Guidance

Heavy goods vehicle (HGV) operator audit standards: DVSA earned recognition

Updated 26 September 2024

Applies to England, Scotland and Wales

© Crown copyright 2024

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Introduction

This document details the standards of the scheme, the assessment and evidence required during an audit to attain scheme status.

It is a public document and allows both the operator and the auditor to identify the areas where standards are met and where shortcomings need to be addressed.

Each of the applicable standards must be attained in order to meet the overall criteria and the operator should be able to demonstrate full and effective control in all cases. It is not possible to be entirely prescriptive in all cases, as each operator must be considered individually.

It is up to the operator to demonstrate the systems they have in place satisfy the required standards.

Before completing an audit, reference must be made to section 3 of the earned recognition scheme guide and the audit sampling criteria.

Earned recognition audit sampling criteria

Audit sampling needs to be based on the following areas of measurement and considerations.

Areas of measurement:

  • vehicles
  • drivers

Operating centres considerations:

  • type of management system and span of control should be considered in relation to sampling size
  • where different management systems are used sampling must cover all of these
  • DVSA earned recognition may wish to direct the audit or stipulate measures
  • audit and verification checks should only be carried out at operating centres that have an administrative or management function
  • the auditor check should include a minimum of one month’s operator analysis and subsequent actions
  • in addition to the audit at the main operating centre and where required any verification checks at other operating centres must be rotated at the periodic audit
  • maintenance records should conform with the current DVSA guide to maintaining roadworthiness
  • the sample must be representative of the fleet including all types of vehicles, trailers and age range
  • audit checks must sample records across all types of maintenance providers (for example manufacturers, independents and in-house)
  • sampling from each operator licence
  • if an operator carries out dangerous goods activities (ADR), then at least one ADR centre will be part of the audit
Total fleet size (in possession) Vehicle/trailer records Drivers records
1 to 5 All All
6 to 100 2 checks per operator licence (minimum 5 checks in total) 2 checks per operator licence (minimum 5 checks in total)
101+ 5 checks per operator licence (minimum 10 checks in total) 5 checks per operator licence (minimum 10 checks in total)
Total number of operating centres Operating centres
1 to 5 Main administrative centre
6 to 20 Main administrative centre and 1 other centre
21+ Main administrative centre and 2 other centres

Examples

Number of operator licences Fleet size Number of operation centres Vehicles to be sampled Trailers to be sampled Drivers to be sampled Centres to be sampled
8 3365 vehicles
5000 trailers		 560 20 20 40 3
8 888 vehicles
81 trailers		 20 36 4 40 2
2 46 vehicles
92 trailers		 4 5 5 10 1
3 117 vehicles 3 15   15 1
2 42 vehicles
38 trailers		 3 3 2 5 1

1. Operator licences

There are 7 sub-sections in this section of the standard:

Requirements

Legal entities include limited companies, charities, voluntary groups, partnerships, public authorities, or sole traders.

The operator must hold the licence under the correct legal entity and the operator must notify the traffic commissioner of any changes to the legal entity within 28 days.

The operator must hold at least one valid operator licence issued by the Traffic Commissioners for Great Britain. The operator must have processes in place to ensure that they have the correct licence to operate vehicles in their transport operation.

The correct legal entity must be on the operator licences. Licences must be within their review date.

The operator must document processes, clearly communicate responsibilities and clearly demonstrate effective management control.

  • the operator should be able to demonstrate management of the operator licence through the vehicle operator licence service
  • a Companies House check is still required for sole traders to ensure a limited company has not been incorporated and the operator has failed to inform the traffic commissioner - check HMRC self-employment registration or last tax return
  • the correspondence address is directly connected to the operation of the business
  • traffic commissioners: legal entities

Assessment criteria

Subsection Assessment criteria Evidence requirement
1.1.1 The operator and trading name are as defined on Companies House records. Check Companies House - note the operator’s registered name.

Give details of registration number and registered address.

Note details of any trading names used.
1.1.2 Are the operator licences current and held in the name of the correct legal entity in accordance with records held on Companies House? Operator licence must be available to be viewed.

Check details from vehicle operator licence service against details from Companies House - note any discrepancies.

Note licence start date and review date.

Note any ‘Trading as’ names as mentioned in 1.1.1.
1.1.3 Is the correspondence address as stated on the operator licence? Does the correspondence address on both Companies House and the operator licence (on the vehicle operator licence service) match?

If not a limited company, check letterhead for correspondence address.
1.1.4 List the named directors. Are there any discrepancies regarding the directors listed on Companies House against the operator’s licence (on the vehicle operator licence service)? Check directors’ names on Companies House match the operator licence (on the vehicle operator licence service).

Note the named directors. Give details of any discrepancies.
1.1.5 Sole trader’s registration with HMRC corresponds to operator licence. Check documentation from HMRC - registration documents, evidence Unique Tax Reference number (UTR).

Note start date of sole trader status.

A check of Companies House is required to be undertaken by operator’s name, to ensure a limited company has not been incorporated without an application for a new licence.

Check details against operator licence (on the vehicle operator licence service).
1.1.6 In the case of limited partnerships and limited liability partnerships, an agreement or other documentation is in place to support the entity type. Note directors’ and partners’ names involved within the agreement and their responsibilities.

Note the name of signatories who have signed document. Date of when the agreement started.

In Scottish law the contract does not have to be written. This can be agreed verbally - confirmation of its existence will be required to be received from all parties involved.
1.1.7 A process is in place to ensure all the above are monitored and updated accordingly. Give details of the process used to ensure compliance is met.

Who is the person responsible to ensure the process is adhered to?

Frequency of monitoring.

Back to the list of sub-sections in this section

1.2 Appropriate licence

Requirements

The operator must be able to effectively demonstrate the specifics of the operation, enough for the auditor to clearly identify the nature of the business and that licences held are appropriate for the transport operations undertaken.

An operator that holds a standard national licence cannot send their vehicles abroad. They can contract international legs of a journey to another operator.

For standard national licence operations:

  • own account movements of goods is permitted, although evidence of ‘own account’ would be required
  • vehicles over 2500kg used on international journeys for the purpose of hire and reward must be specified on an operator licence

Assessment criteria

Subsection Assessment criteria Evidence requirement
1.2.1 Restricted operator: evidence to confirm only ‘own account’ goods are transported, and no carriage of goods is undertaken for ‘hire and reward purposes’.

Own account movements of goods are permitted internationally, although evidence of ‘own account’ would be required.		 The operator must confirm the purpose of the operation in line with operator licensing case law about operators carrying their own goods.

Describe the nature of the business - industry sector and goods carried.

Delivery and collection notes must document ‘own goods’, demonstrating by description that own goods are transported.

No vehicles travel abroad, other than those carrying ‘own goods’.
1.2.2 Standard national and international licence holders must be established in Great Britain with premises in which core business documents are kept. These will include as a minimum accounting and personnel management documents and data on driving time and rest. A PO Box or third party address is not acceptable. Describe the nature of the business - industry sector and goods carried.

Establish location of premises that hold core business documents. Give details of address and type of documentation held there.
1.2.3 Standard national operators: evidence that the carriage of goods is undertaken within Great Britain only.

The licence holder must also ensure a documented process is in place for a formal arrangement for access to at least one vehicle registered or in circulation in Great Britain.

Own account movements of goods are permitted internationally, although evidence of ‘own account’ would be required.		 Describe the nature of the business - industry sector and goods carried.

Manifests.

Delivery notes, customer details, invoices, contracts.

Check tachograph data to ensure no vehicles travel abroad, other than on journeys carrying ‘own account goods’.

Note details of access to 1 vehicle if no fleet is owned.

Vehicles may be either owned or held under a hire-purchase, hire or leasing arrangement or other type of formal arrangement.

1.2.4 Standard international operators: what is the process used to ensure the correct number of UK Licences for the Community are held and are present on the vehicle for international journeys? Who is responsible for ensuring the correct amount of Community Licences are held?

What is the process to ensure the correct documentation is held on the vehicle for international travel?

Are journeys outside of the European Union (EU) undertaken? How are permissions to travel arranged?

Are vehicles over 2500kg used for the purpose of hire and reward on international journeys? If so, is the process use to monitor them in line with the process used for HGVs?
1.2.5 Evidence to ensure licence requirements are maintained and effectively managed and controlled. Give details of the process used to ensure the requirements of the operator licence are met. How is the process effectively managed? For example, internal audits or spot checks.

Note details and date of last check.

Is the process documented?

Who is the person responsible for these checks?

When was it last reviewed?

Check tachograph data and invoices to ensure the correct licences are held.

Back to the list of sub-sections in this section

1.3 Operating centres

Requirements

The operating centre is where authorised vehicles are normally kept when not in use.

Operators do not need an operating centre if they are only using light goods vehicles that weigh between 2.5 and 3.5 tonnes.

When applying for an operators licence, the applicant gives the address of the proposed centres and information about the numbers of trailers and vehicles that will be kept there.

Operators must have processes to ensure that all operating centres are authorised for use.

The operator must identify the centres both listed on the licence and any previously used in the past 2 years as part of the transport operation, even if they are permanently closed.

Assessment criteria

Subsection Assessment criteria Evidence requirement
1.3.1 Operators must have a process to ensure that all operating centres are listed and authorised for use. Cross check site list against those specified on the licence or on the vehicle operator licence service.

How does the process ensure only authorised sites are utilised? How is this monitored for compliance, who is responsible for this?

If site is rented, proof from property owner that the operation is allowed.
1.3.2 Does the operating centre provide sufficient off-road parking for all vehicles and trailers utilised? Ensure the site has adequate parking facilities for both vehicles and trailers.

Is access and egress from the site carried out in a forward gear? If not, give reasons as to why.

Adequate space to allow movement around, on, and off site in a safe manner including the loading and unloading of vehicles.

For third-party operating centres that are shared by several operators, the assessment should include checking that the operator has adequate parking arrangement in place with the owner of the premises or land.

Back to the list of sub-sections in this section

1.4 Conditions or undertakings on the licence

Requirements

Any conditions or undertakings on the licence must be fully apparent and understood by all relevant personnel within the organisation.

The operator must demonstrate a good understanding and knowledge of any such restrictions by those required to act upon and maintain them.

The transport manager or responsible person must be able to demonstrate where the conditions or any undertakings are being complied with and where appropriate, support this with documentary evidence.

  • obtain any conditions and undertakings for each operator licence and establish compliance
  • the operator licence must be available for inspection by the auditor
  • access to the vehicle operator licence service should be available to the auditor

Assessment criteria

Subsection Assessment criteria Evidence requirement
1.4.1 All conditions and undertakings, including environmental conditions on the licence are complied with for all operating centres. List the conditions and undertakings from the vehicle operator licence service which are attached to the licence.

Detail the evidence given to support compliance of the conditions and undertakings are met.

Detail any environmental conditions from operator licence. For example, restrictions on hours, restriction on days, no engine idling, washing of vehicles prohibited.

How is compliance with the conditions and undertakings monitored?
1.4.2 Is the operator required to have a waste carrier licence? Give details of type of waste licence held.

When was the licence last renewed? Higher tier waste carrier licences must be renewed every 3 years.

How is this process monitored? Who is responsible to ensure compliance?

Back to the list of sub-sections in this section

1.5 Notifiable changes

Requirements

The operator must have processes in place to ensure that any notifiable changes in circumstances to their transport operation are reported to the traffic commissioner within 28 days.

The process must be documented, responsibilities clearly communicated, with effective management control clearly demonstrated.

Assessment criteria

Subsection Assessment criteria Evidence requirement
1.5.1 A policy must be in place, which includes details such as identification of notifiable changes, and instructions to those responsible for ensuring the requirement to notify changes to the traffic commissioners are implemented. Note the name of policy, policy number and date of review.

Who is the person responsible for ensuring compliance with the policy?

Give details of the policy and the extent of what it covers, for example, reporting of driver and director convictions, transport manager, changes to entity, directors, financial standing.

How is effective control of the policy and process monitored?
1.5.2 The auditor will request documented evidence of the process which demonstrates that the traffic commissioner has been notified within 28 days of any notifiable changes in circumstances. The process in place should be in accordance with section 3 of the goods vehicle operator licensing guide (GV74).

Evidence of process in operation - detail changes made including date and by whom.

Give detail of correspondence between operator and traffic commissioner.

Have vehicles and trailers been specified and removed from the vehicle operator licence service? Check dates against current fleet list.

Check to ensure changes have been carried out within 28 days - if not, detail why.

Back to the list of sub-sections in this section

1.6 Authorised vehicles and trailers

Requirements

The operator and the transport manager or responsible person must clearly understand the maximum number of vehicles and trailers authorised on the licence.

A management system must be in place to ensure the number of vehicles used does not exceed the number authorised.

By a process of administration, the operator must be able to demonstrate a robust process for identifying vehicles and trailers and any arrangement in place to deal with changes to the licence such as replacement of vehicles.

  • the process should be adequate to demonstrate effective management and control for the size of fleet operated and the number of authorised operating centres
  • a cross-check of specified vehicle and trailer lists against authorisation for each operating centre should be able to demonstrate management of vehicles specified on the licence using the vehicle operator licence service

Assessment criteria

Subsection Assessment criteria Evidence requirements
1.6.1 Evidence of a fleet list documenting all vehicles and trailers authorised at each operating centre. Check fleet list is up to date.

Note how assets are identified. Are they listed by fleet numbers, registration number (number plate) or vehicle identification number (VIN)?

Who is responsible for updating the list? When was this last done?
1.6.2 Operators must have a process in place to ensure the number of vehicles and trailers used does not exceed the number authorised at each site. Who is responsible to ensure the number of vehicles and trailers authorised is not exceeded?

How is this monitored?
1.6.3 Is there sufficient margin on the operator licence to account for the hiring or adding of new vehicles or trailers should the need arise? Who is responsible for monitoring?

Detail current volume of vehicles and trailers in possession and the margin available.

Back to the list of sub-sections in this section

1.7 Vehicles and trailers specified

Requirements

A process for specifying current vehicles and trailers on a licence must be demonstrated, along with an effective process for dealing with changes requiring to be applied to the licence at any time.

The operator must add vehicles to the licence as soon as they enter service. This includes vehicles on short term hire.

The operator must have a process to make sure all vehicles are added to the licence and that they get licence discs for vehicles.

The operator should explain the administrative procedures for:

  • dealing with the display of discs
  • making sure discs continue to be displayed
  • a process to deal with withdrawing and returning the licence disc when a vehicle is removed from the licence
  • procedure to ensure the disc is displayed, such as part of the driver walkaround check
  • procedure in place to ensure the return of discs when no longer required

Assessment criteria

Subsection Assessment criteria Evidence requirement
1.7.1 Ensure there is a documented process showing all vehicles and trailers are specified on the licence prior to use. Give details of the process - adding and removing vehicles on the vehicle operator licence service.

Who is responsible for ensuring this is done within the timescale?

Cross-check hire vehicle dates with the vehicle operator licence service to ensure compliance with DVSA earned recognition scheme guidance, ensuring vehicles are specified prior to use.

