking for the services of an individual who is suitably qualified to serve as the nominated CPC Holder on the Licence so as to satisfy the statutory requirement for a CPC Holder.
2: You are a suitably qualified CPC Holder and are willing to offer your services to an operator licence holder(s), as per the current regulations.
3: You are a suitably qualified CPC Holder who has read the information on this website and are now worried that you may need assistance with issues pertaining to your role as the nominated CPC Holder or with compliance itself. If so, Oplas Transport Consultancy invite you to provide your contact details, and we will endeavour to answer any questions you may have.
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This Basic Guide Has Been Produced, to Give Basic Guidance in relation to a CPC Holder Responsibilities (Undertakings), in relation to the Operator Licensing Regime, & Therefore Cannot Be Considered as Formal Legal Advice