Pre-audit guidance notes

For the industry, by the industry

Promoting best practice standards

Open to all van operators

Van Excellence

www.vanexcellence.co.uk

Pre-audit guidelines and advice

Raising standards, recognising excellence

2 Van Excellence: Pre-audit guidelines and advice

Contents

Introduction 3

Scope 3

The accreditation process 3

Overview 3

Next steps 3

What ‘evidence’ are our auditors looking for? 4

After the audit 4

Van Excellence logo 4

Media and PR opportunities 5

Appendices

1: The Van Excellence Code and the evidence our auditors will look for 6

2: Process map 15

3: Checklist 16

Van Excellence: Pre-audit guidelines and advice 3

Introduction

Van Excellence is an industry driven programme designed to raise operational standards and recognise excellence.

At the heart of the programme is a comprehensive and practical Code of Excellence defining the minimum standards of practices required to be accredited as a Van Excellence operator.

The Code of Excellence has been developed and facilitated by FTA with some of the best UK van operators drawn across all categories of operation. The ongoing development of the code lies with its Governance Group which consists of a similar wide range of excellent van operators. If you’re interested in joining this group, please let us know.

A copy of the code and a list of the Governance Group members can be found at www.vanexcellence.co.uk

Scope

Van Excellence is open to all van operators regardless of type or size of operation.

Operators may seek accreditation for their whole organisation or for specific divisions/operations; for example a local authority may opt to seek accreditation for its Parks Department but not its Direct Labour Division. Similarly, a national operator could choose to accredit each of its regional operation separately.

Please note there will be an audit fee for each division requiring accreditation.

For the purposes of Van Excellence, a van is defined as a commercial vehicle up to 3.5t gvw, although operators of heavy vans up to 7.5t gvw may choose to include those vehicles in the scheme.

The accreditation process

Overview

Van Excellence requires operators seeking accreditation to pass a procedural audit. This initial audit must be performed as soon as is practical but within at least 90 days of your application to join the scheme. Once passed,

this accreditation remains valid for one year from the first audit. We will contact you at least eight weeks ahead of the anniversary date to arrange for re-accreditation.

Should operators fail to reach the required standard during this process, FTA will provide feedback on the areas of non-compliance and advice on how the required standards can be achieved. Unsuccessful applicants may select to undergo a re-audit on those failing items within 90 days of the first audit.

If this is also unsuccessful, the Governance Group may, in the light of exceptional circumstances, allow for a final re-audit within a further 90 days of the second audit.

Applicants may only refer to being accredited once they have been successfully audited. During the process they will be awarded a probationary status and may refer to themselves as such. The Van Excellence logo may only be used once the audit process has been successfully completed and its use must be discontinued if operators leave the scheme.

Van Excellence accredited operators will have their details listed on a public register which will include company and, if required, ‘division’ name and company logo. It will not provide any further contact details. Operators may choose to be excluded from this register whilst at a probationary level prior to a successful audit.

Next steps

Now you’ve taken the first step towards Van Excellence accreditation, what will happen next?

The accreditation audit is a procedural one; it is entirely concerned with your organisation having the right procedures and systems (‘arrangements’) in place to ensure all involved with the van operations understand their duties and obligations. As such, our auditors will need to see evidence that these ‘arrangements’ are in place and being practised (‘compliance’). This document will explain the kind of evidence our auditors will be looking for.

Firstly, we will need a complete list of your vans and drivers for the organisation or ‘divisions’ seeking accreditation. We need this to select the vehicle and driver records we will view during the audit to establish performance of the

Introduction


required ‘arrangements’. We will identify 10 driver and van records to be viewed at the audit and it is the operator’s responsibility to make these selected records available on the agreed date and location. These lists will not be used by us for any other purpose and will be treated as entirely confidential.

These lists should identify vans and drivers for each ‘division’ seeking accreditation (see ‘Scope’). They should ideally be supplied to us in Excel format and sent to [email protected] clearly identifying your organisation (and, if required, ‘division’).

For the driver list we will require first and last names. For the vehicle list we will require registration number and age/year of registration. Please contact [email protected] if you have any queries regarding this process.

Once received, we will confirm the records selected and contact you to agree a date and location, for the initial audit.

Please note that as this is a procedural audit it need not take place at a vehicle operating location, provided the required records are made available.