Give an example of a vehicle being specified on licence prior to use.
1.7.2 Evidence the process used to maintain effective control of the vehicles and trailers specified on the licence. Demonstrate the process in place ensuring effective management control - awareness of where vehicles and trailers are at a given time.

How is this monitored (telematics, scheduling system)?
1.7.3 Documented process to effectively manage identity discs. Describe the process used to ensure the effective management of identity discs how are they logged, stored, checked and returned.

Who is the person responsible for ensuring compliance with the above?

Cross-check the fleet list with corresponding disc numbers against the vehicle operator licence service.

Give an example of the process used to ensure discs are requested or returned as required.

Back to the list of sub-sections in this section

2. Transport manager or responsible person

There are 2 sub-sections in this section of the standard:

2.1 Current knowledge and competence

Requirements

The nominated transport manager or responsible person in the case of a restricted licence must be able to demonstrate a clear understanding of all aspects of the operation.

The transport manager must also produce evidence of qualifications. The responsible person must clearly demonstrate an ability to carry out their duties.

  • evidence of continual professional development, which may include details of relevant refresher training undertaken in the last 5 years
  • examples for responsible person could include relevant training, membership of professional organisations or trade bodies
  • the auditor should record the examining body and certificate number for Certificate of Professional Competence (CPC) holders on the audit report
  • traffic commissioners: transport managers

Assessment criteria

Subsection Assessment criteria Evidence requirement
2.1.1 Transport managers are as stated on the licence. Checks against vehicle operator licence service and operator licence. Contracts in place. Note details.
2.1.2 Documented evidence of the Certificate of Professional Competence (CPC) from the transport manager. Is the qualification relevant to the type of operator licence held?

Note the issuing body and certificate number for all transport managers.

If a 5 year period has lapsed since the accreditation was awarded has refresher training been undertaken? Give details of what type and date completed in 2.1.3.

If the operator has a restricted licence, the responsible person must have completed an Operator Licence Awareness Training course.
2.1.3 Evidence of continuing professional development (CPD), and any additional training and development undertaken within the organisation. Process in place to ensure continuing professional development (CPD) is undertaken.

Ensure courses are relevant to qualification held, such as Operator Licence Awareness Training courses and transport manager refresher courses.

Note details of courses - has transport manager completed refresher course in last 5 years?

Evidence of seminars and conferences attended to count towards CPD.
2.1.4 Responsible person - evidence of ability and skill to fulfil their duties. What experience does the responsible person have to enable them to fulfil the duties required effectively?

Skill set - experience within sector or transferable skills.
2.1.5 How are legislation and industry updates received and how is this information communicated throughout the business? Note details of any accreditations and subscription to trade bodies and any additional professional qualifications such as Chartered Institute of Logistics and Transport (CILT), Road Haulage Association (RHA), Institute of Management, Institute of Road Transport Engineers (IRTE), Institute of Transport Administration (IOTA).

Is the operator signed up to updates from Moving On, Health and Safety Executive (HSE), updates to the Highway Code or anything similar?

Give evidence of last communication relayed to staff and evidence that this has been read and understood.

Back to the list of sub-sections in this section

2.2 Continuous control and effective management of the transport operation

Requirements

The transport manager or responsible person (restricted licence) should have full and effective day to day control of all aspects of the transport operation.

The transport manager or responsible person should hold a senior position within the business and have the responsibility to decide the use of the vehicles, trailers and relevant staff to ensure a legal operation.

  • check for effective communication methods and appropriate data storage throughout the organisation
  • the ratio of transport managers to staff and transport managers to vehicles and trailers should be effective for method of operation

Assessment criteria

Subsection Assessment criteria Evidence requirement
2.2.1 Organisational chart showing chain of responsibility including clear reporting lines from directors, operator licence holder to transport manager. Organisation Chart.

Note date last reviewed.

Detail the reporting lines between the directors, transport manager and licence holder - give job titles and names.

How is information reported - meetings, emails, memos? Evidence detail of correspondence (minutes of last meeting including date).

How often are meetings held?
2.2.2 Evidence of the transport manager or responsible person’s presence within the day-to-day operation, ensuring sufficient hours are available to carry out the transport manager duties. Detail any additional duties (outside of transport manager role) they undertake. Transport manager or responsible person day to day role - if there are several transport managers, are roles split into specific sectors for each one? Give examples.

Give details of the contract held - full-time or part time.

Evidence the job description.

Does the transport manager carry out other duties such as director or accountant? If so, how many hours does this role consume?

Where is the transport manager or responsible person based in location to operation? If different from operating address note details.
2.2.3 External transport manager - evidence of a contract for services. Evidence and detail the contract for services. The contract must be in the personal name of an individual. It cannot be with a limited company or for transport manager services provided.

Hours and days of work.

Job description.

Note details.
2.2.4 External transport manager - evidence of the number of hours per week dedicated to the operation - include also details of any additional transport manager duties undertaken for other operators. Discuss transport manager’s day-to-day role - note details.

Any additional external transport manager positions held? Note details - how many positions, number of vehicles, hours spent on each one. Consider the rule that a transport manager cannot act as transport manager for more than 4 operator licences controlling a maximum of 50 vehicles.
2.2.5 The level of involvement for both internal and external transport managers is sufficient to maintain effective management control over the day-to-day functioning of the operator licence. The transport manager can exercise continuous and effective management of the operation on a day-to-day basis. How is day-to-day management control achieved effectively?

Where the operation is split over various sites and licences how is control maintained?

Correspondence - minutes of meetings, memos, emails confirming level of involvement.
2.2.6 Where tasks are delegated, that full control is still maintained. What additional support does the transport manager have?

How are tasks which are delegated to other colleagues managed?

Give details of internal audits and checks being carried out on work which is delegated to ensure it is being completed and quality checked.

Back to the list of sub-sections in this section

3. Vehicle standards

There are 17 sub-sections in this section of the standard:

3.1 Maintenance facilities and technical staff (in-house maintenance)

Requirements

The operator must show that they have provision for:

  • suitable facilities for all inspections of vehicles and trailers within the fleet
  • trained and competent technical staff to carry out maintenance

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.1.1 Maintenance provision aligned with that specified on the licence to confirm internal or external maintenance. Check provisions align with details on the vehicle operator licence service. Does the operator use maintenance providers or in-house maintenance?
3.1.2 Does the operator hold an Institute of Road Transport Engineers (IRTE) or equivalent accreditation in relation to their maintenance facilities and the training of their technical staff? Check accreditation certificate, note details of accreditation number and expiry date - ensure it is for the relevant company and site.

If the IRTE accreditation is in order then mark sections 3.1.3, 3.1.4 and 3.1.5 as standard met and write in comments “IRTE accreditation held”. Then continue with 3.1.6.
3.1.3 The operator must demonstrate that the in-house maintenance facilities are adequate to maintain the operator’s fleet. Operators who undertake their own safety inspections must have the right tools, facilities, and staff for the size of the fleet and type of vehicles operated.

Ensure the facilities and tools available comply with section 5.1 Safety inspection facilities of the guide to maintaining roadworthiness.
3.1.4 Documentation for equipment repair, servicing or calibration of the workshop equipment. Who is the responsible person in charge of the workshop and equipment?

How are recalibration dates and servicing details monitored?

Is there a process for reporting faulty or non-calibrated equipment?

Are internal audits carried out within the workshop?

Check calibration certificates for all equipment and note details including calibration date.

Invoices for servicing of equipment.
3.1.5 Policy to cover the minimum standard of competence required to be held by maintenance staff, continuing professional development and documented details of quality assurance checks carried out. Policy name, number, review date.

Who is the person responsible for the policy and ensuring compliance is met?

How many technical staff are employed?

Note details of certificates, qualifications and time served within the transport industry of all technical staff - note issuing body and reference number.

How are quality assurance checks carried out? Give details of the findings and date of the last one undertaken.
3.1.6 Training matrix for technical staff to support current and future training and development. How are training, refresher courses and specialist equipment training planned and undertaken?

How are the latest changes to the guide to maintaining roadworthiness and industry updates relayed to staff?

Check training matrix for accreditation to governing bodies such as Road Transport Engineers (RTE). Give details of courses and dates last attended.

The training matrix should cover a span of 5 years to show what courses have been previously attended and what is planned.

Back to the list of sub-sections in this section

3.2 Maintenance contracts

Requirements

The operator must show they have an effective schedule of full and regular audits to establish and maintain quality standards and a robust administrative process if they use an independent maintenance provider.

Operators should adopt a risk-based approach for regularly monitoring the performance of their maintenance contractors, including an annual review with them and a quality assurance audit no more than 3 years from starting the contract or from the date of the last audit.

An independent audit supplied by the maintenance provider can be accepted as evidence of a quality assurance audit provided it was completed by an appropriate organisation.

The maintenance provider must be as specified on the licence.

  • processes in place to deal with audit and assessment outcomes
  • explanation from the transport manager of procedural action where necessary
  • analysis of periodic maintenance inspections identifying issues
  • check for updates to vehicle operator licence service for maintenance provision
  • check for technician and workshop accreditation audit reports, for example Institute of Road Transport Engineers (IRTE) workshop accreditation or equivalent
  • check for evidence of regular monitoring, contractor reviews and auditing

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.2.1 Maintenance provision aligned with that specified on the licence. Are safety inspections carried out by the stated contractors? Check provisions align with details on vehicle operator licence service.

Who are the current maintenance providers?
3.2.2 Are the relevant maintenance contracts in place? When was the contract last reviewed?

Check the contracts are in place - give evidence including details of contracts, who they are with, review date, stated inspection periods.
3.2.3 Evidence of last annual review and quality assurance checks carried out on maintenance contractors.

Give details of the outcome of the latest annual review and quality assurance audit conducted.		 Are audits carried out on external maintenance providers by the operator’s own staff? If yes, note details of who is responsible for ensuring the quality of the standard is met. If no, are audits carried out on behalf of the operator or by the maintenance provider via an independent body?

Explanation of the procedural action taken where necessary from the transport manager.

Process in place for the auditing of maintenance providers.

Evidence of risk-based approach to monitoring of standards.

Details of last annual review - note date and outcome.

Evidence of the last quality assurance audit - no longer than 3 years from the start date of the contract or from the date of the last audit - give details of outcome and date it was carried out. This can include an audit carried out by an independent body where relevant.

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3.3 Forward planning

Requirements

A robust and effective forward planning process must be in place, using either a manual or an electronic process defined by the operator.

The transport manager or responsible person must be able to demonstrate a full understanding of the need for forward planning and the administrative process of forward planning. Where this is administered by other staff, the transport manager or responsible person must be able to show full management and control of the responsibilities delegated to others.

The operator should have processes to ensure that vehicle, trailer or component recalls are actioned.

  • an explanation and demonstration from the transport manager or responsible person of the procedures for administering the process
  • instances from records of periodic maintenance beyond the stated intervals
  • system sampling must cover all licences on the application, which should include different contacts if applicable and evidenced in the audit report
  • evidence of a clearly managed and transparent process

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.3.1 Documented evidence to demonstrate the existence of an effective forward planning system, planned a minimum of 6 months in advance. Who is responsible for the forward planning and updating?

How is it monitored for compliance?

Note instances of when a vehicle has gone beyond its stated interval - what is the process used to ensure the vehicle is now compliant?

Is the planner electronically stored or manual?
3.3.2 Evidence of the scope of planning including annual testing, preventative maintenance inspections, tachograph, and speed limiter calibration. All vehicles subject to programmed maintenance should be included.

Planning systems should set safety inspection dates at least 6 months in advance.

Vehicles test dates should be included, as should servicing and other ancillary equipment or calibration dates, such as tachographs or lifting equipment.

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3.4 Inspection frequency

Requirements

The transport manager or responsible person must be able to clearly state the established frequency of periodic maintenance for the fleet and demonstrate a robust adherence to this.

Where a system or administrative process is delegated to others, the transport manager or responsible person must show full management and control.

  • system sampling must cover all licences on the application, which should include different contacts if applicable and evidenced in the audit report
  • check maintenance agreements
  • identify any additional maintenance resources
  • cross-check on vehicles stated vehicle off road (VOR) against drivers’ hours records
  • documentary evidence of safety inspection when a vehicle that has been off road is brought back into service

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.4.1 Evidence that the safety inspection frequency aligns with the operator licence. What is the inspection frequency on the vehicles and trailers?

Who is responsible for ensuring this is adhered to?

Check operator licence details on vehicle operator licence service for specified frequency.

Is there a mixed frequency planner in use? If so, give details.

Check maintenance contracts to confirm they are in line with conditions of the licence.

Sample check of vehicles and trailers to ensure compliance of timescales is being adhered to. Give evidence of vehicles and trailers sampled.

If issues found during record sampling note details here. If no issues found write “refer to records sampled workbook”.
3.4.2 Processes for proactively managing agreed inspection frequencies across the business. How do you ensure a vehicle is available for a safety inspection (also known as a preventative maintenance inspection)?

How does scheduling consider safety inspection frequency?

Process is in place and working - check if the operator is carrying out safety inspections later than scheduled (known as slippage). If there is evidence of slippage, make note of registrations and request explanation.
3.4.3 Process in place to deal with late and missed safety inspections. Who is responsible for monitoring this process?

What is the process to ensure the missed safety inspection is brought back in line?
3.4.4 Clearly documented evidence supporting any justified reason where the inspection frequency has been extended on the operating licence. Documented evidence of reasoning for extending frequency of inspections and relevant notification to the traffic commissioner, such as clear safety inspections and preventative maintenance inspections, no advisories, defects, less mileage covered than anticipated, new fleet.

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3.5 First use inspections

Requirements

The operator must demonstrate a robust process for dealing with vehicles or trailers in terms of first use including hire vehicles, third party trailers and those being brought back into use.

  • pre-hire inspections from British Vehicle Rental and Leasing Association (BVRLA) approved suppliers is acceptable evidence
  • comprehensive pre-delivery inspections, equivalent to a normal periodic safety inspection, from authorised dealer network for new, used or hire vehicles is acceptable evidence
  • safety inspection prior to first use
  • system for obtaining the last safety inspection for vehicles and third party trailers and declaration of roadworthiness

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.5.1 Policy in place advising of first use inspection procedures. Policy name, number, review date.

Policy and process used when new vehicles are brought into the fleet, for vehicles that are hired, leased or borrowed and vehicles returning from vehicle off road status.

Who is responsible for overseeing this is complied with? Give details.
3.5.2 Evidence that an appropriate first use inspection has been carried out prior to the vehicle being brought into service or back into service. Evidence first use inspection of vehicles returning from vehicle off road status or a hired vehicle to ensure it was carried out before being put back in use - give details.

Who is responsible for checking this is in order?

Explain the process used to ensure inspections are carried out prior to first use.

Pre-hire inspections from BVLRA-approved suppliers are acceptable evidence.

Pre-delivery inspections for new, used and hire vehicles are acceptable.

Note details of what is on file - registration number (number plate), date of inspection and start date of hire period.

