Guidance

Public service vehicle (PSV) operator standards: DVSA earned recognition

Updated 31 March 2025

Applies to England, Scotland and Wales

© Crown copyright 2025

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Introduction

This document details the standards of the scheme, including the assessment criteria 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 to satisfy the required standards.

A policy refers to documented evidence, such as a process or a set of instructions, which can be part of a larger document like a driver’s handbook or operations manual. The key aspect is that this evidence can be referenced, and there are controls in place to track changes and communicate updates to those working within or for the organisation.

Operators with 4 or fewer employees

It is best practice for all operators to have a written policy in place. However, operators who have 4 or fewer employees can tell the auditor verbally what documented policies they have in place and explain how they are effective if they do not have a full written policy in place.

Earned recognition audit sampling criteria

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

Areas of measurement:

  • drivers
  • vehicles

Operating centre 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 audit every 2 years
  • 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
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
1.1.1 Legal entity of operator to be defined as on Companies House or HMRC records.
1.1.2 Company registered name, address and company registration number to be defined as on Companies House.
1.1.3 Company directors on Companies House must correspond with detail on operator licence.
1.1.4 Operator’s correspondence address, if different to registered address, must be listed on vehicle operator licence service.
1.1.5 Sole trader’s registration with HMRC must correspond with details on operator licence.
1.1.6 Limited partnerships and limited liability partnerships, an agreement or other documentation must be in place to support the entity type.
1.1.7 Operator licence must be current and held in the correct legal entity name in accordance with Companies House or HMRC records.

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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.

Operators that have a special restricted licence cannot join DVSA Earned Recognition.

The operator must demonstrate the size and number of vehicles being used if they have a restricted licence.

  • the operator licence must be available for inspection by the auditor
  • details of the nature of the operation must be noted to ensure the correct licence is held
  • drivers’ hours records that tie in with PSV operations evidenced from invoices and timesheets
  • working time records where these are separate may also provide evidence
  • company letterheads and advertising material specifying nature of operation and services to customer
  • Section 79A of the Public Passenger Vehicles Act 1981
  • PSV (Public Service Vehicle) operator licences

Assessment criteria

Subsection Assessment criteria
1.2.1 Operators can only apply for a restricted licence for small-scale operations. Allowed a maximum of 2 vehicles, and neither can carry more than 8 passengers.

The operator can carry up to 16 passengers in either vehicle if they do not use it as part of a passenger transport business, or they are operating the vehicles as a sideline and not as their main job.
1.2.2 Where small vehicles are operated the operator must be able to demonstrate they comply with section 79A of the Public Passenger Vehicles Act 1981.
1.2.3 Standard licence holders who carry out national operations only must have processes in place to ensure that they have an establishment in Great Britain (England, Scotland and Wales) with premises in which core business documents are kept. These 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 permitted.
1.2.4 Standard international licence holders who carry out national and international operations can carry passengers abroad as well as within the United Kingdom.
1.2.5 Process to maintain and effectively manage operator licence requirements.

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1.3 Operating centres

Requirements

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

When applying for an operator’s 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.

  • evidence that the operating centres used are those specified on the licence
  • invoices and consignment notices that coincide with locations or otherwise
  • vehicle livery suggesting locations of offices and depots that do not comply with those listed
  • the operator must let the auditor see their operator licence details on the vehicle operator licence service
  • traffic commissioners: operating centres, stable establishments and addresses for service

Assessment criteria

Subsection Assessment criteria
1.3.1 Process to ensure all operating centres are listed and authorised for use.
1.3.2 Sufficient off-road parking must be available for all vehicles and trailers utilised at authorised operating centres.

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1.4 Conditions, undertakings and traffic regulation controls

Requirements

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

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.

The local council can ask the traffic commissioner to impose conditions on the operator’s licence in relation to traffic regulations controls to:

  • prevent dangers to other road users
  • reduce traffic congestion
  • limit environmental pollution

Assessment criteria

Subsection Assessment criteria
1.4.1 All conditions and undertakings, including environmental conditions on the licence, are complied with across all operating centres.
1.4.2 Process to ensure any traffic regulation conditions added to licence are complied with, monitored, and effectively communicated to drivers.
1.4.3 Process in place to deal with traffic regulation conditions which cannot or are not being met.

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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
1.5.1 Documented process to notify the traffic commissioner within 28 days of any notifiable changes to the transport operation.
1.5.2 Documented evidence to demonstrate notification of any notifiable changes in circumstances to the traffic commissioner within 28 days.

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1.6 Authorised vehicles and trailers

Requirements

While the operator may own more vehicles than the maximum number authorised on the licence, they may not use more than that number at any one time. Every vehicle must display a valid disc when in use.

The operator may hire vehicles for as long as required provided that they do not operate more than the total number of vehicles authorised on their licence.

The operator may also hire vehicles (with or without a driver) on a temporary basis for up to 14 days without replacing the discs of the operator from whom they hired from. However, operators cannot borrow just a disc from another operator. There must be a gap of 14 days before the operator hires the same vehicle again. This is referred to as a special arrangement to cover unforeseen emergencies or peaks in business when there is a requirement for more vehicles than they have been licensed to operate. In this case, the operator who hired out the vehicle is still legally the operator, as long as their disc is displayed.