We will require at least 48 hours’ notice of any amendment to date or location of audit once agreed. Failure to provide this notice may result in you being charged.

What ‘evidence’ are our auditors looking for?

Our auditors will be seeking evidence that demonstrates you have systems and processes (‘arrangements’) in place to meet the standards defined by Van Excellence. This will include evidence in, for example, driver handbooks, transport policy documents, driver inductions etc, that all involved are required to carry out the processes defined.

Having established that these arrangements are satisfactory we will also check evidence of their performance.

Appendix 1 seeks to provide some broad guidance into the type of evidence you may wish to provide. This should be provided for the drivers and vehicles requested by FTA as described earlier under ‘Next steps’.

After the audit

We will contact you within 14 days of the audit to let you know whether you have been successful or if remedial work is required.

Our auditors will send you a report detailing their findings and advising of any non-compliance, along with best practice advice on how to address these issues.

Successful organisations will receive a Welcome Pack including your Certificate of Accreditation, sample vehicle stickers, sample FTA drivers’ handbook, press support and branding guidelines. They will also be listed on the Van Excellence website as a Van Excellence accredited operator.

Unsuccessful organisations will be given the opportunity to seek a re-audit of the non-compliant elements within 90 days of the original audit.

Van Excellence logo

We hope that all operators reaching the Van Excellence standards are proud of their achievement and their commitment to excellence.

All Van Excellence operators are encouraged to make use of the scheme’s logo on their company literature, letterheads, websites etc. Our straightforward branding guidelines will demonstrate how the logo can be used. Please call Shopfta for details.

External vehicle decals are available from Shopfta to accredited Van Excellence operators and are available as standard with a white logo on clear vinyl, black logo on clear vinyl and black logo on white vinyl. These decals are 210mmx148mm (A5 size).

We can also supply internal windscreen stickers in white vinyl with a black logo. These stickers are 148mmx105mm (A6 size).

We can also supply, subject to order quantity, these decals in your corporate colours if required. Please contact Shopfta on tel: 08717 11 11 11, or email: [email protected] for further details.

Operators wishing to source their own decals or include the logo in any vehicle wrap should contact us on [email protected] for details of our licence agreement.

The Van Excellence logo is a registered trademark and can only be used by accredited Van Excellence operators.

Introduction


Media and PR opportunities

Van Excellence represents a significant opportunity to demonstrate to the public and legislators that van operators are vital to the success of the UK’s economy and they do take great pride on their excellent operational standards.

FTA’s press and media team will be making every effort to publicise Van Excellence and would welcome the opportunity to work with successful applicants to maximise these efforts.

In particular, we would encourage operators to let us know of any newsworthy best practices or operational measures they may have. We are keen to work with your own press/media teams to capitalise on these opportunities especially within the specialised trade press for your industry.

Please contact our media team at [email protected]


The following table identifies the requirements of each element of the Van Excellence Code with a description of the evidence our auditors will be seeking to satisfy themselves of compliance. This is not an exhaustive list. Please demonstrate to our auditor any alternative processes which you feel satisfy the requirements.

The Van Excellence Code requires What our auditors will be looking for

1 Vehicle related undertakings1.1 Vehicle roadworthiness1.1.1 Pre-use defect inspection

Accredited organisations undertake to ensure all vans in their operation are roadworthy and specifically require the performance of regular pre-use defect checks. Drivers must record any identified defects, these defects must be assessed by a competent person and, where required, the appropriate rectification work is carried out. A clear audit trail must be maintained to demonstrate this process is being satisfactorily performed. Drivers must be trained to carry out these checks

There are a number of separate elements our auditors will be examining.

Requirement for pre-use checksThe organisation should supply evidence that drivers are required to carry out checks. This can include:

driver handbook inclusion ✓

memo sent to all drivers ✓

poster seen by all drivers in canteen etc ✓

requirement in job specification or contract of employment ✓

instruction to drivers at the recruitment and induction stage ✓

company operational manuals ✓

voluntary ‘nil’ daily/on vehicle change completed defect sheets ✓

One, all or a combination of the above will be acceptable.