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3.6 Third-party trailers

Requirements

The operator must demonstrate a robust process for dealing with the use of hired or third-party trailers in terms of first use inspections, maintenance provisions, and making sure there is available space to add a vehicle to their operator licence.

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.6.1 Policy in place regarding the use of third-party trailers, detailing maintenance, first use inspections, parking arrangements, sufficient margin. Policy name, number, review date.

Who is responsible for dealing with and ensuring compliance with the policy?

Give detail of what is covered in the policy.
3.6.2 Evidence of a robust system to establish the roadworthiness of third-party trailers prior to use, to include details of last safety inspection and current MOT status. Does the operator use third-party trailers?

How is the roadworthiness of third-party trailers established?

Who is the person responsible for overseeing this is complied with?

View process used and give details of how it works.

How is the latest copy of the trailer’s inspection sheet obtained and stored? Give details of the latest copy.
3.6.3 Working agreements or contract in place with third-party trailer owners to ensure maintenance standards are met. Are agreements in place? If so, with who?

Give detail of the content - who is responsible for maintenance, defects found during walkaround checks, access to trailer maintenance records.

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3.7 Vehicle off road (VOR)

Requirements

When a vehicle is declared off the road (VOR) this must be recorded on the vehicle maintenance file, stating the date and reason.

A robust system must be in place to ensure vehicles with vehicle off road status are not used. This is particularly important when the vehicle is unsafe.

The operator can suspend the safety inspection schedule if they declare a vehicle off the road and the period it is off the road extends over the next planned safety inspection. This is commonly used for seasonal-use vehicles or vehicles requiring extensive repairs.

A vehicle that has been logged as off the road and has missed a scheduled safety inspection should only be brought back into service after a safety inspection confirms that it is roadworthy. The date of this inspection can be used to reschedule regular inspections.

  • ensure a vehicle off road policy is in place, detailing a robust and effectively managed process
  • check for illegitimate use of the vehicle off road system, such as vehicle off road after the date of inspection to hide a late or missed inspection
  • safety inspections are completed as necessary for vehicles returning to service after having their status set to vehicle off road

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.7.1 Evidence of a robust vehicle off road (VOR) policy. Details of policy, name of policy, review date, policy number.

Who is responsible for ensuring compliance with the policy?

Give detail of what the policy covers including the process.
3.7.2 Evidence the vehicle off road process used to ensure a vehicle which is not roadworthy is taken out of service and returned to service correctly. What actions are taken to ensure the vehicle is not used?

How is this done? For example, keys in locked cabinet, vehicle off road sign in window, allocated parking for vehicles taken off the road.

Procedure for putting vehicle back into service once rectified.

Ensure first use inspection has been completed.

Check tachograph/telematics data to ensure vehicle not utilised during VOR period.

Note details of findings.
3.7.3 Vehicle off road (VOR) identification in conjunction with the scheduling and planning department. How is the scheduling department made aware of the vehicle being out of service and returning to service.

What process is in place to ensure the scheduling and planning team are aware that the vehicle cannot be utilised whilst VOR?

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3.8 Safety inspection documentation

Requirements

A robust system of planned maintenance must be proven by full and effective documentation.

The transport manager or responsible person must demonstrate the ability to access any documentation, and, in each case, all forms should meet or exceed the standards in the guide to maintaining roadworthiness.

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.8.1 Complete sets of records for vehicles and trailers - in conjunction with the sampling of records workbook. Are vehicle files complete, including safety inspections, vehicles off the road, calibration certificates, invoices for repair work rectification and driver defect reports?

If records are not complete, discuss why. For example, was it a new vehicle or hire vehicle?

15 months’ worth of records.

Details of any issues found during record sampling. If no issues are found, please write “refer to records sampled workbook”.
3.8.2 Do the inspection sheets fully comply with the guide to maintaining roadworthiness? Sample inspection sheets from all specified maintenance providers both electronic and manual.

Make sure the safety inspection sheet is relevant to the vehicle being inspected.
3.8.3 Are the sheets comprehensively completed in line with the guide to maintaining roadworthiness, including all the necessary signatures? Safety inspection sheets are fully complete in accordance with the guide to maintaining roadworthiness. For example, signatures, date, kilometres, calibration date, tyre pressures and tread depth.

If records are incomplete give details.

Is there a copy of the guide to maintaining roadworthiness available - can be electronic or hard copy. Make sure it’s the latest version. Is this referred to in their policies?
3.8.4 Fully completed safety inspection records are available, and have been reviewed and quality assurance-checked by the operator prior to the vehicle being put back into service. What is the process to ensure the vehicle is not put back into service prior to the safety inspection paperwork being returned and quality checked?
3.8.5 Process in place for the use of VTG10 form for any notifiable alterations. Ensure an understanding of the VTG10 form and when it is required to be used.

Who is responsible for its completion and submission.

What is the process for the completion of a VTG10 (to include cherished transfers)?

Evidence occasions when VTG10 has been completed.
3.8.6 All safety inspection records are maintained for a minimum period of 15 months. As per the record sampled workbook, give details of any discrepancies in volume of records held - if no discrepancies advise “all correct as per sampling workbook”.

Note any missing documents and the reason.

Where electronic systems are used to capture and store inspection data this is done in line with the guide to maintaining roadworthiness.

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3.9 Braking performance assessment

Requirements

A robust system to plan and monitor braking system performance in line with the guide to maintaining roadworthiness.

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.9.1 Policy for braking performance assessment. Give details of the policy, such as name, review date content, frequency type, laden or unladen.

3 meaningful (laden) assessments plus MOT as a minimum.

Provisions should be made at every safety inspection to assess brake performance.
3.9.2 Evidence the process used to monitor brake performance results. Who is the person responsible to check both inspection sheets and brake test results?

Are internal audit checks carried out on the assessment, and how frequently?

If brake assessments are carried out externally, what is stipulated in the contract?

Evidence that after a failed brake assessment, or work carried out on the braking system that a satisfactory brake assessment is achieved.

Give examples.

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3.10 Annual test inspections

Requirements

The operator must show a process of monitoring annual test results to identify trends and take appropriate action where necessary. An initial pass rate of 95% should be demonstrated over the previous 2 years. The operator must also provide all test history for all vehicles and trailers operated by them over the same period.

Mobile cranes are not exempt from the plating and testing regulations.

  • documentation to support action where issues or trends appear
  • evidence of any pre-test inspections and the test results
  • actions by the transport manager or responsible person to address third party issues where applicable
  • evidence of access to operator compliance risk score (OCRS) and DVSA information regarding test history
  • review preparer performance if applicable
  • should be able to demonstrate management of test history and KPIs for the previous 13 reporting periods using vehicle operator licence service

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.10.1 Documented process in place to monitor annual test performance for all vehicles and trailers operated. Who is the person responsible?

What process is in place to monitor trends and issues, on vehicles and trailers maintained both internal and external.

How frequently are checks carried out?

What action is taken when issues arise?
3.10.2 Ensure all vehicles and trailers are operated with a valid MOT of the correct class. Check during sampling and detail evidence.
3.10.3 If the fleet has more than 20 vehicles, there must be a test history that maintains an initial pass rate of 95% or above for the previous 2 years. Who is responsible for monitoring test history and initial pass rates?

How is this done - do they have access to OCRS and the vehicle operator licence service?

Frequency of checks?

Figures for previous 24 months.

What action is taken if the initial pass rate figure is below 95%?

Please note that PRS counts as a failure.
3.10.4 If the fleet has 20 or less vehicles, the 95% key performance indicator (KPI) does not apply. Instead, there must be no more than one initial fail in a rolling 12 months. Who is responsible for monitoring test history and initial pass rates?

How is this done - do they have access to OCRS and the vehicle operator licence service?

Frequency of checks? Figures for the previous 24 months - are they within national average figures?

What action is taken if there is more than 1 initial failure during a rolling 12-month period?

A Pass after Rectification at Station (PRS) counts as a failure.
3.10.5 Ensure all vehicles and trailers are being reported on and are included in KPI reporting figures. Ensure all vehicles and trailers utilised are included in KPI reporting.

Operators should be reporting on all vehicles and trailers.

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3.11 Tachograph and speed limiter equipment

Requirements

Where vehicles are used in scope, the operator must demonstrate a clear and robust system for dealing with all repairs and calibration to tachograph equipment, including a comprehensive forward planning process for calibration.

Where appropriate, the operator must be able to demonstrate a process to monitor speed limiter effectiveness and identification of faults and appropriate action taken.

  • maintenance or other contracts with calibration centres
  • invoices for repair and calibration work
  • driver defect reporting with subsequent repair, replacement, or recalibration of tachograph equipment
  • evidence records relating to speed limiter issues where appropriate

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.11.1 Consistent and effective calibration and maintenance of equipment. Who is the responsible person who oversees this?

What action is taken if calibrations are late?

Contracts in place with calibration and maintenance centres.

What is the process for ensuring calibration and maintenance is carried out correctly?

Forward planner covering both 2 and 6-year calibrations analogue, and 2-yearly digital.
3.11.2 Records are held for calibration and mandatory checks. Check vehicle files for evidence of calibration certificates and maintenance records.
3.11.3 Evidence of tachograph repairs in line with legislation (7 days). Rectification reports.

Invoices.

Evidence of approved calibration centre.
3.11.4 Speed limiter maintenance and calibration records detailing repairs where appropriate. Evidence any speed limiter checks carried out - what are speed limiters set at?

Rectification reports.

Invoices.

Evidence of approved calibration centre.

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3.12 Sustainability and environmental management

Requirements

Check vehicle telematics reports to ensure systems are working.

Check the understanding of low emission zones and how they affect the operation.

Check periodic safety inspections are checking emissions control systems present and they correctly operate.

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.12.1 Environmental and sustainability policy. Policy name, number and review date.

Who is responsible for compliance with the policy?

What is the content of the policy? Such as low emission, clean air zones, noise pollution, carbon footprint, suitable types of vehicles, anti-idling, alternative fuels, minimising the impact on the environment and future sustainability.
3.12.2 What procedures are in place to ensure that only compliant vehicles are used in areas where clean air zones or other environmental restrictions are imposed by government or local authorities? Who is responsible for ensuring compliance with clean air policies and ensuring only appropriate spec of vehicles enter clean air zones.

What is their understanding of Low emissions zones?

What percentage of the fleet are below Euro V/VI emissions standards?

Who is responsible for charges such as ULEZ or equivalent?

What procedures are in place relating to emissions such as clean air, sustainable operations and anti-idling policy?

What procedures are undertaken to ensure only compliant vehicles enter these zones?

What training is given to scheduling staff and drivers in relation to this? Evidence details such as dates of last training and toolbox talks.
3.12.3 Robust maintenance and monitoring systems must be in place to ensure the correct operation of any emission control systems. Check inspection sheets to ensure emissions checks are being carried out.

Evidence that maintenance is being carried on things such as filters, smoke analysis checks.

Check telematics reports to ensure systems are working correctly how often is this checked and by who.

How is the usage of AdBlue monitored? Give details of how this is done and check AdBlue invoices.

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3.13 Wheel and tyre management

Requirements

The operator must have arrangements in place to ensure the vehicle tyres are legal, safe and effectively managed and ensure wheel security is maintained.

The system needs to include effective daily monitoring of wheel security and ensure correct wheel fitment maintenance and torquing procedures are followed.

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.13.1 Wheel and tyre management policy. Policy name, number and review date.

Who is the responsible person for compliance with the policy?

Detail the content of the policy - does it cover tread depth, tyre age, pressure, re-torquing, fitting of tyres, storage and disposal of tyres and training of staff?

What is the process used for the repair and replacement of worn or damaged tyres?

Ensure tyre management contract is in place detail content.
3.13.2 Procedure in place to ensure that drivers and mechanics are trained to recognise and report tyre issues. How is the condition of tyres monitored?

Is tyre and wheel maintenance such as fitting, checking and re-torquing carried out in-house or by a third party?

Check training records for evidence of toolbox talks related to wheel and tyre management. Is training given at induction?

Are audits and spot checks carried out on driver defect reports and inspection sheets to ensure tyre defects are being recognised?
3.13.3 Evidence the fitting of appropriate tyres, correct pressures are maintained, and tyre age is monitored. Check safety inspection sheets to ensure relevant details are being recorded and monitored.

Are audits and spot checks carried out to ensure compliance? Detail how this is done and by who.

Evidence of latest guidance about tyres and re-torquing has been distributed to all mechanics and drivers.


When was this dated?
3.13.4 Evidence process used to ensure tyres are properly stored and disposed of correctly. How and where are new or part-used tyres stored?

Is a waste carriers licence held? If so, note details of number and date expires. If not, how are old tyres disposed of?
3.13.5 Evidence that the wheel torquing procedures are documented and followed in line with the policy. What is the procedure for the fitting of a new tyre?

At what interval is re-torquing carried out?

How are these details logged? By who? Who oversees this?

Evidence of a new tyre or replacement of tyre being fitted.

Detail time interval for it being re-torqued.

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3.14 Driver walkaround checks

Requirements

There must be a process in place to demonstrate that walkaround checks are carried out effectively, together with a documented audit process that checks compliance with the requirements.

This must include hired or loaned vehicles and third-party trailers.

Instructions and training in writing to support this process should also exist.

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.14.1 Policy for driver walkaround check (can be combined with driver defect reporting policy). Policy name, number and review date.

Who is the person responsible for ensuring compliance with the policy?

Detail the content of the policy including the process for conducting a driver walkaround check. Is additional safety equipment covered?
3.14.2 Ensure the walkaround check is specific to the vehicle being utilised and in line with the guide to maintaining roadworthiness. If multiple types of vehicles are used ensure the walkaround checks are specific to that type of vehicle.
3.14.3 Evidence the training which is given to members of staff responsible for carrying out driver walkaround checks and defect reporting. What training is given regarding walkaround checks?

Note details of relevant toolbox talks, CPC courses, memos, or policies.

Are walk around checks covered in driver’s induction/handbook? Note details,including date last training was given.
3.14.4 How is the process monitored to ensure the effectiveness of the walkaround check? How is compliance with and effectiveness of walkaround checks monitored?

Ensure that lead-in times for driver walkaround checks are visible during tachograph analysis.

If walkaround checks are found ineffective, for example, driver detectable defects found at a safety inspection with no reporting, what action is taken?

Evidence and note details of last audit, gate check or spot check carried out on walk around checks.

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3.15 Driver defect reporting

Requirements

A robust and effective defect reporting process must be in place which includes a nil defect process.

The transport manager or responsible person must be able to show effective and corrective procedures in place to administer to the required standard.

  • evidence of reported defects not being dealt with and repeat reporting
  • cross-check of safety inspection driver reportable defects against walk around check
  • document sampling must cover all licences on the application

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.15.1 Driver defect reporting policy. Policy name, number, and review date.

Who is the person responsible for ensuring compliance with the policy?

Detail the content of the policy, including the process for reporting a defect.
3.15.2 Evidence of both NIL defects and defect reporting process. How are reported defects recorded?

What is the process for reporting defects?

View systems and processes for both electronic and paper-based checks.

How long are NIL defect reports kept?

