DVSA earned recognition: join the scheme

• Self-assessment checklist - PDF, 105KB, 1 page. This file may not be suitable for users of assistive technology. Request an accessible format.

• DVSA earned recognition application form - PDF, 210KB, 8 pages. This file may not be suitable for users of assistive technology. Request an accessible format.

• Application form guidance notes - PDF, 140KB, 4 pages. This file may not be suitable for users of assistive technology. Request an accessible format.

Arrange an audit

You can have an audit up to 3 months before or 3 months after DVSA receives your application.

After DVSA has your reviewed your application, they may ask for more checks to be carried out. Or, if the application fails to meet the necessary requirements, it may be rejected.

What the audit involves

The auditor will look at:

• the processes involved in your transport management systems
• how you manage them

You’ll be audited against the DVSA earned recognition standard for HGVs or PSVs, depending on which licences you have. There are different earned recognition audit standards for each.

• DVSA earned recognition: audit standards for HGV operator (PDF, 1.75MB, 34 pages)
• DVSA earned recognition: audit standards for PSV operator (PDF, 1.98MB, 34 pages)

You’ll be audited against both standards if you have both types of licence.

Each standard is split into 9 sections.

You will not be audited on section 9 if you do not do these activities.

The documents provided here will explain the:

• standards you should achieve
• level of performance needed to meet the standards

The audit might need to be done at one or more locations, depending on your operating systems, the number of operating centres you have, and your fleet size.

Audit process

On the day of the audit, you need to make sure that:

• all the information the authorised audit provider needs is available
• the transport manager or other responsible person is available
• any questions the authorised audit provider asks can be answered
• the completed audit document is signed

You’ll need to be able to:

• show the systems you have in place to meet the standards
• comply with any requests from the authorised audit provider

Audit sampling

As part of the audit, a sample of your vehicles and systems will be checked.

The audit sampling will be based on these 3 areas of your business:

• vehicles
• drivers
• operating centres

It will take into consideration:

• the type of management system and the area of responsibility
• whether DVSA wants to direct the audit, or ask for specific measures to be checked
• that audits should only be carried out at operating centres that have an administrative or management function
• that where the main site is non-operational, an additional operating centre should be included in the audit
• that the auditor check should include a minimum of one month’s operator analysis and subsequent actions
• that, in addition to the audit at the main operating centre, any audit checks at other operating centres must be rotated at the periodic audit
• that maintenance records should conform with the DVSA Guide to maintaining roadworthiness
• that the sample must be representative of your fleet and include all types of vehicles and trailers across your vehicle age range
• that audit checks must be sampled across all types of maintenance providers: for example, manufacturers, independents and in-house providers
• sampling from each operator licence

Vehicle fleet size and driver record sampling table

Operating centres sampling table

After the audit

1. Make sure you’ve signed the completed report

2. The auditor will send you the results of the audit, and send a copy to DVSA.

3. DVSA will decide whether you’ve met the standard to join the scheme and will tell you its decision.

4. If there are issues that can be put right within a month, you’ll be given the opportunity to do so.

5. If you cannot deal with any issues in that timeframe, DVSA will reject your application and tell you the reasons why. You may reapply in the future and DVSA will reconsider their initial decision.

How to appeal

You can appeal an application and audit outcome by emailing:

[email protected]

You need to make the appeal within 14 days of the original decision.

When making the appeal you must include:

• detailed reasons for the appeal
• any documentary evidence that backs up your appeal

Any decision to refuse or remove earned recognition accreditation will be put on hold once DVSA have received your appeal.

Appeal review

DVSA will use all the information you provide when considering the appeal.

DVSA can:

• request additional information
• ask you for clarify information
• ask you to complete certain actions

As an operator, you must cooperate with any requests made.

Your appeal outcome

DVSA will make a decision on your appeal within 28 days of receiving it. The appeal can take longer if there has been a delay in:

• providing additional information
• providing clarifications
• completion of required actions

You’ll be told the appeal outcome in writing within 7 days of DVSA making the final decision.

You cannot make any further appeals.

When you’ve joined the scheme

Marketing and publicity

As an earned recognition operator you’ll:

• be able to use the marque for marketing and publicity purposes
• appear on a list of approved operators on GOV.UK

Read the guidelines on the use of the marque to find out more

Monitor your performance

Your IT system will automatically measure and monitor the KPIs, which will help you manage your business.

All KPIs are measured over 4-week periods, which start on a Monday and end on a Sunday. This is known as a ‘KPI measurement period’.

The KPIs are reported at the end of the period and are sent to DVSA 4 weeks later.

