DVSA – Change is Coming
Back in July of 2015 we wrote about the DVSA proposal to change the way they carry out enforcement. In April 2017 more details of this new strategy were released as the pilot scheme got underway. We provided an update at the bottom of this post to explain a little more about the earned recognition scheme. Now we thought it best to write a new post to explain exactly what this means to the average operator.
If you haven’t already read the post mentioned above, which went into detail on how the DVSA planned to change the enforcement model from the current model to a model which focused on remote monitoring and reduced roadside inspections for compliant operators, I suggest that you do so first.
How will remote monitoring work?
There will be two measures of compliance used by the DVSA to determine where you fit as an operator within their bands of operator culture.
KPI Monitoring – The DVSA have proposed KPI’s which if triggered will prompt investigation. KPI’s have been set for drivers hours’ infringements and maintenance records. A dashboard report for each must be automatically sent to the DVSA every 4 weeks (this is referred to as a reference period).
Audits – An initial order will be required to gain earned recognition and then every 2 years a periodic audit will be required to keep your recognition status. These audits will ensure that the KPI’s have been reported accurately.
What are the KPI’s?
So starting with the KPI’s you will need a system in place which collates, analyses and sends dashboard reports every 4 weeks. The system will also need to trigger alerts to the DVSA whenever a KPI is exceeded.
Drivers Hours KPI’s have been tied in with the penalties that each offence would attract. For example offences that would attract a band 1 penalty will have a KPI of 1.3% whereas those offence that would attract a band 4 penalty are set at 0.7%. All records must be included and over the 4 week period if a driver have any offences which trigger a KPI then the DVSA will be informed automatically and can take action. There are a number of other KPI’s such as overall infringements and missing mileage which will also trigger actions. If you want to learn more about the current KPI’s please arrange to speak with one of our consultants. Call the office on (0191) 491 5032 to arrange an appointment.
Maintenance KPI’s are pretty simple, you can’t have any missing safety inspection records, each safety record must be fully complete and the vehicle or trailer must be signed off as roadworthy, all safety inspections must be completed within the agreed frequency and not a day later, any defect report that has a defect related to road safety must have been actioned and signed off. These all have a KPI of 100% so everything must be perfect of it will trigger an action.
Finally vehicles and trailers must pass MOT’s first time at least 95% of the time
In addition to the KPI’s mentioned there are also a number of automatic triggers which will result in a notification being sent to the DVSA to investigate.
- If any individual KPI is failed by less than 1% three times in three rolling periods, which would be 12 weeks
- If any individual KPI is failed by 1% or more in three rolling periods
- If any KPI is exceeded by 2% or more even once
- If a driver continues to have infringements in three consecutive periods
- If any individual KPI is exceeded 4 times in a rolling year or 13 periods
Any of these will trigger an instant alert to the DVSA
What happens if you don’t hit a KPI?
Each operator will have a dedicated account manager who will receive the automatic reports every four weeks and the instant trigger alerts whenever a KPI has been failed. In the first instance the account manager will contact you to discuss the failings and request specific actions to be taken and evidence to be provided.
Should the account manager be unsatisfied with the actions or when a KPI is failed multiple times they can demand an audit is completed, an inspection is carried out or even refer you to the Traffic Commissioner.
How to monitor and report the KPI’s to the DVSA
In order for operators to provide the data required to the DVSA operators will need to invest in a suitable IT system and keep it updated with the relevant records to ensure they remain compliant.
The system will need to manage records, create alerts, send dashboard reports and automated triggers.
For most operators the cost of having such a system developed will be out of the question so they will need to use a third party system in order to comply. There are a number of Transport compliance specialists like Chartwise who have developed and are currently testing an IT system in preparation for this change.
How will the Audits work?
As mentioned earlier as well as KPI’s there is a requirement for both an initial audit and then periodic audits every 2 years. These audits are carried out by pre-approved providers and will be conducted to set DfT standards. The cost of the audit will fall on the operator however the auditor will be directed by the DVSA who may request the auditor to focus on specific areas, drivers or vehicles if necessary.
What will the Audits cover?
The standard audit will cover:
- Operator Licencing
- 2.The Transport manager
- 3.Vehicle Standards
- 4.Drivers hours
- 5.Operational Management
- 6.Driver Management
- 7.Training and Driver Behaviour
- 8.Driver related policies
- 9.ADR (if applicable)
If you want to learn more about the audit standards and exactly what is required for each please arrange to speak with one of our auditors. Call the office on (0191) 491 5032 to arrange an appointment.
What you will need to do?
When the scheme launches (currently expected Spring 2018) you will need to be ready to pass the initial audit. In order to do so you will need at least 6 months history which complies with the expected standards as this is what the auditor who comes to conduct the initial audit will be looking at.
You will also need to have an IT system in place which is capable of reporting the KPI’s and trigger events as required by the DVSA.
The DVSA have said that it will not be compulsory for operators to join the scheme however any operator who does not join the scheme will be assumed to be a ‘Potential Rule Breaker’ and therefore will have regular roadside inspections and investigations.
If you want to learn more about the DVSA Earned Recognition Scheme and exactly what is required for your operation please arrange to speak with one of our consultants. Call the office on (0191) 491 5032 to arrange an appointment.