What Statutory Document 3 is
The Senior Traffic Commissioner issues a series of Statutory Documents setting out how Traffic Commissioners should interpret the law on operator licensing. Statutory Document No. 3 covers transport managers. It is issued under section 4C of the Public Passenger Vehicles Act 1981 and contains both guidance and directions to Traffic Commissioners and their staff.
This guide is based on version 17.0, which came into effect in March 2025. The documents are revised from time to time, so check the current version on GOV.UK before quoting a paragraph number to a Traffic Commissioner.
The legal test
Only a standard licence requires a transport manager. Paragraph 14A of Schedule 3 to the Goods Vehicles (Licensing of Operators) Act 1995, as set out at paragraph 4 of Statutory Document 3, requires a designated transport manager to:
- be resident in the United Kingdom;
- be of good repute;
- be professionally competent;
- effectively and continuously manage the transport activities of the undertaking;
- not be prohibited from acting as a transport manager by a Traffic Commissioner;
- if external, not act for more than 4 operators or be responsible for more than 50 motor vehicles, or a smaller number set by the Traffic Commissioner.
The statutory definition, quoted at paragraph 6, describes the transport manager as the individual "who effectively and continuously manages the transport activities of that undertaking". If the transport manager no longer meets these requirements, section 27 of the Act requires the Commissioner to revoke the standard licence, subject to any period of grace.
Internal and external transport managers
Every transport manager must have a genuine link to the operator. For an internal transport manager, paragraph 56 says this might be shown if they are the licence holder, a partner named on the licence, a director of the company, or a full or part-time employee. The Traffic Commissioner may ask for proof, such as a contract of employment.
An external transport manager is hired in under a contract that specifies the tasks they will perform. Statutory Document 3 adds several points:
- the limit is a maximum of 4 operators (not licences), with sole responsibility for a combined fleet of no more than 50 authorised vehicles, and a Commissioner may set a lower number;
- a transport manager cannot be supplied through, or as part of, a package from a transport consultancy;
- someone who is internal for one operator and external for another will, as a starting point, be held to the external limits across all of those licences.
Whether a transport manager is internal or external is ultimately a matter for the Traffic Commissioner. Paragraph 59 suggests a basic starting check: whether the nominated person has even met the applicant.
How many hours
Annex 1 sets out indicative weekly hours. They are starting points, not rules, and the Commissioner will consider all the circumstances, including other employment and the number of operating centres.
| Motor vehicles | Indicative hours per week |
|---|---|
| 2 or fewer | 2 to 4 |
| 3 to 5 | 4 to 8 |
| 6 to 10 | 8 to 12 |
| 11 to 14 | 12 to 20 |
| 15 to 29 | 20 to 30 |
| 30 to 50 | 30 to full-time |
| Above 50 | Full-time and additional assistance required |
Annex 1 notes that additional hours may be needed for trailers. It also asks whether the transport manager is already listed on at least 3 other licences or solely responsible for 50 vehicles, where they live in relation to the operating centres, and whether they have other duties or other employment, including as a driver. Commissioners will bear in mind road transport working time limits when looking at a person's total commitments.
The hours declared when the transport manager is nominated matter. Paragraph 26 says both the transport manager and the operator have a duty to notify the Traffic Commissioner of a reduction in those hours.
What "continuous and effective" means in practice
Statutory Document 3 quotes the Upper Tribunal on the point:
"need for a proper, active transport manager is not a mere formality but a serious requirement."
Statutory Document 3, version 17.0, paragraph 23, quoting the Upper Tribunal
From paragraphs 23 to 28 and Annex 1, several practical tests emerge:
- Day-to-day control. A transport manager should be able to show that, however infrequently vehicles return to the operating centre, they do exercise continuous and effective management of the vehicles on a day-to-day basis. The document says the requirement is unlikely to be met by someone living abroad or at the opposite end of the country.