Check system used to record defect reporting to ensure NIL defect reports are captured and kept until next quality assurance check.
3.15.3 Evidence the effectiveness of the driver defect reporting system. What is the timescale for reporting defects?

Who are they reported to and what action is taken?

Are driver detectable defects found at safety inspection?
3.15.4 When defects are detected is the maintenance and repair work carried out in an acceptable time frame, and was appropriate action taken in line with the policy? Give details of a reported defect, including the process, timescale and action taken to rectify the issue.

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3.16 Vehicle recalls

Requirements

On receiving notification of a safety recall for vehicles from a manufacturer, it is important that operators act promptly to ensure the rectification work is undertaken. This will remove the risk that the vehicle may become unroadworthy due to the potential defect identified by the manufacturer.

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.16.1 A robust system in place to ensure notification of vehicle safety recalls are received and rectified as soon as possible. How are notifications of Safety-Related Recalls (SRR) received?

Who is responsible for checking, dealing with and ensuring the recall is actioned?

Evidence of an SRR in a vehicle file.

System is in place regarding timescales, action taken and what evidence of rectification to be kept on file.
3.16.2 A record and evidence of the rectification is kept on the vehicle maintenance file. Evidence of documentation relating to an SRR is in a vehicle file from notification to rectification.

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3.17 Prohibitions and safety critical defects

Requirements

The operator must demonstrate processes to identify in a timely manner and effectively deal with prohibitions encountered or safety critical defects.

The investigation must establish causes or trends and provide documented evidence to substantiate their actions.

  • check records of operator compliance risk score (OCRS) encounter history including recurrence of defects for the previous 2 years
  • effective driver defect reporting process
  • evidence of effective rectification work from reported defects
  • evidence of safety critical defects on the safety inspection records
  • training or other methods delivered to drivers to make sure defects are rectified early
  • access to latest guidance, such as categorisation of vehicle defects

Assessment criteria

Subsection Assessment criteria Evidence requirement
3.17.1 Prohibitions and safety critical defects policy. Name of the policy, number and review date.

Who is responsible for compliance with the policy?

Detail the content and process involved.

How are they monitored and investigated?
3.17.2 Evidence the monitoring, rectification and investigation of prohibitions received, and safety critical defects (SCD) detected over previous 24 months. Give details of any prohibitions received or safety critical defects (SCD) found.

Give details of investigation carried out, outcome and lessons learnt.

Evidence of reporting correspondence forwarded to the Traffic Commissioners for Great Britain and DVSA.

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4. Drivers’ hours

There are 10 sub-sections in this section of the standard:

4.1 Tachograph - driver and company card management

Requirements

Driver and company tachograph cards must be monitored effectively to ensure expiry dates are known and managed; procedures must be in place to take account of lost or defective cards.

There must be evidence of a process to ensure supply of enough print rolls, charts and logbooks.

  • evidence of investigation of vehicles driven with no card in tachograph and what action was taken
  • obtain missing mileage report from the tachograph analysis system
  • conduct checks to ensure drivers are not using more than one digital driver card

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.1.1 Policy surrounding both driver card and company cards, issue numbers and expiry dates, dealing with lost and defective cards. Policy name, number and review date.

What is the process for both driver cards and company cards which have been lost, stolen, malfunctioned, or damaged?

Who do they get reported to?

What action is taken when advice is given?

Does the policy cover what process to take if digital card is lost, damaged, malfunctioned, or stolen?

How is the policy circulated to staff?
4.1.2 Documented evidence of a forward planner or tracking process for key elements such as expiry dates. Evidence a register of all card holders within the operation. How are authorised company cards monitored? For example, expiry dates or who the company cards are allocated to.

Who is responsible for ensuring company cards are replaced before expiry date and lost cards are investigated and replaced?


Is a forward planner for monitoring company cards in place?

Are drivers cards monitored for trends such as frequent loss of card, multiple card use or using a card that is not the latest issue?

Evidence a register and forward planner is in place for drivers cards.
4.1.3 Information and training given to drivers regarding tachograph cards, manual entries, when to produce a printout. Evidence the training in place for drivers’ digital cards - for example a driver’s handbook - note details and date of last review

Toolbox talks, memos, and guidance bulletins in relation to digital cards.

Check training matrix.
4.1.4 Process in place for the supply of sufficient print rolls, charts and logbooks. What is the process for issuing drivers with additional print rolls, logbooks or charts?

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4.2 Scheduling and route planning

Requirements

Staff responsible for scheduling the transport operation must be suitably qualified or experienced and have an appropriate level of knowledge and skill to manage the operation, whilst also taking full account of drivers’ hours and working time directive requirements.

The operator must demonstrate a robust and effective process in place to prevent infringements and actively deal with problems arising from scheduling issues.

Routing of vehicles must be done in such a way to take into consideration clean air zones, weight, height and time restrictions and any additional local authority restrictions that are in place.

The prevention of bridge strikes must be taken into consideration when routing vehicles.

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.2.1 Scheduling policy. Policy name, number and review date.

Who is the person responsible for compliance with policy?

Give details of policy and process. Does it cover timed deliveries, time restriction zones drivers’ hours and WTD.

Does it contain the reporting procedure for scheduling issues?

Is scheduling carried out manually or electronically?

Who is responsible for the scheduling of the vehicles and drivers?

When anticipating delays, how are issues such as road works and diversions dealt with?
4.2.2 Routing policy to include avoidance of bridge strikes. Policy name, number and review date.

Who is the person responsible for compliance with policy?

Give details as to the content of the policy, for example, safe and efficient routing, avoidance of low bridges, low emission zones, height, width, weight length restrictions, local authority restrictions and congestion.

Does the policy insist on the use of commercial vehicle sat navs, and not allow the use of non-HGV specific sat navs?

If drivers are using own sat nav systems, are they are HGV-specific and are they being regularly updated? How is this monitored? This could be in the form of a declaration.

Does it contain the reporting procedure for routing issues?

How are low bridges on routes accounted for?

How are issues such as road works and diversions dealt with in anticipation of diversions?

Are the routes planned by things like timed deliveries, postcode, size, weight of load, or vehicle type?

Who is responsible for the routing?

How are routes planned? Is technology such as geofenced route planning used?

What training is given on the policy?
4.2.3 Evidence of a reporting procedure to deal with scheduling or routing conflicts. Details of the reporting procedure used if a schedule or routing issue arises.

Evidence of the investigation and outcome.
4.2.4 Evidence the effectiveness of the scheduling and routing operations. Are internal audits conducted on telematics systems to ensure drivers are keeping to designated routes?

Are there many reported issues in relation to routes or scheduling?

The procedure in place is effective. Does it cause minimum infringements to drivers such as extending hours, driving time or working time directive infringements?

Is there evidence of staff training and knowledge of the scheduling/routing process?

Evidence investigations into bridge strikes or near misses are conducted and reported as required.
4.2.5 How is information regarding the journey relayed to the driver in relation to the routes to be taken? Give details of how the information is past to the driver.

Are journey conflicts such as roadworks, closures, diversions, major delays checked in advance?

How does the driver report any conflicts when on route, for example, road works, time delays or diversions?

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4.3 Downloading of driver cards and vehicle units

Requirements

The operator must have a process in place where driver card data is downloaded and submitted for analysis at least every 14 days.

The operator must have a process in place where data from vehicle units is downloaded and submitted for analysis at least every 42 days.

  • appropriate contingencies in place to deal with downloading outside the stated frequency will be accepted
  • obtain driver download summary reports
  • obtain vehicle unit download summary reports

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.3.1 Policy for dealing with frequency of downloading vehicle and driver cards. Policy name, number and review date.

Who is the person responsible for compliance with policy?

Discuss the process taken if a vehicle or driver download is outside of the frequency. How they are brought back in line? For example, drivers on holiday, sick, vehicle is off the road or away for inspection.

Who is responsible to ensure compliance is met?

Evidence the process is effective. Give details.
4.3.2 Evidence of driver cards being downloaded on at least a 14-day frequency. How frequently are driver cards downloaded?

How is this undertaken? For example, by remote download or desk-based download?

How frequently are agency or third-party driver cards downloaded?

Give evidence of the summary of downloads reports from digital data software to check for frequency. Give examples.
4.3.3 Evidence of vehicle units being downloaded on at least a 42-day frequency. How frequently are vehicle units downloaded?

How is this undertaken? For example, by remote download or manual download?

Given evidence of the summary of downloads reports from digital data software to check for frequency. Give examples and note if any are outside of required frequency.

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4.4 Return of records

Requirements

The operator must demonstrate by evidence a robust and effective process for the return of records that ensures compliance and action taken to deal with outstanding records.

  • charts, logbooks, and printouts returned within 42 days
  • evidence of corrective action when records are not returned within the timescale
  • evidence of procedures for non-employed drivers, including agency drivers

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.4.1 Returning of records policy - to include that of third-party drivers such as agency staff. How is the return of charts, logbooks, printouts monitored?

Who ensures they are returned within the 42-day period specified?

What action is taken if the above are not returned within the specified timescale?

How is retrieval dealt with for third party drivers such as agency drivers?

Evidence the procedure in place ensuring it is effective. Check records are returned within the 42 days. Check records of third-party drivers.

Give details of findings - especially noncompliance.
4.4.2 Evidence of an effective process. Check drivers’ hours systems.

Check for print outs attached to infringement reports.

Logbook register.

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4.5 Working time directive and monitoring of non-EU/AETR regulated drivers

Requirements

A comprehensive and effective system for monitoring compliance with working time directive (WTD) must be in place. This must align effectively with the process of compliance with driver’s hours.

Full account of driver scheduling, and other duties must be incorporated into the process.

Great Britain (GB) domestic drivers’ hours rules apply to most passenger-carrying vehicles and goods vehicles that do not have to follow the EU or AETR rules

The operator must demonstrate a process that deals effectively with the monitoring of other non-EU/AETR regulated drivers’ duty time and hours.

  • driver fatigue is a major cause of road crashes, at work drivers are particularly at risk from tiredness, because they typically spend longer hours at the wheel, with 4 in 10 tiredness-related crashes involving someone driving a commercial vehicle
  • anyone who employs people to drive for work must have in place all practical measures to manage driver fatigue - employers need to assess which drivers and journeys are at risk and set schedules that do not require drivers to exceed recommended working limits and driver hours
  • some types of vehicles are exempt from EU regulations, and therefore would be regulated under GB domestic rules in the UK
  • training for staff and drivers to ensure compliance
  • evidence of compliance with key performance indicator (KPI) levels

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.5.1 How are working time directive (WTD) records captured, and monitored, confirm duration records are kept. Evidence the WTD system.

Who is responsible for the monitoring of WTD?
4.5.2 Confirm the chosen reference period and evidence of any collective or workforce agreements and appropriate opt outs. What is the reference period used?

What workforce agreements, opt-outs, collective agreements are in place? Note details including date of agreement and review date.

Evidence they are signed and dated.
4.5.3 Evidence of analysis of WTD data: note any working time directive infringements and corrective action which has been taken. Check for infringements relating to WTD.

Cross-check drivers’ timesheets with WTD records to ensure all hours are being accounted for.

Confirm current average WTD hours.

Infringement reports and WTD reports. Are infringements being actioned, give details.

Trends. For example, 6-hour rule infringements, how are these actioned? Is a particular route day too long?

What training is given? Note evidence such as toolbox talks or driver debriefs.

What corrective action is taken to ensure hours are brought back in line? For example, driver is reaching or exceeding the 60 hour maximum in a single week or average of 48 hours per week.
4.5.4 Are absence days accounted for correctly within the same system used to calculate averages. Holidays, sickness, training. Give examples.
4.5.5 If an exemption or derogation from the EU drivers’ hours regulations is being used give details. Request details of the derogation or exemption which is being used.
4.5.6 Are journeys undertaken under domestic drivers’ hours rules? How are these recorded and monitored? Give details.
4.5.7 Ensure a process is in place to monitor drivers’ duty time and driving hours, who are not governed by EU or AETR drivers’ hours regulations. Drivers covered by GB hours.

Drivers whose duties fall out of scope of EU and AETR drivers’ hours regulations, for example, forestry workers, mobile crane drivers, gritters, or local authority refuse collections.

Drivers of non-operator licence vehicles, duty time and driving hours.

Staff who undertake a mixed role. For example, office work or driver of a non operator licence vehicle.


Recovery vehicles.

Drivers of vehicles undertaking emergency maintenance repair work or utilities.

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4.6 Monitoring of EU and AETR drivers’ hours regulations

Requirements

Clear understanding of the rules and regulations when driving under EU and AETR regulations must be displayed.

A process must be in place to ensure compliance and monitoring of the regulations.

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.6.1 Are journeys undertaken on EU and AETR drivers’ hours regulations? If so, how are these hours monitored? What is the process for monitoring compliance with these regulations?

What system is used to gather, analyse and store the relevant data?
4.6.2 What is the procedure used to deal with events whereby the drivers’ hours must be extended due to unforeseen or emergency situations. Discuss the procedure used when unforeseen events occur such as a road traffic accident (RTA) or major delays. How are the details of these recorded? Give details.

What processes are in place to ensure if a driver has exceeded hours due to an unforeseen issue that the correct steps are then taken regarding compensating for reduced rests and breaks?

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4.7 Tachograph analysis

Requirements

The operator must demonstrate that all analogue and digital tachograph records are submitted for analysis within 7 days from the driver card or vehicle unit download and a robust system of analysis is undertaken to identify infringements.

  • where third-party analysis takes place, evidence of administrative arrangements for reporting
  • for digital analysis cross reference driver card and vehicle unit data
  • auditor should cross reference amendment analysis reports
  • refer to DVSA earned recognition published key performance indicators (KPIs) for minimum compliance level
  • evidence of compliance with KPI levels
  • appropriate contingencies in place to deal with infringement reporting outside the stated frequency will be accepted

Demonstrate use of operator performance report to manage most serious infringements (MSIs) and repeat offenders, including any remedial action:

  • evidence of trigger points monitored and actioned
  • effective disciplinary process being followed
  • training provided to eliminate reoccurrence including drivers, planners and transport managers

Evidence of effective management of all unaccounted driving including validation and investigation process, including:

  • cross-reference against vehicle tracking data
  • auditor to carry out sample checks of operator validation procedures
  • identify appropriate action taken if driving is in scope for EU and AETR drivers’ hours rules
  • management process should be able to validate any periods of driving without a card
  • robust process to manage and limit legitimate driving without card

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.7.1 Tachograph analysis procedure. How is tachograph analysis undertaken? In house or externally via a third party.

How frequently is analysis of data completed? Is it done within the DVSA earned recognition parameters of 7 days from download date?

Are quality assurance checks carried out on the analysis if so when was the last one and what were the findings?

How is this monitored and by who?
4.7.2 What is the process used for recording mixed duties, both domestic and EU or AETR regulated hours to ensure compliance is met? How is data recorded and collated when both domestic and EU or AETR regulations are utilised?

What checks are carried out to ensure compliance is met and by who?
4.7.3 Policy for third party analysis of data. Policy name, number and review date.

What does it cover? A brief description of content.

Who does the analysis?