The operator should make sure that the hiring agreement places every responsibility on the owner for maintaining the vehicles even while they are in the hiring company’s possession.

Although it is not a statutory requirement for operator licensing, a robust process for specifying all current vehicles on a licence should be demonstrated. Operators that are members of DVSA earned recognition scheme must specify operational vehicles on their licence before first use.

  • the process should be adequate to demonstrate effective management and control for the size of fleet operated and the number of authorised operating centres
  • specified vehicle and trailer lists to match the authorisations for each operating centre. Demonstrate management of vehicles specified on the licence using the vehicle operator licence service
  • public service vehicle operator licensing guide

Assessment criteria

Subsection Assessment criteria
1.6.1 Process to maintain effective control of the vehicles specified on the licence, including vehicles not required to be specified and trailers.
1.6.2 Sufficient margin on the operator licence to account for the hiring or adding of new vehicles or trailers.
1.6.3 Written agreements and hire policies are in place with other operators when the vehicles are borrowed, hired or lent whilst still being used under the other operator’s licence disc.

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1.7 Management of operator licence identity discs

Requirements

A policy and robust process is required to ensure all discs are recorded and accounted for.

  • evidence of records to confirm correct number of vehicles being used
  • procedure to ensure the disc is displayed, such as part of the driver walkaround check
  • procedure in place to ensure all discs are always accounted for, especially when not in use

Assessment criteria

Subsection Assessment criteria
1.7.1 Operator licence disc policy.
1.7.2 Evidence of the licence disc monitoring process.
1.7.3 Discs not being used should be kept in a safe and secure location.

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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 must 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
2.1.1 Standard national / international – transport manager(s) are as stated on the licence, including evidence of Transport manager certification of professional competence (CPC) and refresher training.
2.1.2 Transport manager – evidence of continuing professional development (CPD), and any additional training and development undertaken within the organisation.
2.1.3 Restricted – responsible person – evidence of ability and skill to fulfil their duties, including continuing professional development (CPD).
2.1.4 Process for receiving and communicating legislation and industry updates throughout the business.

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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.

  • an organisational chart must be in place detailing reporting lines and job titles
  • evidence of effective communication methods and appropriate data storage throughout the organisation
  • the ratio of transport managers to staff and transport managers to vehicles should be effective for method of operation

Assessment criteria

Subsection Assessment criteria
2.2.1 Organisational chart showing chain of responsibility including clear reporting lines from directors, operator licence holder to transport manager.
2.2.2 Internal transport manager or responsible person (restricted licence) – evidence of their presence within the day-to-day operation, ensuring sufficient hours are available to carry out the transport manager duties.
2.2.3 External transport manager – evidence of a contract for services, including number of hours per week dedicated to the operation.
2.2.4 External transport manager – details of any additional transport manager duties undertaken for other operators.
2.2.5 Internal and external transport managers’ level of involvement to maintain continuous and effective management control of the operation on a day-to-day basis.
2.2.6 Where tasks are delegated, that full control is still maintained.

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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
3.1.1 Internal or external maintenance to align with provisions specified on the operator licence.
3.1.2 In-house maintenance - does the operator hold an accreditation in relation to their maintenance facilities and the training of their technical staff?
3.1.3 The operator must demonstrate that the in-house maintenance facilities are adequate to maintain the operator’s fleet.
3.1.4 Documentation for equipment repair, servicing or calibration of the workshop equipment.
3.1.5 Policy for the minimum standard of competence required by maintenance staff.
3.1.6 Training matrix for technical staff to support current and future training and development.

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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
  • evidence of any updates to vehicle operator licence service for maintenance provision
  • evidence of maintenance agreements
  • identification of any additional maintenance resources
  • evidence of technician and workshop accreditation audit reports, for example Institute of Road Transport Engineers (IRTE) workshop accreditation or equivalent
  • evidence of regular monitoring, contractor reviews and auditing

Assessment criteria

Subsection Assessment criteria
3.2.1 Details of maintenance contracts in place.
3.2.2 Safety inspections to be carried out by stated maintenance providers and at stated frequency.
3.2.3 Annual review and quality assurance checks carried out on maintenance contractors.

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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
Subsection Assessment criteria
3.3.1 Documented evidence of an effective forward planning system, planned a minimum of 6 months in advance.
3.3.2 Evidence of the scope of planning including annual testing, preventative maintenance inspections, tachograph, and speed limiter calibration.

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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 maintenance contractors if applicable and evidenced in the audit report
  • cross-checks of vehicles stated as vehicle off road (VOR) against drivers’ hours records
  • documentary evidence of safety inspection where a vehicle that has been off road is brought back into service

Assessment criteria

Subsection Assessment criteria
3.4.1 Process to proactively manage agreed inspection frequencies.
3.4.2 Process to deal with late and missed safety inspections.
3.4.3 Documented evidence to support any justified reason why the inspection frequency has been extended on the operating licence.

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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 declaration of roadworthiness

Assessment criteria

Subsection Assessment criteria
3.5.1 First use inspection policy.
3.5.2 Evidence that an appropriate first use inspection has been carried out prior to the vehicle entering service.