Recording of faultsThe organisation should supply evidence that all faults are recorded. This can include:

completed defect sheets showing faults ✓

completed report from handheld electronic portable defect recording devices ✓

alternative vehicle defect record, such as central office register made from driver verbal report ✓

vehicle defect record register (spreadsheets) ✓


Rectification of faultsThe organisation should supply evidence that faults are rectified. This can include:

completed and signed defect reports to show remedial work carried out (reports should be signed by ✓

individual who carried out the repair or their manager)workshop job cards that match the original defect ✓

parts invoices ✓

updated wallchart showing rectified faults ✓

updated fault register ✓

outsourced maintenance providers repair invoices ✓


Competence of drivers to carry out checksThe organisation should supply evidence that drivers are competent to carry out checks. This can include:

external or in-house training records. These should be dated, contain details of the drivers and instructors ✓

involved and the content of the coursedriver access to training material, eg instructional DVD, driver handbooks, company instructional manuals, posters etc ✓

signed confirmation by driver that the driver has received and understood instructional/training material ✓

completed written test papers ✓


Competence of assessorsThe organisation should supply evidence that assessors are competent to assess. This can include:

external or in-house training records on assessing vehicle defects (eg FTA, VOSA). Relevant training could include ✓

understanding VOSA Categorisation of Defects manual together with VOSA Enforcement Sanction policyaccess to competent colleagues or a professional body (such as the FTA Member Advice Centre) to assist in ✓

the assessmentspecific manufacturer or equipment training records ✓

mechanical vehicle engineering qualification ✓

record of on job experience ✓

One, all or a combination of the above will be acceptable

Appendix 1 The Van Excellence Code and the evidence our auditors will look for




1.1.2 Maintenance cycles

Accredited organisations undertake to assess and perform the appropriate maintenance cycles for their vehicles and any ancillary equipment in light of operational demands and manufacturers recommendations. Manufacturers recommended service levels will equate to minimum acceptable standard. They will also undertake to plan vehicle use to accommodate these requirements


Assessment of appropriate van maintenance cyclesThe organisation should supply evidence on the assessment of the appropriate maintenance cycle for their vehicles. This can include:

internal communication on assessment of inspection frequencies (emails, letters, meeting records etc) ✓

information from vehicle manufacturers on recommended maintenance cycles (if these are followed or enhanced). ✓

This could include the use of onboard service indicators, which could be evidenced by vehicle handbookinformation from Guide to Maintaining Roadworthiness on recommended maintenance cycles (if these are ✓

followed or enhanced) external maintenance provider’s recommendations in writing of maintenance cycles in light of operation (if ✓

these are followed or enhanced)record of in-house workshops assessments of vehicle maintenance requirements ✓


Note: it is not the role of the auditor to determine that the conclusions of the assessments are acceptable, unless there are clear and obvious omissions or problems with the process.

Are vans maintained in accordance with these stated cycles? The organisation should supply evidence that vehicles are maintained to the organisation’s stated cycles. This can include:

outsourced maintenance provider service contract outlining vehicle maintenance intervals, together with ✓

maintenance records and invoiceselectronic access to maintenance planners (fleet management software) and records ✓

dated maintenance planner (wallchart) together with maintenance records (job cards, invoices etc) ✓

in-house workshop maintenance records (internal process such as planner in spreadsheet format accessed by ✓

workshop and vehicle user)vehicle maintenance electronic calendar reminders to ensure vehicle is available for maintenance, together ✓

maintenance recordsrecord of vehicle maintenance triggered by on-board service indicators, such as service records and invoices ✓

completed vehicle service/maintenance books stamped and authorised by the maintenance provider whether it ✓

is internal or externalcopies of vehicle and maintenance service invoices ✓

completed in-house workshop job-cards/records ✓

updated vehicle maintenance and servicing schedules on spreadsheet format ✓

independent checks of maintenance records by an outside auditor (FTA VIS inspection) ✓


Assessment of appropriate maintenance cycles for any ancillary equipmentAncillary equipment can include tail lifts, cranes etc. The organisation should supply evidence on the assessment of the appropriate maintenance cycle for their equipment. This can include:

internal communication on assessment of inspection frequencies (emails, letters, meeting records etc) ✓

information from equipment manufacturers on recommended maintenance cycles (if these are followed or enhanced) ✓

this could include the use of onboard service indicators, which could be evidenced by equipment handbookinformation from relevant Government agency on recommended or required maintenance intervals (if these ✓

are followed or enhanced). For example, the HSE codes of practice for Provision and Use of Work Equipment (PUWER) and Lifting Operations and Lifting Equipment Regulations (LOLER)external maintenance provider’s recommendations in writing of maintenance cycles in light of equipment and ✓

operation (if these are followed or enhanced)record of in-house workshops assessments of equipment maintenance requirements ✓