- Authority. Annex 1 asks about the transport manager's authority, for example to buy parts, to "hire and fire", and to access the online licence records.
- Access to records. The transport manager should have ready access to the relevant records, including records of remedial action.
- Delegation without abdication. Tasks can be shared with a team, but the transport manager "retains legal responsibility regardless of whether their individual activities are delegated" (paragraph 2).
- Standing up to the operator. If a transport manager is overridden to the point where they no longer have continuous and effective responsibility, paragraph 25 says they must first notify the operator in writing and, if the matter is not resolved, take appropriate action, which may include resigning.
The operator has its own duty. Paragraph 28 says an operator must supervise and monitor its transport manager, for example by checking maintenance inspections, the annual test pass rate, prohibitions, the DVSA Operator Compliance Risk Score and drivers' hours arrangements.
The duties Statutory Document 3 lists
Paragraph 60 gives a non-exhaustive list of activities expected of a transport manager. Among them:
- managing, auditing and reviewing compliance systems, including contracted-out maintenance;
- reviewing shortcomings such as prohibitions and annual test failures;
- making sure relevant changes are notified in line with licence requirements;
- making sure drivers hold the right licence, with regular licence checks "usually every 3 months", and a valid Driver CPC;
- downloading tachograph data from vehicle units at least every 90 days and from driver cards at least every 28 days;
- making sure drivers complete and return defect reports and that defects are recorded correctly and repaired promptly;
- keeping a maintenance planner that sets inspection dates at least 6 months ahead, including the annual test;
- making sure unroadworthy vehicles and trailers are taken out of service.
Evidence a transport manager should keep
A Traffic Commissioner will judge a transport manager on what they can show. The retention periods below come from paragraph 60; the remaining items are practical ways to evidence the duties it lists.
| Record | Why it matters |
|---|---|
| Vehicle maintenance records, including defect reports | To be kept for no less than 15 months |
| Drivers' hours records | To be kept for no less than 12 months |
| Working time records | To be kept for no less than 24 months |
| Driver licence and Driver CPC checks | Shows regular checks, usually every 3 months |
| Tachograph download and infringement records, with action taken | Shows drivers' hours compliance is actively managed |
| Maintenance planner and audit notes | Shows inspections are planned and the system is reviewed |
| A regular written record of the transport manager's own work, and written notes to the operator | Shows continuous and effective management within the declared hours |
| Continuing professional development | Paragraph 62 gives a 2-day refresher course as a starting point where it has been some time since CPD |
Repute and disqualification
Where a Traffic Commissioner finds that a transport manager has fallen short, the correct approach is to consider their repute (paragraph 29). If the Commissioner finds the transport manager is no longer of good repute, paragraph 16 of Schedule 3 to the 1995 Act requires an order disqualifying them from acting as a transport manager, indefinitely or for a set period, after considering whether the finding would be disproportionate. Paragraph 27 of Statutory Document 3 notes the Upper Tribunal's view that a person's character, ability and leadership in managing the operation can be taken into account when assessing repute. Paragraph 25 adds that the legislation allows Commissioners to act against the transport manager alone.
When a transport manager leaves
The operator must tell the Traffic Commissioner within 28 days of any change affecting professional competence, which includes losing its transport manager. The Commissioner has discretion to allow a period of grace of up to 6 months to find a replacement, and a further 3 months if the transport manager has died or become incapacitated. Statutory Document 3 quotes the Upper Tribunal's view that Commissioners need "tangible evidence, beyond mere hope and aspiration" that a period of grace will be worthwhile, and paragraph 82 sets a starting point of 3 months. If professional competence has still not been shown when the period expires, paragraph 80 says the licence "will have to be revoked".
Roadworthy provides a signed weekly record for the transport manager and keeps DVLA licence checks alongside it, so the evidence of their work is in one place.
This guide is general information, not legal advice. Check the current Statutory Document on GOV.UK or take professional advice for your own circumstances.