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3.6 Vehicle certification

Requirements

Vehicles that can carry 9 or more passengers must have a Certificate of Initial Fitness (COIF), a vehicle type approval certificate or a certificate of conformity to show it was built to or adapted to public service vehicle standards.

Assessment criteria

Subsection Assessment criteria
3.6.1 Evidence the correct documentation for the vehicles is held on file.
3.6.2 Documented process in place for the use of forms such as new vehicle registration (VTP 788), Notification of an alteration to a public service vehicle (VTP5), seat belt installation check (VTP789), apply for IVA and apply for COIF.
3.6.3 Documented process to complete an application for a PSV accessibility certificate (PSVA1) where applicable.
3.6.4 Process in place for the use of VTP790 form for any change of registration mark.

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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
  • evidence of any 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
3.7.1 Vehicle off road (VOR) policy.
3.7.2 Evidence the vehicle off road (VOR) process to ensure unroadworthy vehicles are taken out of service and returned to service correctly.
3.7.3 Vehicle off road (VOR) identification in conjunction with the scheduling and planning department.

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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
3.8.1 Fifteen months of vehicle and trailer (if applicable) records in conjunction with the sampling of records workbook.
3.8.2 Safety inspection reports to fully comply with the guide to maintaining roadworthiness (GTMR).
3.8.3 Safety inspection reports fully completed in line with the guide to maintaining roadworthiness, including all the necessary signatures.
3.8.4 Fully completed safety inspection records are available and have been reviewed and QA checked by the operator prior to the vehicle being put back into service.

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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
3.9.1 Brake performance assessment policy.
3.9.2 Detail and evidence process used to monitor brake performance results.

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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.

  • 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 of 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
3.10.1 Documented process in place to monitor annual test performance for all vehicles and trailers operated.
3.10.2 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.
3.10.3 If the fleet has 20 or fewer 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.

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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 of records relating to speed limiter issues where appropriate
  • declare a public service vehicle (PSV) does not need a tachograph

Assessment criteria

Subsection Assessment criteria
3.11.1 Process for completion of tachograph exemption declarations for vehicles not fitted or exempt from calibration.
3.11.2 Process to ensure consistent and effective calibration and maintenance of tachograph and speed limiter equipment.
3.11.3 Records are held for calibration and mandatory checks.
3.11.4 Evidence of tachograph repairs in line with legislation (7 days).
3.11.5 Speed limiter maintenance and calibration records detailing repairs where appropriate.

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3.12 Decarbonisation and environmental impact management

Requirements

The operator must understand low emission zones and how they affect the operation.  

Process in place to monitor fuel consumption and environmental impact.  

Process in place to check vehicle telematics reports to ensure systems are working.  

Safety inspections to include checks of emissions control systems to confirm present, and correctly operating.  

Operator to develop and implement long-term plans that reduce environmental impacts, in line with DVSA’s vision to 2030.

Assessment criteria

Subsection Assessment criteria
3.12.1 Decarbonisation and environmental impact policy.
3.12.2 Process in place to ensure only compliant vehicles are used in areas where clean air zones or other environmental restrictions are imposed by government or local authorities.
3.12.3 Robust maintenance and monitoring systems must be in place to ensure the correct operation of any emission control systems.

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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
3.13.1 Wheel and tyre management policy.
3.13.2 Process to ensure drivers and mechanics are trained to recognise and report wheel security and tyre issues.
3.13.3 Evidence the fitting of appropriate tyres, correct pressures are maintained, and tyre age is monitored.
3.13.4 Process to ensure correct tyre storage and disposal if tyres are stored on site.
3.13.5 Evidence the wheel fitting and torquing procedures are documented and followed in line with the policy.

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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 trailers.

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

Assessment criteria

Subsection Assessment criteria
3.14.1 Driver walkaround check policy (can be combined with driver defect reporting policy).
3.14.2 Evidence the training given to members of staff responsible for carrying out driver walkaround checks and defect reporting.
3.14.3 Process to monitor the effectiveness of the walkaround check
3.14.4 Process to ensure fire extinguishers, first aid kits and emergency exits are included in the driver walkaround check.
3.14.5 Give details of the cleaning schedules in place.

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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 will cover all licences

Assessment criteria

Subsection Assessment criteria
3.15.1 Driver defect reporting policy (can be combined with driver walkaround check policy).
3.15.2 Evidence of NIL defect reporting process.
3.15.3 Evidence the effectiveness of the driver defect reporting system.

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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
3.16.1 A robust system in place to ensure notification of vehicle safety recalls are received and rectified as soon as possible.

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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.

  • evidence records of operator compliance risk score (OCRS) encounter history including recurrence of defects for the previous 2 years
  • 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
3.17.1 Prohibitions and safety critical defects policy.
3.17.2 Evidence the monitoring, rectification and investigation of prohibitions received, and safety critical defects (SCD) detected over previous 24 months.