Is any ancillary equipment maintained in accordance with these stated cycles? The organisation should supply evidence that vehicles’ ancillary equipment is maintained to the organisation’s stated cycles. This can include:

outsourced maintenance provider service contract outlining equipment maintenance intervals, together with ✓

maintenance records and invoiceselectronic access to maintenance planners (fleet management software) and records ✓

dated maintenance planner (wallchart) together with maintenance records (job cards, invoices etc) ✓

in-house workshop maintenance records (internal process such as planner in spreadsheet format accessed by ✓

workshop and vehicle user)vehicle maintenance electronic calendar reminders to ensure vehicle/equipment is available for maintenance ✓

record of equipment maintenance triggered by on-board service indicators, such as service records and invoices ✓

completed equipment service/maintenance books stamped and authorised by the maintenance provider ✓

whether it is internal or externalcopies of maintenance service invoices ✓

completed in-house workshop job-cards/records along with relevant invoices ✓

updated equipment maintenance and servicing schedules on spreadsheet format ✓

independent checks of maintenance records by an outside auditor (FTA VIS inspection) ✓





1.2 Safe working environment1.2.1 Risk analysis

Accredited organisations must demonstrate that the use of vehicles, associated equipment and working practices have been subject to a documented risk analysis

The organisation should supply evidence that a risk assessment is carried out on the use of their vans. As risk assessments are often task-based, rather than vehicle-based, this may be a generic risk assessment covering many employees/vehicles. This can include:

written risk assessment report(s) ✓

risk assessment(s) lodged electronically ✓



1.2.2 Loading requirements

Accredited organisations must demonstrate vehicles are equipped in such a manner to allow for loads to be carried in a safe and legal manner

The organisation should supply evidence that vehicles are equipped in a manner to allow for loads to be carried in a safe and legal manner.

In the case of vans used as mobile workshop, a vehicle manifest is required. The manifest must include the loading specification of tools and materials carried. Generic manifests for similar vehicles and operations, rather than one per vehicle registration, would be acceptable.

1.2.3 Driver/passenger protection

Accredited organisations must be able to demonstrate that they have identified the appropriate driver and passenger protective equipment/vehicle specification including consideration of the requirements for load restraint equipment, vehicle racking and bulkheads.

Note: all new vans first operated from the date of accreditation are required to have steel bulkheads

Existing vehiclesThe organisation should supply evidence that a proper assessment of appropriate driver and passenger protective equipment is carried out. This can include:

internal or external risk analysis identifying the load carried and appropriate load restraint to be specified ✓

internal or external health and safety risk assessment which includes identifying the load carried and ✓

appropriate load restraint to be specifiedspecialist advice from reputable equipment providers on the fitment and use of protective equipment ✓

(research, equipment manuals, email, letter, report etc)use of safe loading in vans guides and DVDs from specialist bodies (eg FTA/HSE) ✓

documented consultation with drivers who will be using the vans and assessing the appropriate protective ✓

equipment relevant to the operation



New vehicles The organisation should supply evidence that all new vehicles are installed with appropriate driver and passenger protective equipment. The equipment can include such equipment such as load restraints, vehicle racking and bulkheads. The evidence can include:

copies of vehicle/equipment specification and appropriate load restraint system that matches requirements ✓

identified in assessmentcopies of vehicle order forms identifying appropriate protective equipment that matches requirements ✓

identified in assessment copies of vehicle delivery forms signed by relevant person who checked the vehicle and cross checked it ✓

against the vehicle specification requirements showing that the appropriate protective equipment matches requirements identified in assessment

This will only affect new vehicles added to the fleet following accreditation to the Van Excellence Code.

1.2.4 Carriage of external loads (if applicable)

Accredited organisations undertake to equip all vehicles with suitable equipment to carry any required external loads in a secure and safe manner

The organisation should supply evidence that all external loads are secured safely using appropriate equipment. This can include:

internal or external risk analysis identifying the load carried and appropriate load restraint to be specified ✓

together with copies of vehicle specification data showing that the appropriate load restraint system for the load to be carried is suitable (eg weights dimensions)access to specialist advice from reputable equipment providers on the use of equipment together with copies ✓

of vehicle specification data showing that the appropriate load restraint system for the load to be carried is suitable (eg weights dimensions)documented gate checks ensuring all external loads are secured using appropriate equipment (as indicated in ✓

documented assessments etc)independent safety check reports (internal or external) stating that all load equipment is in good working order ✓

and appropriate to the load being carried





1.2.5 Speed limiters

Accredited organisations must ensure, where technically feasible, all existing vans are fitted with speed limiters set to no more than 70mph.