Example A measurement period runs from Monday 8 October 2018 to Sunday 4 November 2018. The KPIs are measured on Monday 5 November 2018 and are reported to DVSA on Monday 3 December 2018.

About the KPIs

You should be able to achieve the KPIs, no matter what size your fleet is.

To be sure that the KPIs are realistic, DVSA analysed over 1.5 million historical records on vehicle test results drivers’ hours infringements fleet size.

There are 2 sets of KPIs - maintenance and driving activity.

Maintenance KPIs

Driving activity KPIs

If you report less than 25 tachograph days in a measurement period, the KPI will be no more than one offence in the period.

Alerts you’ll get

When you’ve missed a KPI, but not by enough to send a trigger to DVSA, your systems will alert you. This will let you take action to stop it happening again.

There are 3 levels of alerts.

Automatic triggers to DVSA

Grey alerts will automatically be reported to DVSA at the end of the measurement period.

KPI automated trigger to DVSA

DVSA will be automatically alerted when an operator:

• consistently fails to meet a KPI
• exceeds the KPI tolerance

DVSA will be alerted if any of the criteria for both maintenance and drivers’ hours are not met:

• over three rolling KPI measurement periods, the operator fails to meet any one of the key performance indicators three times by less than one percentage point
• over three rolling KPI measurement periods, the operator fails to meet any one of the key performance indicators twice by one percentage point or more
• during any KPI measurement period, any key performance indicator is exceeded by two percentage points or more
• over 13 rolling KPI measurement periods, any key performance indicator is exceeded more than four times
• a driver has infringed in three consecutive KPI measurement periods

Keeping your earned recognition operator status

Monitoring

The key performance indicators are used to measure your ongoing compliance.

The trigger points are used to indicate when you’re not meeting the key performance indicators.

The key performance indicators and trigger points are set by DVSA.

The system will notify DVSA when you miss a KPI by more than the acceptable amount.

The key performance indicators are measured on a 4 weekly basis.

Periodic audit

As an earned recognition operator, your business must be audited every 2 years. This must be done by a DVSA authorised audit provider. But, if there are any issues with your performance, DVSA may ask you to arrange one sooner.

The DVSA authorised audit provider may charge for this service.

If you have a concession, you’ll need a partial audit every year.

As an operator, you need to make sure that the audit is carried out to the agreed timescales. It must be completed:

• no more than three months before the 2nd anniversary date of entry into the scheme
• no later than 2 years after the anniversary date of entry into the scheme

Example If you were accredited as an earned recognition operator on the 15 September 2018, the:

• earliest you can do the audit is the 15 June 2020
• latest you can do the audit is the 15 September 2020

• latest you can do the audit is the 15 September 2020

Audit outcome

The outcome of your audit will be either:

• standards met
• standards not met

Standards met

This means that you remain in the scheme as you’ve met all the standards set out in the audit and DVSA have agreed with the audit.

Standards not met

This means that you’ve not met all the standards set out in the audit and DVSA have agreed with the audit.

What action DVSA takes next will depend on how far you’ve failed to meet the standards.

When you do not meet earned recognition standards

When you are not meeting the standards, such as:

• a key performance indicator has not been met and an alert is triggered
• compliance issues have been identified
• standards not met at periodic audit

DVSA will discuss the issues with you and consider all the known circumstances. They can use discretion when deciding what to do next. The action they take will depend on the seriousness of the issues.

In most cases, you’ll be given the opportunity to resolve any issues. The action taken may be:

• a desk-based assessment that may include a request for information
• a discussion at the operator’s request
• a discussion started at DVSA’s request - they will ask for more information, data and explanations
• an improvement action plan which may include a further audit
• removal from the scheme

Leaving the scheme

If you leave voluntarily

Membership of the DVSA earned recognition scheme is completely voluntary. You can leave at any time. All you have to do is give at least 7 days’ notice.

But, it does mean you’ll:

• be removed from the published list of accredited operators
• no longer be entitled to the benefits of being an earned recognition operator

If you’re refused entry to or removed from the scheme

Operator behaviour

DVSA can refuse entry to the scheme or remove membership if it thinks the scheme’s credibility could be damaged by:

• an operator
• anyone working for or on their behalf

Failure to meet the scheme standards

You may be removed from the scheme if you fail to meet standards. For example, if you:

• fail to complete a periodic audit within the timeframe
• do not provide access to your maintenance systems and data
• are not able to achieve the KPIs
• are continually non-compliant and do not improve

The removal process

If you’re removed from the scheme, DVSA will: give you 28 days’ notice and tell you the reasons why.

DVSA will not be liable for any of your costs resulting from your removal from the scheme.

You can appeal against the decision if you want to.

Source: Driver and Vehicle Standards Agency

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