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4. Driver standards

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
  • evidence of missing mileage report from the tachograph analysis system
  • evidence of checks completed to ensure drivers are not using more than one digital driver card

Assessment criteria

Subsection Assessment criteria
4.1.1 Process for management of driver and company digital tachograph cards.
4.1.2 Documented evidence of a register or forward planner for all company and driver card holders within the operation.
4.1.3 Information and training to drivers regarding tachograph cards, manual entries, when to produce a printout.
4.1.4 Process in place for the supply of sufficient print rolls, charts, and logbooks.

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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
4.2.1 Scheduling policy.
4.2.2 Routing policy to include avoidance of bridge strikes.
4.2.3 Process for relaying journey information to the driver in relation to the routes to be taken.
4.2.4 Evidence the effectiveness of the scheduling/routing operations.
4.2.5 Evidence of a reporting procedure to deal with a scheduling or routing conflict.

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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
  • evidence of driver download summary reports
  • evidence of vehicle unit download summary reports

Assessment criteria

Subsection Assessment criteria
4.3.1 Policy for downloading vehicle and driver cards at required frequencies.
4.3.2 Evidence of driver cards being downloaded on at least a 14-day frequency.
4.3.3 Evidence of vehicle units being downloaded on at least a 42-day 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
4.4.1 Process for returning of records – including third-party drivers such as agency, part time or self-employed staff.
4.4.2 Evidence of an effective process.

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4.5 Working time directive (WTD) and monitoring of Great Britain (GB) domestic 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 drivers’ hours.

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

Great Britain domestic drivers’ hours rules apply to most passenger-carrying vehicles and goods vehicles that do not have to follow the EU rules.

For domestic hours only, driver allocation systems (DAS) can be used to record daily and fortnightly rest periods instead of tachograph records.

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

If the operator carries out driving for a different public authority or for a business, and the vehicle is not a public service vehicle with:

  • up to 8 passenger seats – the driver does not need to follow drivers’ hours rules
  • 9 or more passenger seats – the driver must follow EU drivers’ hours rules, unless the vehicle is exempt from EU drivers’ hours law
  • 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
  • drivers’ hours – buses, coaches and minibuses
  • drivers’ hours – GB domestic rules

Assessment criteria

Subsection Assessment criteria
4.5.1 Confirm working time directive (WTD) regulations operating in scope of, including any collective or workforce agreements and opt outs in place.
4.5.2 Process for capturing and monitoring WTD records.
4.5.3 Evidence of working time directive (WTD) data analysis.
4.5.4 Process to monitor working time for occasional mobile workers in scope of EU/AETR drivers’ hours rules.
4.5.5 GB domestic hours’ regulated drivers (if applicable) – process to monitor and record drivers’ duty time and driving hours.

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4.6 Monitoring of EU and AETR drivers’ hours regulations

Requirements

EU drivers’ hours and tachograph rules still apply to journeys within the UK.

From 31 December 2024, AETR rules now apply to all international bus and coach journeys.

Clear understanding of the rules and regulations when driving under EU and AETR drivers’ hours rules.

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

Assessment criteria

Subsection Assessment criteria
4.6.1 Process for monitoring compliance with EU/AETR drivers’ hour regulations.
4.6.2 Detail process used to deal with extended drivers’ hours due to unforeseen events or emergency situations.

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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 to 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
  • drivers’ hours and tachographs: buses and coaches

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
  • sample checks of operator validation procedures
  • identification of appropriate action taken if driving is in scope for EU 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
4.7.1 Tachograph analysis procedure.
4.7.2 Process for recording, storing and collating records for drivers who carry out mixed duties, covered by EU/AETR and GB domestic drivers’ hours.
4.7.3 External analysis - policy for third party analysis of data.
4.7.4 Contractual evidence or agreement between operator and third party provider.
4.7.5 Internal analysis – robust system in place, covering all drivers including agency or ad hoc.
4.7.6 Operator can demonstrate effective management of driver repeat offenders.
4.7.7 Operator can identify most serious infringements (MSIs) and demonstrate effective action taken.
4.7.8 Effective management of driving without a card and unaccounted mileage.
4.7.9 Documented quality assurance checks undertaken on the tachograph analysis (internal or external) system.

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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
  • evidence of actions by the operator in relation to each prohibition or infringement
  • evidence of appropriate remedial action that effectively addresses issues
  • evidence of training or information provided to staff by the operator

Assessment criteria

Subsection Assessment criteria
4.8.1 Tachograph infringement process.
4.8.2 Infringements are identified by the transport department and drivers are debriefed within 28 days of the infringement.
4.8.3 Evidence of drivers being debriefed on infringements signed dated and corrective action taken.
4.8.4 Operator monitoring of infringement patterns and frequency.

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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
4.9.1 Process for monitoring speed limit compliance.
4.9.2 Process when notified of drivers speeding offences - incurred both on and off duty.

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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
  • evidence how records are produced and stored

Assessment criteria

Subsection Assessment criteria
4.10.1 Process in place to store, access and retain records for required minimum periods.

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5. Operation management

There are 13 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
5.1.1 Percentage of the fleet reported electronically.
5.1.2 Process to ensure the maintenance key performance indicators (KPIs) are monitored and correctly reported electronically.
5.1.3 Percentage of drivers reported electronically.
5.1.4 Process to ensure drivers’ hours KPIs are monitored and correctly reported electronically.