Note: all new vans first operated from the date of accreditation are required to be fitted with speed limiters set to no more than 70mph

New vehiclesThe organisation should supply evidence that all new vans are speed limited to at least 70mph from the date of accreditation. This can include:

vehicle specification, order forms or other correspondence with supplier (eg email, letter etc) requiring new ✓

vehicles to be limited to at least 70mphdelivery notes checked and signed confirming that the vehicles speed has been set to at least 70mph ✓

company procurement policy stating that all new vehicles must be limited to at least 70mph ✓


Existing vehiclesThe organisation should supply evidence that all existing vans are speed limited to at least 70mph where technically feasible. This can include:

written company vehicle policy stating that all vans where technically possible are speed limited to at least 70mph ✓

internal list of vehicle van fleet that have the technical ability to be speed limited to at least 70mph together ✓

with list of vehicles that have been speed limited and list of vehicles to be limited if technically feasibleconfirmation from workshops that vehicles have been speed limited to at least 70mph, copies of job cards, ✓

invoices, worksheets etccorrespondence with dealer, maintenance provider or workshop (eg email, letter etc) confirming vehicles ✓

limited to at least 70mph


1.2.6 Towing vehicles (if applicable)

Accredited organisations must be able to demonstrate that only vehicles specifically adapted or constructed are used for towing. These vehicles must be designated and appropriately specified for this function

Designation of vehicles The organisation should supply evidence that only designated vehicles are used for towing. This in summary will be designated vehicles record (written or electronic record) together with evidence on how this is communicated to drivers and managers. This can include:

written company policy (driver handbook/ operational manuals) to drivers informing them that only designated ✓

vehicles are used for towing and how they will be identifiedvisual identification on vehicle that informs driver that it is a designated vehicle used for towing ✓

wallchart with a list of designated vehicles used for towing in an area that drivers/managers have access to ✓

separate key cupboard for designated towing vehicles to ensure that correct key has been given to driver ✓

vehicle assignment book confirming they are using only a designated vehicle for towing ✓

evidence of gate checks ensuring only designated vehicles are used for towing ✓


Suitability of towing vehiclesThe organisation should supply evidence that designated vehicles are adapted/constructed for towing. This can include:

full list of designated vehicles identifying which vehicles are adapted and constructed to tow and that they are ✓

equipped with the appropriate towing attachments (ball/pin etc)copies of vehicle or equipment specification and appropriate towing equipment/capability ✓

copies of vehicle or equipment order forms identifying appropriate towing equipment/capability ✓

copies of vehicle or equipment delivery forms signed by relevant person who checked the vehicle and cross checked ✓

it against the vehicle specification requirements showing that the appropriate towing equipment/capabilityworkshop documentation confirming fitment of suitable equipment to designated vehicles ✓

Note: it is not the role of the auditor to determine what is or is not an appropriate adaptation or construction, unless there are clear and obvious omissions or problems with the process evidenced.


1.3 Vehicle standards1.3.1 Vehicle appearance

Accredited organisations must demonstrate that their vehicles required to be kept clean and tidy.

This standard must be interpreted as appropriate to the nature of the vehicles operation

The organisation should supply evidence that they require vehicles to be kept clean and tidy. This can include:

written company vehicle policy stating that all vans are kept clean and tidy ✓

posters in driver reception/canteen ✓

memo to drivers ✓

driver handbooks/operational manuals ✓

in cab stickers reminding drivers to keep vehicles clean and tidy ✓

documented random vehicle checks to ensure vehicles are clean and tidy ✓

included as an item on the driver’s defect book ✓



1.3.2 Vehicle taxation

Accredited organisations must be able to demonstrate appropriate processes are in place to ensure vehicles are taxed correctly