How is this monitored?

Does the operator have access to the raw data?

Evidence of quality assurance checks being carried out on the analysis and findings.
4.7.4 Contractual evidence or agreement between operator and third party provider. Is there a contract in place with the third party provider?

When was contract last reviewed and by who?

Are review meetings held? If so, what was the date of last one and outcome?
4.7.5 Internal analysis. A robust analysis system in place, which covers all drivers including agency or adhoc. Who is responsible for analysing the data?

Is quality assurance of the analysis undertaken?

Give details of the analysis software used.

How frequently are infringement reports raised?

Who is responsible for this, how is it monitored?

Check various infringement reports against tachograph data ensure all signed off and driver debriefed.

Ensure both driver and vehicle unit data is cross-checked.
4.7.6 Operator can demonstrate effective management of driver repeat offenders. How are repeat offenders dealt with?

What training is given to repeat offenders?

Is data monitored for trends? For example the 6-hour rule.

What is the disciplinary procedure in relation to repeat offending once additional training has been given?

Check KPI data for repeat offenders.
4.7.7 Operator can identify MSIs and demonstrate effective action taken. Check KPI dashboard against tachograph data to ensure all MSI’s are being accounted for.

Detail the investigation or action taken against a driver in relation to MSI.

What training is given to stop the same driver from repeat offending?
4.7.8 Effective management of driving without a card and unaccounted mileage. How is driving without a card monitored and investigated?

How is missing mileage logged?

Who is responsible person that monitors the above?

Missing mileage report cross-check with KPI dashboard to confirm a true reflection. Give details.

Note explanations such as maintenance, test drive, or shunting. Cross check with vehicle inspection records to confirm where necessary.

Confirm details of investigations undertaken into any unaccounted mileage and action taken.

Evidence any disciplinary action taken against driving with no card in use when in scope of EU or AETR regulations.
4.7.9 How are records and data stored and collated for drivers who carry out mixed duties covered by EU/AETR and GB domestic drivers’ hours? How are these hours collated to ensure compliance is accurate?

Who is responsible for overseeing this process? Evidence the process and give details.
4.7.10 Documented quality assurance checks undertaken by the transport manager on the tachograph analysis (internal or external) system. How frequently are the KPI figures and tachograph infringements and data audited?

How, and who undertakes this task?

Evidence of internal audits that have taken place. Results, actions taken and date of last audit.

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4.8 Infringement reporting

Requirements

The operator must demonstrate a process that deals effectively with all reported infringements providing documentary evidence to show each has been robustly investigated and appropriate action taken to prevent a recurrence.

  • refer to DVSA earned recognition published key performance indicators (KPIs) for minimum compliance levels
  • evidence of compliance with KPI levels
  • evidence of recurrence of infringements
  • cross-check actions by the operator in relation to each prohibition or infringement
  • evidence of appropriate remedial action that effectively addresses issues
  • any training or information content provided to staff by the operator

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.8.1 Tachograph infringement process. What is the process for dealing with infringements?

Who is the person responsible for the process?

How frequently are infringement reports raised?

Who is responsible for debriefing drivers?
4.8.2 Infringements are identified by the transport department and drivers are debriefed within 28 days of the infringement. How frequently are infringement reports raised and drivers debriefed? Evidence dates of reports against date of infringement note details of any outside of time scale.

Ensure the information given to the driver is relevant to the infringement.

What training is given in relation to the infringements to both the drivers and person debriefing, scheduling personnel and transport managers?
4.8.3 Evidence of drivers being debriefed on infringements signed dated and corrective action taken. Evidence the process, its effectiveness, and how is it undertaken. Give example of a driver who has incurred an infringement and how it was dealt with.

Is there an escalation process in place for worse offenders?

Ensure all infringements are signed, dated and annotated where required, giving details of explanation.

Evidence corrective action taken. For example, re-training, toolbox talks, or additional CPC training.
4.8.4 Operator monitoring of infringement patterns and frequency. How are volume and nature of infringements monitored for trends, drivers, or patterns? Give details.

What actions are taken with regards to reoccurring infringements?

Are investigations carried out to understand reasoning for infringements? For example, a potential scheduling issue or routing problem.

Evidence the process and its effectiveness.

Evidence action taken for reoccurring prohibitions and infringements.

Summary of offences report. Note any reoccurring offenders or infringements.

What re-training is given?

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4.9 Speed limit compliance

Requirements

Evidence of speeding must be dealt with in accordance with the company disciplinary procedures.

  • processes or procedures for dealing with speeding as a result of telematics and tachograph analysis evidence
  • documented evidence of action taken when speeding offences committed
  • where action is taken it must be dealt with in accordance with the company’s disciplinary procedures
  • evidence of recurrence following remedial action

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.9.1 Process for monitoring speed limit compliance. How is speed compliance monitored?

How often is this checked?

Can be checked via vehicle data or telematics systems for speeding alerts.

Ensure any speeding infringements have been dealt with appropriately.
4.9.2 Evidence of the procedure when notified of drivers speeding offences - incurred both on and off duty. What are the processes and procedures in place to deal with speeding in company vehicles?

What are the processes and procedures in place to deal with speeding offences outside of work?

Evidence of the reporting procedure.

Ensure any speeding infringements have been dealt with appropriately.

Give evidence of notification to the traffic commissioners.

Detail disciplinary action taken.

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4.10 Keeping of records

Requirements

Records are required to be kept, for a minimum of 12 months for EU and AETR regulations and 24 months for working time directive (WTD).

The operator must have a robust and effective process in place, which is administered appropriately and provides for easy and accurate access to all records.

  • ready access to records demonstrated by operator
  • access to the raw data
  • look for how records are produced and stored

Assessment criteria

Subsection Assessment criteria Evidence requirement
4.10.1 Evidence of process in place to store and access records as required. What is the process used to ensure data is held for the correct period?

Who is responsible for making sure records and data are correctly retained while taking the General Data Protection Regulation (GDPR) into consideration?

Evidence the process is in place and effective. Check correct amount of data is held in relation to WTD and tachograph data.
4.10.2 Records kept and maintained for required minimum periods. What period are the records stored for?

How are these records stored? Who has access to them?

Are the stored records easily accessible?

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5. Operation management

There are 14 sub-sections in this section of the standard:

5.1 Reporting and monitoring of key performance indicators (KPIs) - electronic

Requirements

To report required DVSA earned recognition key performance indicators using an electronic reporting system.

  • evidence the process used to report the KPIs electronically

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.1.1 What percentage or number of the fleet is reported electronically? Give detail of number or percentage of vehicles that are reported via an electronic system.

Evidence the process. Give details.

Are all KPIs being reported on?
5.1.2 What percentage or number of drivers are reported electronically? Give detail of number or percentage of drivers which are reported via an electronic process.

Are all KPIs being reported on?

Evidence the process. Give details.
5.1.3 What is the process for ensuring the KPIs are monitored and correctly reported? Who is responsible for the monitoring of KPIs?

How frequently is this carried out?

What action is taken if an issue was highlighted with KPI figures?

Evidence the system cross-check data against recent KPI returns.
5.1.4 What is the process for ensuring the KPIs are monitored and correctly reported? Who is responsible for collating this information, monitoring, and ensuring its accuracy?

How frequently is this carried out?

What action is taken if an issue was highlighted with KPI figures?

Evidence the system cross-check data against recent KPI returns.

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5.2 Reporting and monitoring of key performance indicators (KPIs) - manually

Requirements

To report required DVSA earned recognition key performance indicators using a manual reporting system.

  • evidence the process used to report the KPIs manually

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.2.1 What percentage or volume of the fleet is reported manually? Give detail of number or percentage of vehicles which are reported via a manual process.

Are all KPIs being reported on?

Evidence the process. Give details.

Who is responsible for collating this information and ensuring its accuracy?
5.2.2 What percentage or volume of drivers are reported manually? This could be due to being on GB domestic hours. Give detail of number/percentage drivers hours records which are reported via a manual process.

Are all KPIs being reported on?

Evidence the process. Give details.

Who is responsible for collating this information and ensuring its accuracy?
5.2.3 What is the process for ensuring the KPIs are monitored and correctly reported? Who is responsible for collating this information and inputting it onto the reporting form supplied by DVSA earned recognition, monitoring and ensuring its accuracy?

How frequently is this carried out?

What action is taken if an issue was highlighted with KPI figures?

Evidence the system cross check data against recent KPI returns.

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5.3 Key performance indicators (KPIs) at periodic audit

Requirements

Ensure regular reporting of the required KPI figures.

Investigations and action taken for missing mileage and adjustments of data.

  • ensure the monitoring and reporting of KPIs is carried out and any slippage in performance is investigate and rectified

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.3.1 Evidence of the monitoring of adjustments made to raw data, to account for driver cards being left in vehicle overnight and incorrect manual entries. Who is the person responsible for authorising the adjustment of the data to account for driver cards being left in vehicles during rest periods or incorrect mode switch/manual entries?

How is the adjustment recorded?

Evidence the listing of all adjustments made, date reason and who authorised the adjustment.
5.3.2 Periodic - D8 KPI - Evidence of the monitoring and accounting for unaccounted mileage for the previous 13 periods. Who is the person responsible for unaccounted mileage investigations?

How are the investigations carried out and outcome recorded?

Evidence the process. Give details - is all missing mileage accounted for?
5.3.3 Periodic - D9 KPI - Evidence of the monitoring of most serious infringements (MSIs). Who is the person responsible for monitoring of MSIs?

How are the investigations carried out and outcome recorded?

Evidence the process, give details of how many MSIs have been reported in the last 13 periods, investigations and actions taken.
5.3.4 Periodic - M5 KPI - Evidence of monitoring vehicle and trailer MOT pass rate for the previous 13 periods. Who is the person responsible for the monitoring of vehicle and trailer MOT pass rates?

Evidence the MOT pass rate for previous 13 periods.

What investigations are carried out in relation to MOT failures? Evidence this detail and the outcome and lessons learnt.
5.3.5 Evidence the operator is effectively monitoring the key performance indicators (KPIs) and action taken to investigate and rectify triggers. Awareness and understanding of KPIs.

How frequently are they monitored and what action is taken when KPI figures slip?

Request current copy of KPI dashboard for both driver’s hours and maintenance for the previous 13 periods.

Evidence the system cross-check data against recent KPI returns.

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5.4 Notification of incidents and procedures for public and customer feedback

Requirements

Evidence the process used to inform the DVSA earned recognition team about collisions or incidents involving your vehicles.

Evidence the process used to ensure a customer and public feedback process is in place, ensuring investigations are undertaken and outcomes recorded in a timely manner

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.4.1 Process in place to log and notify DVSA using the DVSAER 112 form. Ensure an understanding of the requirement to inform DVSA of reportable incidents using the form to report an incident if you’re a DVSA earned recognition operator.

Knowledge of what are reportable incidents.

Who is responsible for reporting?

Check accident log, reports, ‘S’ marked prohibitions, vehicle fires, allegations of safety defects and bridge strikes.

No forms may have been completed at this stage due to it being an initial audit. Therefore, ensure a thorough understanding of the process is known.
5.4.2 Incident and near miss reporting policy. Policy name, number and review date.

Who is the person responsible for compliance with the policy?

Give detail of the content of the policy timescales for responses and investigations to be completed.
5.4.3 A comprehensive record is kept of all incidents, accidents and near misses. These are investigated (including no fault) to ensure lessons are learnt and any trends are picked up with a view to reduce the numbers year on year. How is the information recorded and the outcome detailed?

Give examples of incidents, outcome and lessons learnt.

What processes are in place to reduce the amount of incidents to ensure road safety?

Ensure positive feedback is also detailed.
5.4.4 Customer and public feedback policy. Policy name, number and review date.

Who is the person responsible for compliance with the policy?

Give detail of the content of the policy timescales for responses and investigations to be completed.
5.4.5 Customer and public feedback matrix to include investigation outcome. How is the information recorded and the outcome detailed?

Detail lessons learned and additional training required.

Detail of last logged entry and outcome.

Ensure positive feedback is also detailed.

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5.5 Insurance

Requirements

All relevant insurance is in place to ensure all liabilities are covered.

  • check insurance documents are valid
  • minimum cover in line with current legislation - employers’ liability insurance is a legal requirement

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.5.1 The operator must have processes in place which are clearly documented to ensure they have as a minimum valid third-party insurance in place for their motor vehicles in scope of this scheme, public and employer liability insurance. Who is responsible for ensuring the correct level of insurance is maintained?


How are the expiry dates of insurance monitored?

Insurance is valid and incorrect name of entity.

Detail insurance schedules note policy numbers, expiry dates, name of insurer and type of insurance held.

Is employers’ liability insurance certificate displayed at the operating centre? This can be done electronically but all staff must be able to access it.
5.5.2 List any additional insurances held. Details of fidelity bonds, goods in transit, professional indemnity.

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5.6 Vehicle excise duty

Requirements

The operator must have a robust process in place to deal with the timely renewal of road fund licence for all vehicles in the fleet and in all cases at the correct revenue rate.

The operator should have a forward planning process in place to administrate this, which may be incorporated into other aspects of the business.

  • documented or online evidence of road fund renewal for all vehicles
  • company instructions and training documentation for administrative staff
  • vehicle tax rates (V149 and V149/1)

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.6.1 A robust process used for renewing vehicle excise duty, ensuring correct revenue rates are being applied and duty is paid on all vehicles used on a public highway. How are expiry dates monitored?

Who is responsible for this?

What is the process used to renew vehicle excise duty?

Is revenue paid for in alignment with vehicle tax rates (V149/1)?

Check details of fleet against form to ensure correct duty is being paid evidence vehicles checked.
5.6.2 Be able to demonstrate a correct procedure for dealing with vehicles that are or will be off the road (SORN). When a vehicle is off the road (SORN) what is the process used with regards to claiming back outstanding vehicle excise duty?

Who is responsible for actioning the above?

When a vehicle is put back into service, whose responsibility is it to ensure the vehicle has vehicle excise duty added?

What is the process for this?

Check a vehicle once been put back into service has had vehicle excise duty applied to it before being used.

Where and how is this information recorded?

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5.7 Vehicle weight and height compliance

Requirements

The operator will have clear processes in place to ensure no vehicle is used on a public highway when any weight limit is exceeded. The operator should hold data of known vehicle and axle weights and have documented training processes in place for all staff affected.

The operator will have a process to ensure every driver is aware of the height of their vehicle, every vehicle is routed by the operator to avoid low bridges and have procedures in place to ensure the driver only uses the approved route.

It is the transport manager’s responsibility to ensure that a procedure is in place for drivers to check that the correct maximum height is displayed in their cabs.

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.7.1 Policy in place to monitor weight compliance. Give details of policy name, number, an overview of the content, and review date.

How is the weight of the vehicle, load, axle weights, fuel calculated and monitored?

Evidence the policy has been read and understood by all staff.
5.7.2 Process to ensure vehicles of the correct type, height and weight are used in conjunction with the goods to be carried. Details of the process used to monitor weight compliance in relation to gross vehicle weight and type of vehicle.