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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
5.2.1 Percentage of fleet and drivers reported manually.
5.2.2 Process for monitoring and reporting the maintenance KPIs manually.
5.2.3 Process for monitoring and reporting driver KPIs manually (this could be due to being on domestic hours).

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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.

  • evidence the monitoring and reporting of KPIs is being carried out and any slippage in performance is investigated and rectified

Assessment criteria

Subsection Assessment criteria
5.3.1 Periodic – evidence of the monitoring of any adjustments to data, to account for driver cards being left in vehicle overnight and incorrect manual entries.
5.3.2 Periodic – M5 KPI – evidence of monitoring vehicle and trailer MOT pass rate for the previous 13 periods.
5.3.3 Evidence the operator is effectively monitoring the key performance indicators (KPIs) and action taken to investigate and rectify triggers.

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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 vehicles and trailers.

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
5.4.1 Process in place to log and notify DVSA using the DVSAER 112 form.
5.4.2 Incident and near miss reporting policy.
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.
5.4.4 Customer and public feedback policy.
5.4.5 What information is given and where is it displayed to customers for them to know how to make a complaint?
5.4.6 Customer and public feedback matrix to include investigation outcome.

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5.5 Insurance

Requirements

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

  • evidence to confirm insurance documents are valid
  • minimum cover in line with current legislation (employers’ liability insurance)

Assessment criteria

Subsection Assessment criteria
5.5.1 Documented process to ensure as a minimum, a valid third party insurance is in place for motor vehicles in scope of this scheme, along with public and employer liability insurance.
5.5.2 List any additional insurances held.

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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
5.6.1 Process for renewing vehicle excise duty, ensuring correct revenue rates are applied and duty is paid on all vehicles used on a public highway.
5.6.2 Process for dealing with vehicles that are or will be off the road (SORN).

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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.

  • access to weighing facilities including public weighbridges
  • vehicle details regarding vehicle tare weights and any operational procedures
  • route planner used which includes option to avoid hazards, for example low bridges
  • use of telematics to monitor route taken by the driver
  • how to prevent vehicles from hitting bridges

Assessment criteria

Subsection Assessment criteria
5.7.1 Policy to monitor weight compliance.
5.7.2 Process to ensure vehicles of the correct type, and weight are used in conjunction with the journey to be undertaken.
5.7.3 Evidence of staff training regarding vehicle weight and load distribution.
5.7.4 Policy to monitor height compliance, including the avoidance of bridge strikes.
5.7.5 Evidence of staff training regarding vehicle height awareness to include additional training specifically in relation to bridge strikes.

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5.8 Public Service Vehicles Accessibility Regulations 2000 (PSVAR)

Requirements

Vehicles that can carry more than 22 passengers may need to comply with the Public Service Vehicle Accessibility Regulations 2000 (as amended) to allow access on the vehicle for disabled people. Whether the vehicle must comply depends on its age and how the vehicle is used. In general, the regulations apply to all buses and coaches that can carry more than 22 passengers, first used on or after 31 December 2000 and operating a local or scheduled service.

All means of accessibility and equipment fitted to vehicles should be in a serviceable condition and employees instructed in their use.

Drivers or staff who deal directly or assist with the travelling public should be trained in disability awareness and assistance.

Assessment criteria

Subsection Assessment criteria
5.8.1 Public Service Vehicles Accessibility Regulations (PSVAR) policy.
5.8.2 Where operators must comply with PSVAR regulations, processes are in place to ensure they do not operate vehicles that do not comply with the requirements.
5.8.3 The operator must demonstrate that drivers and other staff who deal directly or assist the travelling public are suitably trained in disability awareness and disability assistance training, as detailed in annex II of regulation EU 181/2011.
5.8.4 The operator must demonstrate that all relevant employees have been trained in the safe use and repair of all equipment associated with the loading of passengers, their luggage, and wheelchairs, where appropriate.

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5.9 Luggage and other stowage

Requirements

Luggage and stowage must be effectively managed to prevent accident, injury, and damage to property.

Assessment criteria

Subsection Assessment criteria
5.9.1 Policy for loading of stowage and luggage.
5.9.2 Details of training given in relation to manual handling, safe lifting, and the storage of baggage in lockers and internal stowage.

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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 vehicles and equipment not covered under the operator licence to a legal standard.

Operator licence holders who use vehicles which are out of scope of operator licencing (for example light goods, small passenger carrying vehicles) should have an appropriate maintenance regime in place to ensure the roadworthiness of these vehicles. Failure to maintain out of scope vehicles may also be taken into consideration by the traffic commissioner.

  • 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
5.10.1 Policy for the management of non-operator licence vehicles, drivers, and equipment.
5.10.2 Process to manage owned, hired or leased vehicles (if applicable).
5.10.3 Maintenance processes in place for non-operator licence vehicles are as robust as those for operator licence compliance.
5.10.4 Robust and effective driver defect reporting and road safety procedures are in place.