The organisation should supply evidence that they have a process to ensure vehicles are taxed. This can include:

instruction to drivers as part of their walk round check includes checking that the vehicle is taxed before use ✓

on public road




included as an item on the driver’s defect book ✓

wallchart planner with vehicle taxation renewal dates ✓

diaries or electronic calendar (eg Outlook) reminders of tax renewals ✓

spreadsheet or database of VED renewals ✓


1.3.3 Vehicle insurance

Accredited organisations must be able to demonstrate appropriate processes are in place to ensure vehicles are insured correctly

The organisation should supply evidence that they have a process to ensure vehicles are insured. This can include:

visual check of the original company vehicle insurance certificate ✓

wallchart planner (or equivalent) with vehicle insurance renewal dates ✓

communication with insurance provider that adequate vehicle insurance cover is maintained at all times ✓

written confirmation from organisation that they are self-insured ✓


1.3.4 Vehicle MOT testing (if applicable)

Accredited organisations must be able to demonstrate appropriate processes are in place to ensure vehicles are (if required) MOT’d

The organisation should supply evidence that they have a process to ensure vehicles are MOT’d. This can include:

visual check of MOT certificates. (Hard or electronic copies) ✓

wallchart planner (or equivalent) with vehicle MOT renewal dates ✓

communication with in-house or outsourced maintenance providers that all vehicles are MOT’d prior to expiry ✓

of current MOTdiaries or electronic calendar (eg Outlook) reminders of MOT renewals ✓

spreadsheet or database of MOT renewals ✓


1.4 Vehicle administration1.4.1 Record keeping and retention

Accredited organisations must be able to demonstrate appropriate records are maintained for at least the previous 15 months and these records can be made available for viewing as required by the Code auditing process

The organisation should supply evidence that they have records to support the requirements of the Van Excellence Code for at least 15 months. This can include:

access to vehicle inspection reports, service records, service books, driver defect reports, vehicle check sheets, ✓

evidence of rectification of defects reported by drivers or maintenance providers, administration record files to support the VE audit processpre-audit request list of vehicle and driver records presented at audit along with the relevant files to support ✓

the audit process (hard or electronic copies acceptable)access to stored records made available for inspection at an agreed location and on an agreed date ✓

the pre-audit request list and supportive files are made available for auditing with no more than 21 days prior notice ✓



2 Driver related undertakings2.1 Driver licensing

Accredited organisations must have a system to ensure drivers are appropriately licensed to minimum legal standard at all times. This system must include provision for licence checking and driver declarations.

Checking must be performed by a competent person


Requirement for licence checksThe organisation should supply evidence that they check driving licences. Note that there is no minimum frequency of checking licences in law. The evidence can include:

copies of both parts of the driving licence filed in appropriate file ✓

copies of DVLA reports on driver entitlement ✓

copies of DVLA checks on driver entitlement carried out by third parties ✓

external audit report (FTA etc) ✓

record of internal checking system including date of checks and signature of the person carrying out the check ✓


Competence of licence checksThe organisation should supply evidence that the driving licences are checked by a competent person.

Competence means having the necessary knowledge, skills and/or experience to carry out the task effectively or having access to it. The organisation will need to identify who carries out the checks or received driver entitlement reports from DVLA or a third party. Evidence of their competence can include:

records of external training received on the understanding of driving licence categories, restriction codes ✓

and licence renewal requirements together with the minimum entitlements required by job rolesevidence of access to information on driving licence categories, restriction codes and licence renewal ✓

requirements together with the minimum entitlements required by job roles via reference books (FTA Yearbook), databases, posters etcevidence of access to information on driving licence categories, restriction codes and licence renewal ✓

requirements together with the minimum entitlements required by job roles via a trade association





2.2 Driver behaviour2.2.1 Incident investigation

Accredited organisations must be able to demonstrate they have a process to identify, log, investigate and document incidents and, if deemed necessary, discipline or provide remedial training for drivers. The process must provide feedback to the initiator of any issue raised.