Who is the person responsible for ensuring only the correct vehicles are used?

What is the process for reporting issues relating to weight?
5.7.3 How is the weight of laden vehicles monitored and recorded? Who is responsible for the loading and unloading of vehicles?

How are weights monitored? For example, on board weigh scales, load planner, weighbridge.

When collections are carried out during the day how does the driver ensure the correct weight has been allocated and the load is distributed in accordance with gross vehicle weight (GVW) and axle weights?
5.7.4 Evidence of staff training regarding vehicle weight and load distribution. Training matrix for relevant CPC courses, toolbox talks and driver inductions.

Does the training include understanding of GVW and axle weights?

Are there any telematics systems used such as onboard weight scales?

Does the training cover distribution of part loads?

Give details of types of training carried out and when last conducted.
5.7.5 Policy in place to monitor height compliance including the avoidance of bridge strikes. Who is responsible for checking of the height of the load in relation to the route taken?

Do vehicles have in height markers are they checked as part of the driver walkaround check?

Are vehicles fitted with any additional height warning sensors?

Is there access to measuring equipment?

How is the height of the load calculated?

Does the policy include avoidance of low bridges?

Evidence the policy has been read and understood by all staff.
5.7.6 Documented evidence of staff training regarding vehicle height awareness to include additional training specifically in relation to bridge strikes. Training matrix for relevant CPC courses, toolbox talks and driver inductions. Is there a policy in the driver’s handbook? Note details.


Does the training include details on bridge strike awareness?

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5.8 Load security and equipment

Requirements

Effective load securing prevents goods from falling onto roads causing danger to other road users, it also saves money by ensuring that goods arrive at their destination undamaged.

There must be processes in place to ensure drivers and loaders are properly trained and given the right equipment to maintain safe loads.

Staff should use appropriate equipment in the correct manner, in line with user instructions and health and safety requirements.

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.8.1 Policy in place for loading, unloading and the security of the load carried. Policy name, number and review date.

Who is the person responsible for ensuring compliance with the policy?

Give an overview of the process used to ensure the safe loading or unloading of vehicle, strapping, securing of load and load securing equipment.

Evidence the staff have been trained on the content of the policy.
5.8.2 Evidence of staff training in vehicle loading and load security and restraints. What training has been carried out in relation to safe loading and security of loads?

Has training been given on the types of restraints used specific for load carried?

Is the training given in house/external for loading equipment such as electric pallet trucks, use of tail lifts, MOFFETTS and forklift trucks?

Are staff trained in how to ensure restraints are fit for purpose?

Check training matrix for evidence of training.
5.8.3 Ensure suitable and serviced equipment is available where required for assisting in the security of the load and equipment carried. What type of load restraints are used?

How are they monitored?

What training is given on appropriate equipment used for load type, size, or weight?

Is manual handling training given? If so, when was last time, and how frequently?
5.8.4 Operating instructions for equipment used in the loading or unloading of vehicles. Are operating instructions for equipment given to operators and loaders?

Is regular training given to operators? If so, what and how often?

Are additional qualifications taken in the use of the equipment?
5.8.5 Consignor load plans in use where applicable. Are consignor load plans in use? If so evidence details. If not, how is the load plan decided and by who?

Who is responsible for producing the plan?

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5.9 Specialist equipment or loads

Requirements

Where specialist equipment or unusual loads are concerned, the operator must demonstrate there are additional processes in place to effectively manage the type of operation and specialism involved, including training, certification and management of health and safety.

Mobile cranes are not exempt from the plating and testing regulations.

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.9.1 Does the operation have any requirement for special equipment to be used in the transport of goods? Give details of any special type vehicles, trailers, or equipment used in connection with the operation. For example, Special Types General Order (STGO).


Mobile cranes, engineering plant, or recovery vehicles - refer to section 44 of the Road Traffic Act 1988.

Are long semi trailer used? If so, give details of volume and what training is given to drivers.
5.9.2 Policy in place to ensure compliance with the use of and management of specialist equipment, vehicles, or trailers. Policy name, number and review date

Who is the person responsible for compliance with the policy?

Give an overview of policy details - such as safe management of equipment, responsibilities and maintenance provisions.
5.9.3 Does the operation specialise in the delivery of abnormal indivisible loads (AIL)? Give details of categories and types of loads carried.
5.9.4 Evidence the process used to ensure the movement of AIL is undertaken correctly. What process and procedures are in place to ensure the correct documentation has been applied for STGO (Section 44 Permits), process to alert police or highways? Give details.

Who is the responsible person? How is the process managed to ensure compliance?

Are internal audits conducted on the process if so when was last one what was result?
5.9.5 Evidence the process in place to ensure general maintenance and plating of specialist equipment, trailers and vehicles is undertaken. Vehicles and trailers operating under STGO and special order do not have to be tested or plated, if solely used for transport of AIL (AIL cannot legally be carried on a C&U/AW vehicle). Standard width vehicles and trailers used for AIL movements are normally ‘dual-plated’, which means that they are subject to a yearly test and plating because they can be used for both AIL and ‘normal C&U’ loads.

Since May 2018, mobile cranes are no longer exempt from the plating and testing regulations.

Evidence of maintenance, plating and testing carried out

Lifting Operations and Lifting Equipment Regulations (LOLER) certificates.
5.9.6 Training, certification, and awareness by staff for specialist operation Give details of any training given on specialist operations, equipment, refresher dates or toolbox talks and the frequency of training.

Check training matrix for evidence of training.

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5.10 Management of non-operator licence vehicles and equipment

Requirements

The operator, transport manager or responsible person must demonstrate processes and procedures in place to manage commercial vehicles, light goods vehicles, and equipment not covered under the operator licence to a legal standard.

  • evidence of franchised contracts, which includes appropriate fleet management requirements to the same standards of the operator’s own fleet
  • evidence of appropriately managed processes for vehicle leasing
  • vehicles are correctly classed in terms of requirements for specification on the operator licence

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.10.1 Policy for the management of non-operator licence vehicles, drivers, and equipment. Policy name, number and review date.

Who is the person responsible for compliance with the policy?

Content should include maintenance and management of non-operator licenced vehicles, equipment, and driver management.
5.10.2 Are vehicles owned, lease or franchised? Are contracts in place regarding franchised or leased vehicles?

Evidence of appropriately managed processes for vehicle leasing.

What stipulations are put in place to ensure road safety.

Who is responsible for the maintenance of the vehicles?
5.10.3 Evidence of maintenance processes as robust as those for operator compliance. What is the process in place to ensure vehicle maintenance, servicing and defect reporting is undertaken?

Evidence of walkaround checks and defect reporting.

Ensure vehicles are added to the maintenance forward planner.

At what frequency are the vehicles maintained?
5.10.4 Robust and effective driver defect reporting and road safety procedures are in place. Evidence driver walkaround checks are being carried out.

Detail the defect reporting system.

Is there evidence of defects being repaired?

Are spot checks or gate checks carried out to ensure compliance and effectiveness of checks?

Note details of last one, including result.

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5.11 Agency drivers

Requirements

The operator and transport manager or responsible person must demonstrate a process that applies the same high overall standard as applies to employed staff and drivers.

Due diligence must be shown and robust contractual arrangements between the operator and any agency must be evidenced.

  • evidence of contractual arrangements between the operator and agency
  • evidence of approved supplier agreements and spot hire arrangements
  • working time directive compliance may be evidenced by a written driver or agency declaration of compliance where appropriate
  • evidence of compliance with Recruitment and Employment Confederation (REC) or similar should be considered by the auditor

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.11.1 Evidence of preferred supplier list and service level agreements held with all driver agencies used. Is a preferred supplier list in place?

Are contracts and service level agreements in place with all agencies used?

Give details of contractual agreement/service level agreement relating to driver checks carried out, returning of records, disciplinary action taken by the agency.

Are all agencies compliant in relation to the standards set by REC or working towards these standards?
5.11.2 Evidence of driver assessment and induction training undertaken prior to engagement . Are driver inductions undertaken with agency drivers?

Is a driver assessment undertaken with a Highway Code and drivers’ hours knowledge test carried out?

Give details of the above and any further checks which are carried out.
5.11.3 Operator - evidence driving licence, Driver CPC and compliance with drivers’ hours. Checks are carried out on agency and ad hoc drivers prior to start of driving activities. How frequently are checks carried out and by who?


Evidence driver card is downloaded and checked to ensure driver is legal to carry out the days duties prior to starting the shift.

Evidence the driver card is downloaded at the end of the working day to ensure capture of that day’s data.
5.11.4 Processes to monitor agency driver working time directive and drivers’ hours compliance. How are agency drivers’ working time directive and drivers’ hours monitored?

How often?

Who is responsible for overseeing this?

Evidence a driver declaration form that confirms driver is ‘fit to drive’, has taken all legal rest and break requirements and detailing compliance with working time directive.
5.11.5 Auditing and reporting processes within the business and with the agency. Auditing process on the recruitment agencies, recruiting process, application form, health questionnaire, frequency of licence checks and working time directive records.

Are regular meetings held with the recruitment agency to discuss issues? Give details and outcome of last meeting.
5.11.6 Evidence of the processes used to deal with non-compliant agency drivers. Proof of process in place to inform agency of, and deal with non-compliant drivers.


Records of issues, investigations and action taken.

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5.12 Sub-contractor hauliers

Requirements

There must be evidence of a management process that prohibits activities that could be given to sub-contractors which cannot be conducted legally.

  • processes in place to safeguard against contractual work being carried out illegally
  • reporting arrangements between either party
  • evidence of any corrective action following issues or complaints
  • evidence of condition of carriage and insurance if appropriate
  • scheduling information to demonstrate compliance achievable
  • where contractual agreements are not available, evidence of safeguards in place to ensure work can be carried out legally

Where possible operators should use third-party sub-contractors who are members of the DVSA earned recognition scheme. If not, operators must ensure sub-contractors follow the principles of the scheme.

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.12.1 Evidence of an approved (sub) contractor list. Is there a preferred (sub) contractor list?


What are the standard requirements to be added to the preferred supplier list?

Who is responsible for auditing or checking compliance with contractors?

Evidence approved contractor list.
5.12.2 Evidence of the operator’s business rules and working arrangements or contracts for using haulage sub-contractors. Who is the responsible person for ensuring contractors and sub-contractors are suitable for carrying out the work required?

Are service level agreements and contracts in place?

Give details of the process used to check insurance, maintenance and drivers’ qualifications. How frequently are these records checked?

Are there any clauses in the contract to declare regulatory action from traffic commissioners?
5.12.3 How do operators ensure that contractors and sub-contractors are aware of their shared responsibility in relation to work related road safety? What checks are carried out on sub-contractors in relation to compliance with Work Related Road Safety standards

What are the consequences of non-compliance?
5.12.4 Process in place to check that contractual obligations held by the operator are also adhered to by the sub-contractor. How is the sub-contractor made aware of their obligations?

What is the process for ensuring these obligations are met?

Who conducts the checks and how frequently? Give details.
5.12.5 Evidence of a process to ensure Disclosure and Barring Service checks (DBS) are carried out prior to commencement of duty, where required. Who is responsible for carrying out the checks?

How is this information reported and data stored?

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5.13 Hiring vehicles

Requirements

Where vehicles are hired arrangements must be in place to monitor their use and maintenance requirements in line with that of the operator.

Checks must be carried out on the vehicles prior to them being put into service to ensure all maintenance requirements have been met.

  • vehicles may be hired for as long as required provided the operator does not operate more than the total number of vehicles authorised on their licence
  • the operator must display their own discs in these hired vehicles
  • procedures must be in place to ensure hired vehicles are maintained to the same standards and frequency of the operator’s own vehicles
  • it is a requirement of DVSA earned recognition that all vehicles are added to the operator licence before being used

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.13.1 Documented process in place to verify paperwork is checked to ensure the vehicle is correctly maintained prior to being put into service. How are these checks carried out and by who? Give details of evidence seen.
5.13.2 Procedure in place to ensure the vehicle whilst hired is maintained to the same standard and frequency of the operators own fleet. What is the procedure used to ensure that all hire vehicles are maintained to the required standard and frequency used by the operator for their own fleet?

Ensure the vehicle has been added to the maintenance system and that a vehicle file has been introduced.
5.13.3 Full records including hiring agreements effectively managed. Documentation in relation to hire agreements. Give details.

Clear instructions as to who is responsible for the maintenance and repair requirements.

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5.14 International operations and cabotage

Requirements

International operators who conduct haulage work inside a single other member state (known as cabotage) must have processes to ensure that operations meet the cabotage regulations.

Processes must be documented, responsibilities clearly communicated, and performance reviewed at least annually.

Assessment criteria

Subsection Assessment criteria Evidence requirement
5.14.1 Policy for management of the UK licence for the community, to ensure the operator meets the cabotage regulations. Policy name, number and review date.

Does the policy identify and give instructions to those responsible for ensuring the standard is met, together with evidence of the process?

Give overview of content.
5.14.2 Copies of regular review reports for the previous 12 months. Copies of regular review reports for the previous 12 months.
5.14.3 What is the process to ensure the correct documentation is carried for the vehicle, trailer, and driver on international journeys? Who is the person responsible for ensuring the documentation required for the international journey is correct and present?

Vehicle and trailer documents, driver documents, export documents, and journey registration documents if required.

Evidence the UK licence for the community is stored securely in the office.

Evidence the process and give details.
5.14.4 What process is in place for the use of vehicles exceeding 2500kg maximum authorised mass (MAM) used on international journeys for hire and reward? Who is the person responsible to ensure compliance with the process?

Give details of the process used to ensure the light goods vehicles are specified on licence.

Ensure the management of the vehicles are subject to the same operator licencing standards as HGV’s.

That international journeys are conducted in the correct way.
5.14.5 Process in place to ensure the required international journeys are registered on the EU Portal (2 February 2022) - both HGV and light goods. Who is the person responsible for the registration of international journeys?

Evidence the process and give details of last journey registered.

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6. Security requirements

There is 1 sub-section in this section of the standard:

6.1 Security requirements

Requirements

Operators should have a knowledge of the current risks and threats from terrorist groups and individuals.

Measures should be in place to minimise the risk of vehicles being used as weapons and to ensure premises, staff and members of the public are kept safe.

Operators should occasionally access the Security Service (MI5) website to familiarise themselves with current threat levels including a basic understanding of both national and international terrorism threats.

As a minimum reference should be made to Countering vehicle as a weapon: best practice guidance for goods vehicle operators and drivers.

Where required the advice should be added to existing policy and procedure documentation.

  • staff who have specific roles should be clearly identified detailing what their responsibilities are
  • the operator may not wish to share sensitive information with the auditor - if the auditor is satisfied with the general details and the operator is aware of the requirements of ADR chapter 1.10 it should be accepted the assessment requirement is met
  • there must be a whistleblowing policy to allow members of staff to report any suspicious behaviour to the management
  • security requirements for moving dangerous goods by road and rail

Assessment criteria

Subsection Assessment criteria Evidence requirement
6.1.1 Vehicles - a comprehensive procedure and policy to counter-terrorism including vehicle security from section 4 - vehicle security, suspicious behaviour on the road and section 3 - site security, awareness of suspicious objects attached to vehicles and hijacking threats.