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5.11 Agency drivers

Requirements

The operator, 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
5.11.1 Evidence of preferred supplier list and service level agreements held with all driver agencies used.
5.11.2 Evidence of driver assessment and induction training undertaken prior to engagement.
5.11.3 Operator – evidence driving licence, Driver CPC and drivers’ hours compliance checks are carried out on agency and ad hoc drivers prior to start of driving activities.
5.11.4 Process to monitor agency and ad hoc drivers’ working time directive and drivers’ hours compliance.
5.11.5 Auditing and reporting processes within the business and with the agency.
5.11.6 Evidence of the processes used to deal with non-compliant agency drivers.
5.11.7 Process to ensure Disclosure and Barring Service (DBS) checks for England/Wales and Disclosure Scotland checks are carried out by the agency prior to commencement of agency drivers’ duty where required.

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5.12 Sub-contractors and borrowed drivers

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 conditions 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
5.12.1 Evidence of an approved (sub) contractor list.
5.12.2 Process to check that contractual obligations held by the operator are also adhered to by contractors and sub-contractors.
5.12.3 Work related road safety -–contractors and sub-contractors awareness of their shared responsibility.
5.12.4 Evidence of a process to ensure Disclosure and Barring Service checks (DBS) are carried out on contractors, sub-contractors and borrowed drivers, prior to commencement of duty, where required.

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5.13 Hiring or borrowing 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 the vehicle is maintained to the same standard and frequency of their own vehicles
  • vehicles with or without a driver can be hired on a temporary basis for up to 14 days without replacing the discs of the operator that lent them out – this is a special arrangement to cover unforeseen emergencies or peaks in the business where an operator needs more vehicles than they have been licensed to operate
  • operators cannot borrow licence discs from another operator
  • it is a requirement of the DVSA earned recognition scheme that all vehicles are specified on the operator licence prior to use

Assessment criteria

Subsection Assessment criteria
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.
5.13.2 Processes in place to ensure hired or borrowed vehicles above the operator’s authorisation are not used for more than 14 days.
5.13.3 Process to ensure hired or borrowed vehicles are maintained to the same standard and frequency of the operators own fleet.
5.13.4 Full records, including hiring and borrowing agreements effectively managed.

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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 and Bus and coach security: best practice.

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
6.1.1 Security policy – a comprehensive policy and process to counter-terrorism. Guidance: Bus and coach security best practice and countering vehicle as a weapon.
6.1.2 Site security – effective security measures at operating centres and maintenance facilities.
6.1.3 People – unusual or suspicious behaviour by either staff or visitors within the workplace.
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.
6.1.5 Relevant training on reporting procedures from countering vehicle as a weapon.

Guidance – refer to countering a vehicle as a weapon, sections 2, 3 and 4 – vehicle, site and people security, culture and behaviours.
6.1.6 Journeys – evidence of a reporting procedure to deal with unexpected delays or diversions during a scheduled journey.

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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
7.1.1 Recruitment policy.
7.1.2 Evidence of an interview, driving and knowledge assessment during the recruitment process.
7.1.3 Details of company rules, and how they are notified to all drivers.
7.1.4 Documented process to ensure Disclosure and Barring Service (DBS) checks for England/Wales and Disclosure Scotland checks are carried out prior to employment, where required.

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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.

Ensure that all new starters to the business have their CPC qualifications recorded onto the training matrix to ensure all further training is brought in line with the requirements of the business and the individual’s training needs.

  • 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
7.2.1 Process to monitor and check driving licences every three months with a risk-based approach to additional checks.

Logging of penalty points where appropriate.
7.2.2 Compliance with licence conditions, such as corrective eye wear.
7.2.3 Process to monitor and deal with driving licence infringements.
7.2.4 Process in place for drivers to notify employer of driving offences, points, disqualification, loss of licence category or suspension.
7.2.5 Process to monitor Driver CPC cards.
7.2.6 Where there is a contractual obligation for specific Driver CPC courses to be completed, drivers are required to carry proof of completion of the courses.

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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
  • evidence of telematics data where available being used to monitor speed, harsh braking, quick acceleration, fuel efficient driving

Assessment criteria

Subsection Assessment criteria
7.3.1 Details of any driver incentive schemes to promote best practice and safe efficient driving.
7.3.2 Other procedures in place that enhance good driver practices.

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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 investigation procedures
  • methods for disciplinary action

Reference to the national standard for driving buses and coaches should be incorporated into the driver’s handbook.

Assessment criteria

Subsection Assessment criteria
7.4.1 Driver behaviour and standards policy.
7.4.2 Disciplinary policy.
7.4.3 Training and notifications to staff that prevent or prohibit the breaking of any rules.
7.4.4 Process to monitor driver performance.

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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.

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

Training courses taken must include information about vulnerable road users, work-related road safety, rural and urban driving, fuel efficiency and emissions.

Assessment criteria

Subsection Assessment criteria
8.1.1 Policy to effectively promote CPC training and continuing professional development (CPD) for drivers and transport managers.
8.1.2 Training matrix covering all staff members with forward planning to ensure continuous training.

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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 and evidenced, 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
8.2.1 Additional training undertaken by drivers other than Driver CPC.

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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
8.3.1 Process to ensure operational staff training needs are met.
8.3.2 Evidence of relevant training specific to the nature of the operation.

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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
9.1.1 Road traffic legislation and Highway code policy.
9.1.2 Process for notifying staff of road traffic legislation and Highway Code updates.

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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
9.2.1 Work-related road safety policy.

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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
9.3.1 Policy for safe and considerate parking of vehicles away from base.

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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
9.4.1 Drink, drugs (prescription and recreational), and driver health policy.
9.4.2 Evacuation policy.
9.4.3 Evidence of a driver’s medical declaration.
9.4.4 Evidence of random checks and the use of monitoring devices (at the operator’s discretion).

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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
9.5.1 Mobile phone and in-cab technology policy.
9.5.2 Evidence of staff having been notified and trained on the policy.

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9.6 Additional safety equipment

Requirements

  • a policy must be in place regarding the use of additional safety equipment and technology fitted to vehicles, including advanced driver assistance systems (ADAS), for example – audible alerts, cameras, movement and blind spot alerts, blind spot information system (October 2024), moving off information system (October 2024, parking sensors, lane departure warning
  • evidence must be supplied to show training on additionally fitted safety equipment
  • advanced driver assistance systems (ADAS) – all drivers to be familiar with different types of ADAS fitted to vehicles, training must be provided to confirm correct function including reporting of any faults

Where required, fit additional safety equipment such as:

  • audible alerts
  • camera monitoring system
  • side scan cameras
  • emergency doors
  • accessibility equipment

Assessment criteria

Subsection Assessment criteria
9.6.1 Policy for additional safety features fitted to vehicles and use of the equipment.
9.6.2 Instructions and training on the use of additional safety equipment.

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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
9.7.1 Health and safety policy.
9.7.2 Staff fatigue policy.

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9.8 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
9.8.1 Whistleblowing policy.

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9.9 Ensuring the safety of passengers

Requirements

The driver must be made aware of their responsibility to drive in a safe, responsible, and legal manner to ensure the safety of passengers and other road users.

Assessment criteria

Subsection Assessment criteria
9.9.1 Passenger safety policy.

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10. Services provided

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

10.1 Applying and registering for a local bus service

Requirements

Operators must register a service with the Traffic Commissioners for Great Britain if it is available to the public.

Operators must have a process in place to register, cancel or amend services with the appropriate authorities within the specified timescales.

All operators must have systems in place to monitor the punctuality of their local registered services and should either have or be working towards tracking and real time information.

Where required by the regulations, vehicles should comply with Public Service Vehicle Accessibility Regulations (PSVAR).

Where services are subcontracted to other operators, suitable arrangements must be in place to ensure any matters of non-compliance are brought to the attention of the principal operator.

Before operating a service in London, operators must get permission from Transport for London (TfL).

A local service is where passengers are carried at separate fares over short distances. The route can be of any length, as long as passengers can alight less than 15 miles from the point where they boarded the vehicle (measured in a straight line). Most local services operate to a timetable. Local services are generally registered with the Traffic Commissioners for Great Britain.

Operators must maintain the standards detailed in traffic commissioners: local bus services in England (outside London) and Wales across all licences held by the operator within the scheme.

Assessment criteria

Subsection Assessment criteria
10.1.1 Give a brief overview of the type of services the operator provides.
10.1.2 Detail of services offered which are exempt from the requirement to be registered.
10.1.3 Process to ensure notification to the relevant authorities is given at least 28 days before the application is made to the Traffic Commissioners for Great Britain, followed by the statutory notice period of 56 days in Wales and 42 days in England (outside of London) is provided to the traffic commissioner whenever a service is started, varied, or cancelled.
10.1.4 In Scotland the operator will have processes in place to ensure that applications to register, vary or cancel a service are submitted to relevant authorities and that applications will not be submitted to the traffic commissioner until a confirmation notice has been received or 28 days has elapsed, whichever is earlier. A notice period of 42 days must be provided to the traffic commissioner.
10.1.5 Process in place to ensure the timetables are clear, accurate, realistic and achievable.
10.1.6 Where required, operator to be registered under the Bus Open Data Service (BODS).
10.1.7 Management of processes with proactive contingency plans in place to ensure sufficient drivers and vehicles are available.
10.1.8 Process in place to deal with infringements relating to routes or services.
10.1.9 Evidence that any sub-contracted services are effectively managed.
10.1.10 Process in place to ensure additional services other than local bus service work is completed within the appropriate rules and regulations, and where appropriate timetables are adhered to.

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10.2 Flexible services

Requirements

A flexible service is (all of the following):

  • serves one or more local communities or neighbourhoods within a specified geographical area
  • is so flexible that it is not practical to identify all the roads to be used at any given time in advance – there may be fixed sections of the route but most of the journey is flexibly routed
  • is provided primarily to carry passengers who have booked in advance and whose collective requirements determine the route of each journey even though other passengers may also be travelling
  • is where the public pays separate fares
  • is where separate fares are paid that do not vary based on the number of passengers carried on the journey

Where an operator undertakes services other than local bus services, processes should be in place to effectively manage this work.

Flexible bus services can only operate wholly within England and Wales (but not in Scotland).