 Policy is in place - note name of policy last review date, give brief details of policy.

Ensure knowledge of current threat levels, and how in which this could affect them. For example, their vehicles being stolen or hijacked to be used as a weapon.

Are they aware of the current threat from terrorists level as noted on the MI5 website?

Check training matrix for when this policy and training was last delivered to staff.

Is there evidence that the staff have read and understood the latest communication?
6.1.2 Premises - awareness of unusual, unattended, or suspicious objects found or concealed within the workplace. Relevant training on reporting procedures from section 3 - site security.

Access to restricted sections of the premises should be controlled and any access codes or keys should be protected.		 Policy is in place. Note name of policy, last review date and give brief details of policy.

Check training matrix for when this policy and training was last delivered to staff.

Is there evidence that the staff have read and understood the latest communication?
6.1.3 People - unusual or suspicious behaviour by either staff or visitors within the workplace. Relevant training on reporting procedures from section 2 - people, security culture and behaviours. What security checks are conducted on internal staff during the recruitment process? Give details.

Is the policy in place? Note name of policy, number, last review date. Check training matrix for when this policy and training was last delivered to staff and in what format.
6.1.4
 Risk - review of risks and management of incidents this will include evacuation and contingency planning to allow the operation to continue normally even after an incident. Check documentation but note there may be highly sensitive information contained that the operator may not wish to share with you. If this is the situation make sure you are satisfied with the general details. If so, it should be accepted that the requirement is met.

Risk assessment is in place. Note, same of risk assessment, number and review date.

Policy is in place. Note name of policy and last review date.

Check training matrix for when this policy and training was last delivered to staff.
6.1.5 Reporting procedures - clearly defined reporting procedures both internally and reporting to relevant authorities. This may include actions to be taken during an incident or hijacking. What are the reporting procedures within the organisation and to external authorities?

Evidence details.
6.1.6 Journeys - evidence of a reporting procedure to deal with unexpected delays or diversions during a scheduled journey. What are the reporting procedures within the organisation?

Evidence details.
6.1.7 Dangerous goods activities (ADR) - where high consequence dangerous goods are involved, ensure the operators are complying with ADR chapter 1.10, for example by following security requirements for moving dangerous goods by road and rail. ADR - where high consequence dangerous goods are involved, ensure the operators are complying with ADR chapter 1.10.

Evidence chapter 1.10 of ADR regulations are being adhered to.

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7. Driver management

There are 4 sub-sections in this section of the standard:

7.1 Driver recruitment

Requirements

The operator will demonstrate an effective management process for the appropriate recruitment of drivers, which considers all aspects required to ensure compliance with regulations, road traffic law and the obligations set out within the operator licence.

  • appropriate compliance checks regarding previous employment history and qualifications
  • evidence of employee right to work checks
  • tested processes to establish driver knowledge of legal requirements, for example drivers’ hours
  • evidence of practical driving assessment or equivalent
  • drivers’ handbook or similar which includes company rules, policies, and procedures

Assessment criteria

Subsection Assessment criteria Evidence requirement
7.1.1 Policy - recruitment process and induction to include driver assessment carried out within the business. Policy name, number, review date.

Who is responsible for the recruitment of staff?

Who checks documentation such as right to work, qualifications and employment history?

Are application forms completed?

Are interviews held?

Are driver assessments undertaken or written assessments on knowledge of the Highway Code and drivers’ hours?
7.1.2 Evidence of an interview process. Detail outcome possibilities of interview process.

Who carries out the interviews?

What does the interview process consist of?

Evidence the process in place - give detail. There is no requirement to disclose the employee’s name.
7.1.3 Evidence of driving and knowledge assessments during the recruitment process. At what point of the recruitment process is the driving assessment held?

Evidence of driving, Highway Code and drivers’ hours knowledge assessment, results, and any action taken for improvements required.

Are there any other times a driving assessment will be undertaken outside of the recruitment process? For example after an accident or a yearly review. Give details.
7.1.4 Details of company rules, and how they are notified to all drivers. Evidence of driver handbook to include company policies and procedures.

Must be signed and dated to say the driver has read and understood content.
7.1.5 Evidence of a process to ensure Disclosure and Barring Service checks (DBS) are carried out and copies kept, where required. Process is in place to carry out DBS checks. Ensure they are stored correctly and for the correct amount of time and renewed when required. Note details.

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7.2 Driving licence and driver Certificate of Professional Competence (CPC) monitoring

Requirements

The operator must demonstrate processes in place to effectively monitor driving licence and driver CPC authorisation, classes, disqualification, penalty points, expiry, and licence conditions for all drivers within the business.

  • additional monitoring of drivers with 6 or more points on their licence
  • appropriate contingencies in place to deal with checks outside the stated 3-month frequency will be accepted
  • consider drivers under 21

Assessment criteria

Subsection Assessment criteria Evidence requirement
7.2.1 Process in place to monitor driving licences, digital driver cards and details of Driver CPC courses completed by employees and new starters, including expiry dates, categories held, and restriction codes. Give details of the process.

Who is responsible for checking driving licences, digital cards and Driver CPC?

How frequently are the checks carried out?

How are the checks carried out?

How are the results logged including expiry dates?
7.2.2 Check driving licences at least every 3 months with a risk-based approach to additional checks. Logging of penalty points where appropriate. How are checks monitored? Are the checks forward planned?

Who is responsible for the checks?

Is a risk-based approach in place for drivers who are high risk (6 or more points on licence)? Traffic light system?

Evidence the risk-based approach system used. Give details.
7.2.3 Compliance with licence conditions such as corrective eye wear. Procedure in place.

Drivers who have code 01 on licence - how is it ensured they are wearing corrective glasses or contacts while driving?

When was last eyesight check carried out? What system was used? Who carried out the check? What were the results?

Note results.
7.2.4 How are driving licence infringements monitored and dealt with? Explain the process to deal with driving licence penalty points and the reporting of them.

Check driver’s handbook and induction documents for details of how to report driver licence infringements.

Check disciplinary procedure.
7.2.5 Instructions to staff regarding notification to employer of driving offences, points, disqualification, loss of licence category or suspension. Driver’s handbook and induction documents for details of how to report driver licence infringements points.

Evidence the process in place.
7.2.6 Where there is a contractual obligation for specific Driver CPC courses to have been undertaken, drivers are required to carry proof of completion of the courses. Make sure drivers are registered with the service to check your Driver CPC periodic training hours where required.

How do you ensure the driver is carrying proof of specific completed Driver CPC courses when required to do so?

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7.3 Driver pay and incentives

Requirements

Where an incentive scheme is operated it must promote best practice and road safety.

  • evidence from tachograph records that show illegal practices taking place
  • published incentive schemes that appear incompatible with good driver practice
  • telematics data where this is available used to monitor speed, harsh braking, quick acceleration, fuel efficient driving

Assessment criteria

Subsection Assessment criteria Evidence requirement
7.3.1 Is there a driver incentive scheme in place which would promote best practice and safe efficient driving? Are driver incentive schemes available?

Explain how they work.

Ensure that the incentive scheme does not encourage breaking of the rules. For example, pay by load, weight or distance travelled.

Evidence details.
7.3.2 Other procedures in place that enhance good driver practices. How are good driving practices monitored and encouraged?

What action is taken when the standards are not met?

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7.4 Management of driver behaviour

Requirements

Processes must exist to ensure:

  • driver behaviour is monitored and remedial action is taken where necessary
  • documented appraisals, where available
  • effective investigations procedures
  • methods for disciplinary action

Assessment criteria

Subsection Assessment criteria Evidence requirement
7.4.1 Driver behaviour and standards policy. Policy name, number, review date.

Are driver standards set within the policy? Give example of content.

Should contain topics such as wearing of seat belts, drivers’ professional responsibilities, fuel efficient driving, harsh braking, distractions, consideration of others, vulnerable road users.

Are driver appraisals undertaken? If so, how frequently? When was the last one conducted?

Evidence the policy has been read and understood.
7.4.2 Are the national standards for driving incorporated or considered when policies are devised for driver behaviour and standards? National driving standards are referenced or considered when policies surrounding driver behaviour and standards are written.

Are the standards available to drivers? If so, in what format?
7.4.3 Policy for dealing with disciplinary matters. Policy name, number, review date.

Who is responsible for dealing with disciplinary issues?

Disciplinary actions are clearly defined within the policy. Give overview.
7.4.4 Training and notifications to staff that prevent or prohibit the breaking of any rules. What training and notifications are given to drivers to encourage safe driving habits and reduce the breaking of rules?

Is telematic data analysed to ensure safe driving? Are reports given to drivers relating to their driving habits?
7.4.5 How is driver performance monitored, and what action is taken to improve poor performance? Including accidents and incidents, near misses.

What action or investigations take place if concerns are raised regarding the above or other concerns regarding performance? How is this dealt with?

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8. Training

There are 3 sub-sections in this section of the standard:

8.1 Driver Certificate of Professional Competence (CPC) training

Requirements

Driver CPC training should be of value to both the operator and the driver and meet the requirements of any contractual agreements the operator is signed up to, such as High Speed 2 (HS2) and London Power Tunnels 2 (LPT2).

Records must exist to clearly show the level and frequency of training.

Staff must take training courses that include information about vulnerable road users, work-related road safety, rural and urban driving, fuel efficiency and emissions.

Assessment criteria

Subsection Assessment criteria Evidence requirement
8.1.1 Policy in place to effectively promote CPC training and continuing professional development (CPD) for both drivers and transport managers Policy name, number, review date.

Who is the person responsible for organising training and CPD?

Is training conducted by in-house or external trainers?

Is training tailored to be sector-specific and incorporate the need of contractual requirements where necessary, such as HS2 and LPT2?

Frequency of training.

How is the type of training and courses decided?

Is this tailored to individual staff members’ needs?

Is additional training undertaken in the form of e-learning, toolbox talks, memos or bulletins?

Are staff expected to do training in their own time or during their working hours?
8.1.2 Training matrix covering all staff members with forward planning to ensure continuous training. Training matrix - give detail of extent covered, who, what type of training such as Driver CPC, CPD, e-learning and toolbox talks.

Ensure that at least 1 day’s worth of training has been undertaken in the previous 12 months and at least 1 day is planned for next 12 months.

Ensure all staff are entered on to the matrix including routers, schedulers and vehicle maintenance.

Evidence that all training is recorded, read and understood by the staff member.

How many hours of CPC training has been undertaken in this period?

Give details and names of the CPC courses which have been undertaken and are planned.

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8.2 Other relevant driver training and engagement

Requirements

Any other training to drivers must be demonstrated and shown to be relevant to the business.

Additional industry relevant information must be relayed to staff, for example by e-learning, memos, bulletins and toolbox talks.

  • documented informal group discussions on a particular issue (known as toolbox talks)
  • specialist training requirements within the organisation
  • consistency of training standards across all drivers
  • evidence of driver training records

Assessment criteria

Subsection Assessment criteria Evidence requirement
8.2.1 Additional training undertaken by drivers other than Driver CPC. Evidence that further training is in place such as toolbox talks, e-learning, informative bulletins, changes to legislation.

Give evidence additional information has been relayed to staff from industry bodies, such as DfT, local authorities, DVSA, Moving On, Health and Safety Executive (HSE) and Highways England. In what format was this delivered?

Training on specialist equipment such as MOFFETT forklifts or pump trucks.

How frequently is refresher training given?

How is the quality and effectiveness of the training monitored?

Give details of the additional training which has been delivered including name of training, means of delivery (toolbox talks, e-learning) and frequency.

Evidence that all training is recorded by register or other means confirming the driver has read or attended and understood the content.

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8.3 Other operational staff training

Requirements

Where applicable evidence of processes and procedures must be shown to deal with any training requirements that are relevant to staff employed in the transport operation, along with well-documented actions and monitoring.

  • identify other operational staff training needs
  • evidence of records for operational staff training

Assessment criteria

Subsection Assessment criteria Evidence requirement
8.3.1 What is the process for ensuring training needs for staff other than drivers are met? What is the process for delivering training to operational staff such as schedulers, loaders, route planners and office clerks?

How are training needs identified?
8.3.2 Evidence of relevant training specific to the nature of the operation. Is training conducted in-house or externally?

How are operational staff training requirements monitored?

How are operational staff informed of changes to legislation? Give latest example.

Are there career development opportunities within the organisation? Does the operator offer apprentice schemes?

Training matrix in place detailing qualifications, training given, planned training, including refresher courses.

Note details of first aid training, fire marshals and health and safety training.

What training is given to staff undertaking tachograph analysis and debriefing of drivers?

Detail job-specific and sector-specific training for transport managers, clerks, supervisors, yard workers, scheduling and routing staff.

Give examples including the type of training and dates.

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9. Additional policies

There are 9 sub-sections in this section of the standard:

9.1 Road traffic legislation and the Highway Code

Requirements

The Highway Code applies to England, Scotland, and Wales. The Highway Code is essential reading for everyone. The aim of The Highway Code is to promote safety on the road, whilst also supporting a healthy, sustainable, and efficient transport system.

The operator must have in place a clear and published policy which ensures driving standards and road traffic legislation is abided by.

Assessment criteria

Subsection Assessment criteria Evidence requirement
9.1.1 Policy in respect of road traffic legislation and speeding offences. Policy name, number, review date.

Overview of content.

Are the details in the driver handbook and induction training?

Has a copy of or reference to road traffic legislation and the Highway Code been given to drivers?

Evidence the policy has been distributed to all relevant staff signed for and understood.
9.1.2 How are changes to road traffic legislation and the Highway Code notified to staff? Is the operator signed up for automatic updates from the Highway Code?

Give details of latest communication given to staff regarding changes to the Highway Code.

Is there evidence the staff have read and understood the latest communication?

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Requirements

The operator must have in place a clear and published policy which satisfies the HSE requirements of road safety and driving at work to minimise the risk of collisions and accidents

Assessment criteria

Subsection Assessment criteria Evidence requirement
9.2.1 Policy in respect of work-related road safety. Policy name, number, review date.

Overview of content - should include standards set out for drivers, vehicles, vulnerable road users, planning of journeys, as an example.

Where required, the policy should also meet the standard required for any contractual agreements such as HS2 and LPT2.

Are the details in the driver handbook and induction training?

Additional safety equipment such as side underruns, Class V and VI mirrors, cameras, side scan cameras and audible alerts.

Evidence that the policy has been distributed to all relevant staff, signed for, read and understood.

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9.3 Safe and considerate parking of vehicles when away from base

Requirements

A policy must be in place addressing the issues surrounding parking vehicles away from base, in the interest of security of the driver, vehicles and their loads, as this is when they are most vulnerable.

When parking vehicles away from base, take care not to park illegally or cause a nuisance or obstruction.

Assessment criteria

Subsection Assessment criteria Evidence requirement
9.3.1 Policy to ensure the safe and considerate parking of vehicles when parked away from base. Policy name, number, review date.