Assessment criteria

Subsection Assessment criteria
10.2.1 Processes in place to ensure operations are contained within the geographical area stated on the registration.
10.2.2 Booking procedures in place and effectively managed.
10.2.3 Operators and drivers’ awareness of the rules of operating a flexible service.

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10.3 Permit schemes

Requirements

Permits are issued to not-for-profit bodies to enable them to charge for providing transport without the need to hold an operator licence.

Some operators of small vehicles, minibuses and, in a few cases, larger buses are free from PSV operator licensing if they use their vehicle under a permit. These permits let the holder carry fare-paying passengers in restricted circumstances.

There are 2 permit schemes:

  • section 19 of the Transport Act 1985 - standard and large bus permits are issued to not-for-profit groups concerned with education, religion, social welfare, recreation (standard permits only) or other activities of benefit to the community - these services are unable to register local bus services
  • section 22 of the Transport Act 1985 - community bus permits are issued to groups that want to run a local bus service on a non-profit making basis - these services need to be registered

The same legal entity cannot hold both an operator licence and a section 19 or 22 permit under the 1985 Act. This is regardless of whether an organisation is carrying out all services for exclusively non-commercial purposes.

Due to the DVSA earned recognition scheme allowing separate entities to the scheme as one group, this may allow for section 19 and 22 permit holders to be within the scheme without the need for an operator licence.

Processes must be in place to operate services within the rules set by the relevant authority.

Assessment criteria

Subsection Assessment criteria
10.3.1 Give details of work carried out under section 19 permits.
10.3.2 Give details of work carried out under section 22 permits.
10.3.3 Process in place to ensure this work is completed within the appropriate rules and regulations.
10.3.4 Process in place for training and monitoring drivers who drive vehicles under section 19 and 22 permits.

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10.4 International bus and coach services

Requirements

A community licence, issued by the traffic commissioner, must be held to operate a bus or coach service overseas. Authorisations are required from the country or countries on the route.

The documentation required depends on the type of service and which countries the operator wants to operate in.

For regular services, the operator must get permission from the Department for Transport and from the appropriate authorities in the countries being visited.

The operator should be aware of the requirements to run international bus or coach services and tours.

They should have processes in place to monitor them effectively.

Assessment criteria

Subsection Assessment criteria
10.4.1 Type of international services provided.
10.4.2 Where required, process in place to obtain the correct authorisations from the International Road Freight Office (IRFO).
10.4.3 Processes to notify any changes to the service.
10.4.4 Processes to ensure correct documentation is carried on the vehicle for both type of service, vehicle, and driver.
10.4.5 Where required, waybills are completed.
10.4.6 Process in place to ensure trailers used on international journeys are registered.
10.4.7 Processes to monitor and manage cabotage.

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10.5 Bus operator account management

Requirements

Once a service has been registered, the operator is committed to running it in accordance with the registered particulars. Therefore, a system needs to be in place so that checks can be carried out to ensure the service remains punctual and reliable. This may be through, for example, periodic roadside monitoring of the services or collecting performance data electronically.

For cross-boundary Transport for London (TfL) services, it is advisable that TfL performance standards should apply to the whole route, including the section of the route outside London.

  • section 19 permit holders are not subject to bus operator account management investigations, section 22 can be dependent on the service
  • punctuality figures must meet the window of tolerance (1 minute early and up to 5 minutes late) to achieve the 95% target as set by the upper tribunal
  • in the case of frequent services, evidence the service interval to confirm the correct number of buses have departed within any 60 minute period
  • where punctuality compliance figures are below 95%, a public inquiry is likely to be called
  • traffic commissioners: local bus services in England (outside London) and Wales – punctuality standards

Assessment criteria

Subsection Assessment criteria
10.5.1 Details of any punctuality partnership agreements in place.
10.5.2 Detail of the monitoring systems in place to ensure compliance with punctuality requirements of all services.
10.5.3 Current punctuality figures to meet the required standard of 95%.
10.5.4 Documented evidence that analysis of the data takes place and action is taken to rectify any issues found.

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10.6 Bus Service Operators Grant (BSOG)

Requirements

Bus Service Operators Grant (BSOG) is a grant paid to operators of eligible bus services and community transport organisations to help them recover some of their fuel costs.

The amount each bus operator receives is based on their annual fuel consumption.

BSOG claims relate to England only.

All claimants for BSOG are required to maintain and keep accurate records to fully support the figures entered on the claim form.

BSOG is only available on local bus services. Therefore, BSOG should only be claimed where stops, are 15 miles or less apart when measured in a straight line.

Members of the public must be able to purchase a ticket for the service.

Assessment criteria

Subsection Assessment criteria
10.6.1 Which scheme are claims made under the Bus Service Operators Grant (BSOG) scheme?
10.6.2 Documented process in place to ensure the eligibility and exemption criteria is met for commercial and community BSOG schemes.
10.6.3 Details of any additional incentive schemes used.
10.6.4 Evidence the process used to source and collate eligible local service kilometres.
10.6.5 Evidence the process used to source and collate fuel figures.
10.6.6 Ensure all records are stored correctly and held for a minimum of 12 months after the submission of the PSV311.

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