Does the policy cover things such as obstructing, parking of vehicles in inappropriate places, parking in a way as to not cause disturbance or nuisance to other road users or the general public?

Does the policy cover consideration of safe places to park and not park in relation to security, theft, considerate parking and obstructions?

Give an overview of the content of the policy.

Who is the person responsible for ensuring compliance with the policy is adhered to? How is this checked?

Is there evidence that all drivers have been issued with a copy of the policy and have signed to confirm they have both read and understood its content?

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9.4 Drink, drugs and driver health policy

Requirements

The operator must have in place a clear and published policy for the prevention of driving whilst under the influence of drink or drugs.

There should be processes in place to monitor driver health, wellbeing, and fatigue.

Operators should ensure the drivers meet the minimum requirements for eyesight checks.

Assessment criteria

Subsection Assessment criteria Evidence requirement
9.4.1 Policy regarding use of alcohol and drugs (both prescription and recreational), general health and mental health, night-time workers, reporting of illnesses, disabilities. Policy name, number, review date.

Overview of policy - what does it cover? Is there a section relating to night workers, reportable illnesses, prescribed medication, random drug and alcohol testing, the use of drugs (prescription or recreational)?

What is the reporting procedure for staff who have issues with any of the above, or concerns for others?
9.4.2 Clear statement of actions to be taken should non-compliance with the above policy occur? Evidence the statement - give an overview of the procedure.

Evidence that staff have read and understood the statement.
9.4.3 Evidence of a driver’s medical declaration. Evidence a driver health questionnaire or declaration - give an overview of content.

Does it contain a section relating to night workers?

How are changes to drivers’ health and existing medical conditions reported (to include the taking of prescribed drugs)?

Are drivers advised of their right to medical checks?

Evidence the process in place relating to monitoring of driver health and eyesight checks.

How frequently are driver eyesight checks carried out? Give detail of the last one.
9.4.4 Evidence of random checks and the use of monitoring devices (at the operator’s discretion). Are operational staff trained to spot the signs of drug or alcohol abuse and dependency? Give details of any training they have received.

Are random drug and alcohol checks carried out? How frequently?

Are they done by internal staff or external?

What system is in use?

How are the results monitored and stored?

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9.5 Mobile phone and the use of other in-cab technology

Requirements

Policies and procedures must be in place to effectively manage the use of devices, such as mobile communications devices, PDAs and laptops where their use is controlled by legislation.

There should also be a demonstrated mechanism for dealing with breaches or neglect.

Assessment criteria

Subsection Assessment criteria Evidence requirement
9.5.1 A clear and published policy in place. Policy name, number, review date.

What is the content of the policy? Does it cover mobile phones, use of sat navs, PDAs, tablets, laptops and any additional items?

What are the consequences of not adhering to the policy - informing the traffic commissioner of mobile phone breaches, disciplinary action?
9.5.2 Evidence of staff having been notified and trained on the policy. How is compliance with the policy monitored?

Check the training matrix. Is there evidence of when and which staff were last trained on the policy? In what form did this take - toolbox talk, handbook, memo?

Evidence - in cases of breaches of the policy and procedures, what is the disciplinary procedure?

Evidence that staff have been notified and trained on the policy.

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9.6 Additional safety equipment

Requirements

Where required, fit additional safety equipment such as:

  • audible alerts
  • cameras
  • side scan cameras
  • under run protection
  • turning or reversing alerts
  • a policy must be in place regarding the use of additional safety equipment and technology fitted to vehicles
  • evidence must be supplied to show training on additionally fitted safety equipment

Assessment criteria

Subsection Assessment criteria Evidence requirement
9.6.1 Policy for additional safety features fitted to vehicles and use of the equipment. Policy name, number, review date.

Who is responsible for ensuring compliance with the policy?

Is additional safety equipment covered? For example, warning alerts, cameras, side scans and underrun bars.
9.6.2 Instructions and training on the use of additional safety equipment. Are training and instructions given to staff regarding the use of the equipment? For example cameras, audible alarms, side scans.

Note details of training given.

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9.7 Health and safety and staff fatigue policy

Requirements

A health and safety policy sets out a general approach to health and safety. It explains how the operator, as an employer, will manage health and safety in their business. It should clearly say who does what, when and how. The policy should include monitoring and reporting incidents that must be reported under the Reporting of Injuries, Diseases and Dangerous Occurrences Regulations (RIDDOR).

The health and safety policy must be in writing if the operator has 5 or more employees. The operator does not need to have the policy in writing they have fewer than 5 employees, although it must still be relayed to staff.

Fatigue refers to the issues that arise from excessive working time or poorly designed shift patterns. It is considered to be a decline in mental or physical performance that results from prolonged exertion, sleep loss or disruption of the internal clock. It is also related to workload.

Assessment criteria

Subsection Assessment criteria Evidence requirement
9.7.1 Health and safety policy. Who is the responsible person in charge of health and safety?

How often are health and safety meetings held?

How is health and safety monitored?

How are RIDDOR reportable incidents managed?

What is the content of the policy?

If the operator employs 5 or more members of staff, the health and safety policy needs to be recorded in writing.
9.7.2 Staff fatigue policy. Name of policy, number, review date.

Who is the person responsible for compliance with the policy?

Overview of content.

Evidence the policy has been relayed to all staff and there is conformation they have read and understood the content.

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9.8 Working at height and the prevention of falls from vehicles

Requirements

By law, employers must take suitable and effective measures to prevent anyone from:

  • falling a distance that is likely to hurt them
  • being hit by a falling object

Assessment criteria

Subsection Assessment criteria Evidence requirement
9.8.1 A policy must be in place in relation to working from height and the prevention of falls from vehicles. Name of policy, number, review date.

Who is the person responsible for compliance with the policy?

Overview of content.

Evidence the policy has been relayed to all staff and there is conformation they have read and understood the content.

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9.9 Whistleblowing policy

Requirements

A whistleblowing policy is a means of employees reporting suspected illegal acts or failures to act within the constraints of the law.

  • it is important that there is clarity across the organisation of how to handle issues relating to whistleblowing
  • a whistleblowing policy plays a critical role in ensuring a consistent, effective, and compliant approach to whistleblowing
  • whistleblowing matters are those that are about unlawful conduct, financial malpractice or dangers to personal health or safety or the environment
  • HSE - whistleblowing and whistleblowers

Assessment criteria

Subsection Assessment criteria Evidence requirement
9.9.1 Policy in connection with making a disclosure in the public interest (whistleblowing). Policy name, number, review date.

Does the policy outline its aims, scope of the policy, who can raise a concern, what should be raised, how to raise concerns, protection of the whistleblower?

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10. ADR - carriage of dangerous goods

There are 6 sub-sections in this section of the standard:

10.1 Dangerous goods safety advisor

Requirements

Where dangerous goods are carried the operator must have appointed a Dangerous Goods Safety Advisor (DGSA) who is suitably qualified and who has enough involvement and control over the ADR requirements within the business.

The DGSA can be either ‘in house’ or contracted.

There are exceptions to this requirement for occasional carriage.

Assessment criteria

Subsection Assessment criteria Evidence requirement
10.1.1 Evidence of a dangerous goods safety advisor (DGSA) appointed either internally or externally where required. Evidence a DGSA is appointed where required - name, contract, job description, roles and responsibilities.
10.1.2 Details of hours worked and documented evidence of the duties undertaken by the DGSA in relation to size of the business. Does the DGSA undertake any other role in the business?

If so, how many hours are dedicated to the DGSA position?

Contract for hours and days allocated.

Job roles and responsibilities.

Note details.
10.1.3 Evidence of DGSA annual reports showing level of involvement and management. Annual report set out as per the guidance on the duties of a DGSA.

Evidence of internal compliance audits undertaken - detail date of last one and result and action taken.

Weekly and monthly reports.

Minutes of meetings.

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10.2 ADR training

Requirements

The operator must have a process to ensure all drivers involved in the carriage of dangerous goods are suitably trained and hold all relevant training certificates.

Assessment criteria

Subsection Assessment criteria Evidence requirement
10.2.1 Policy to ensure all drivers and staff involved in the carriage of hazardous goods are suitably trained and the operation is effectively managed. Policy name, number, review date.

Who is the person responsible for ensuring compliance with the policy?

Does the content include classification of goods, quantities, documentation, personal protective equipment (PPE), equipment, loading, unloading and handling, packaging rules, staff training, process to follow in the event of an incident or spillage?

Not all carriage of ADR requires an ADR certificate - in some instances (below threshold) the training required is ADR awareness training. Evidence of such training should be logged and copies of training kept on file - note details.
10.2.2 A register of all staff involved in the transporting of ADR and their relevant qualifications or training, entitlements, and expiry dates. Staff register detailing qualification held, training received - to also include loaders and schedulers.

Details of accreditation, expiry dates, classes held.

Not all carriage of ADR requires and ADR certificate - in some instances (below threshold) the training requires is ADR awareness training. Evidence of such training should be logged and copies of training kept on file - note details.
10.2.3 Register in place to detail drivers’ ADR accreditations and ensure checks are carried out relating to class of goods carried. Copies of training certificates are held on file. How are checks carried out to ensure the driver has the correct class of ADR for the goods in carriage?

Evidence the monitoring process - give details.

Cross-check qualification register with the transport documents to ensure correct class of ADR is held by the driver for the class of goods being carried. Evidence details.

Evidence training certificates, photocopies of ADR cards held on file.

How are updates and changes to processes and legislation in relation to ADR relayed to staff? For example bulletins, memos.

Give details.
10.2.4 Other than ADR accreditation training what other additional ADR training is given? For example, toolbox talks, ADR awareness training, annual refresher training.

Note details of additional training including format and dates.
10.2.5 Forward-planned training matrix specific to ADR. Is a training matrix in place forward-planned? Detail up and coming courses and dates booked.

What additional training is given? For example refresher courses, toolbox talks, e-learning.

Give details of above and examples.
10.2.6 How are updates and changes to legislation and regulations relayed to staff? Is the operator signed up to receive updates from the Health and Safety Executive and the Department for Transport in relation to ADR?

Who is responsible for relaying updates?

How are updates relayed to staff?

Evidence latest update given - give details.

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10.3 ADR-specific vehicle and trailer requirements

Requirements

Processes must be in place to ensure all vehicles involved in the carriage of dangerous goods meet the required standard and where required forward planning procedures are in place to account for testing and certification.

Assessment criteria

Subsection Assessment criteria Evidence requirement
10.3.1 Process in place for testing along with appropriate records and type approval certificates. Who is responsible for ensuring vehicle approval certificates are in place where required?

What additional checks are carried out over and above the standard inspections and servicing required? For example tank testing, cleaning, pressure testing.

How is this monitored and recorded?

Evidence vehicle approval certificates.

Additional servicing, inspection and maintenance.

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10.4 Safety equipment and personal protective equipment (PPE)

Requirements

Processes must be in place to ensure the required safety equipment is supplied and maintained and the driver is trained to use such equipment.

  • use of equipment which is not suitable
  • evidence of issues arising from misuse
  • maintenance and repair sheets
  • invoices for equipment

Assessment criteria

Subsection Assessment criteria Evidence requirement
10.4.1 Evidence all safety equipment including PPE is logged and up-to-date maintenance records are held. Ensure understanding of what type of equipment is needed to be carried on the vehicle in relation to the class and quantity of goods carried. For example, fire extinguishers, torch, goggles, buckets, broom, spillage mats, chocks. Note details.

How is this monitored for quantities, expiry dates, maintenance?

Evidence records held - give details of how this is monitored. Are servicing dates for fire extinguishers noted?

How is additional equipment allocated?
10.4.2 Process in place to ensure all PPE and safety equipment is available and in good working order as part of the driver walkaround check. What is the process in place to deal with ‘out of service dates’ of equipment such as fire extinguishers, first aid kits, eye wash, as specified in ADR?

Whose responsibility is it to monitor this?

Evidence of service dates being monitored and equipment being either replaced or serviced once the out of service date is reached.
10.4.3 Operating instructions for equipment, and training on how it is to be used. A record of the training given must be evidenced. What training is given regarding the use of equipment such as PPE, first aid, spill mats, fire extinguishers and chocks.

Training matrix detail additional training given in relation to above.

Evidence operating instructions.

How frequently is this undertaken?

Note details.

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10.5 Documentation, placarding and marking of vehicles

Requirements

Documented procedures must be in place to manage the correct production of and retention of all relevant documentation where necessary. This must include records management and processes to identify products and classes of substances.

Assessment criteria

Subsection Assessment criteria Evidence requirement
10.5.1 Evidence the process used to ensure the correct production and retention of documentation is carried out. Who is responsible for this process?

Ensure all the correct documentation is issued and retained correctly for example, road consignment (CMR) notes, instructions in writing, written emergency instructions - note details.

How long are the documents retained for, how and where?
10.5.2 Instructions in writing. Should consist of 4 pages minimum.

Provided in native language of driver.

Detail actions to take in case of emergency.

Additional guidance on hazards by class.

Equipment to be carried.

Evidence an example, give details.
10.5.3 Consignment notes and other required documentation with sufficient detail. Ensure operators understanding of what documentation is required to be carried on a journey? For example, drivers’ original training certificate, photo ID, transport document, vehicle type approval certificate.

Transport documents contain information such as UN Numbers, classes of substance carried, packaging group, description, name and address of consignor and consignee.

CMR or Dangerous Goods Note (DGN) details information of journey.

Documents must be retained for a period of 3 months. How is this achieved? Note details and evidence of documents being stored.
10.5.4 Process to ensure the vehicles are clearly marked in conjunction with the type of load being transported. Who is responsible for ensuring the vehicles are displaying the correct placards, plates and emergency action codes for the load being transported.

Give details of the process in place.

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10.6 Load security and integrity

Requirements

The operator must have a process in place, which enhances that required for load security in general but also deals with ADR specifically. This should include relevant training covering any additional considerations pertinent to the type of goods carried.

Assessment criteria

Subsection Assessment criteria Evidence requirement
10.6.1 Evidence of a monitoring process to prevent breaches. How is the loading of vehicles monitored to ensure no breaches or non-compliance of the process occur?

Are internal audits and spot checks carried out on loading and load security?

Evidence the monitoring system used, who the responsible person is, and details of any breaches found.

How are checks recorded? what action is taken?
10.6.2 Documented evidence that packing rules are being followed. Who is responsible for ensuring the vehicle specifications are correct for the type of substance being carried and the way in which it is packaged?

How is this monitored?

Are any additional processes to general load security requirements in place in relation to the carriage of ADR goods?

How are mixed loads monitored in relation to different classes of goods that can be carried together? How is this calculated?

How are quantities of goods monitored to ensure maximum volumes are not exceeded? How is this calculated?

How are packaging requirements monitored, such as drums, bottles or environmental waste bins?
10.6.3 Evidence of staff training in vehicle loading, unloading and load security. In addition to general load security training is any ADR specific training given? Give details of this.

Is training given in relation to rollover prevention, especially in the case of carrying liquids?

What training is given in relation to loading and discharge of tanks?

Training matrix, toolbox talks, refresher courses, memos.

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