Note: incidents can happen on or off the public road and include:

Notices of Intended Prosecution (NIPs) – ✓

issued by enforcement authorities (Police, VOSA etc)prohibitions ✓

fixed penalties ✓

Court summons ✓

prosecutions ✓

accidents (Road Traffic Collisions and RIDDOR) ✓

near-misses ✓

complaints ✓

non-compliances identified by internal means ✓

such as:telematics (speeding etc) –tacho analysis (if applicable because of –towing)audits –supervisor/colleague complaints –

Process to identify and log incidentsThe organisation should supply evidence that incidents are identified and logged. This can include:

spreadsheets, report log of drivers name, date, registration number, time and description of incident (hard ✓

copy or electronic)driver incident log book ✓

compliant records from schemes such as Well Driven? ✓

records of NIPS ✓

records of Road Traffic Collisions TCs ✓

records of RIDDOR (HSE reportable) incidents ✓

records of fixed penalties ✓

outsourced fleet management provider with data of incidents (eg speeding) ✓

near-miss register ✓

on-site accident report log ✓

records of non-compliances identified by internal means such as: ✓

telematics (speeding etc) –tacho analysis (if applicable because of towing) –audits –supervisor/colleague complaints –


Investigation and documentationThe organisation should supply evidence that it investigates and documents all incidents. Ask the organisation to show you documented evidence of the investigation of some incidents logged under the section Process to identify and log incidents above. They should show the date the investigation was carried out and by whom. These can take the form of:

contemporary investigation notes ✓

driver statements ✓

email summaries of investigations ✓

summaries contained in the incident log ✓


Follow-up actionsThe organisation should supply evidence of the appropriate action taken following incident investigation. Ask the organisation to show you documented evidence of the actions of some incidents logged under the section Process to identify and log incidents and investigated under the section Investigation and documentation above. They should show the date the action was taken and what the action was. These can take the form of:

internal memo outlining change of policy/procedure following incident ✓

email record of action ✓

records of remedial training in employee file ✓

disciplinary records ✓

driver declaration of the understanding of what is required of them as an employee of the company ✓

summaries contained in the incident log ✓

log of verbal communication back to the initiator ✓

written letter following investigation and what action the company has undertaken ✓

copies of letters filed in relevant driver incident file ✓


2.2.2 Fitness to drive

Accredited organisations must be able to demonstrate they have processes requiring drivers to inform them of any changes to their continuing entitlement to drive. This requirement should include a regular declaration from the driver that they remain entitled to drive and have had no changes to their driving licence or any deterioration of their health.

Signatories must also be able to demonstrate they require drivers to be fit for their duties and not under the influence of drink or drugs (including prescription or OTC pharmaceuticals)

Fitness to drive: changes to entitlementThe organisation should supply evidence that they require drivers to inform them of any changes that could affect their entitlement to drive. This can include:

written company policy on the requirements for drivers to inform the company of any changes that could ✓

affect their entitlement to driverequirement in job specification or contract of employment ✓

declaration signed by drivers reminding them of the requirement to inform ✓

posters displayed in key staff areas (canteen, traffic office, reception etc) ✓

requirement information in drivers’ handbook or operational manuals ✓

documented evidence from toolbox talks, induction or training ✓

regular memo to all drivers ✓

in cab vehicle stickers ✓

entitlement to drive included as an item on daily defect report ✓





Fitness to drive: drink and drugsThe organisation should supply evidence that drivers are aware of this requirement. This can include:

company policy of alcohol and drugs in the workplace ✓


declaration signed by drivers reminding them of the requirement to inform ✓

posters displayed in key staff areas (canteen, traffic office, reception etc) ✓

requirement information in drivers’ handbook or operational manuals ✓

documented evidence from toolbox talks, induction or training ✓

regular memo to all drivers ✓

in cab vehicle stickers ✓

records of random alcohol and drug testing ✓

records of the fitments of vehicle ignition alco/drug locks ✓

fitness to drive included as an item on daily defect report ✓


2.3 Driver complianceSignatories must have a system to ensure drivers are required to comply with legislative requirements applicable to their role.

This would include drivers’ hours and working time, speed limits, vehicle loading, the use of mobile equipment, towing, and any other role specific regulations.

Note:

Drivers hours rulesDrivers will either be subject to EU drivers’ hours rules (tachograph rules) or (more likely) the domestic drivers’ hours rules. There are many concessions under both EU and especially domestic rules, but drivers of all goods vehicles are still in scope of the rules to a greater or lesser extent. The only employed drivers using vehicles on the public road that are exempt from both EU and domestic rules are drivers of vehicles used by the armed forces, police or fire brigade.

Working time directiveMany operators may feel their drivers are exempt from working time rules, because they are not subject to EU drivers’ hours rules. However, mobile workers subject to domestic hours rules are subject to:

48 hour average working week (but an ✓

individual opt out is available)adequate rest – workers should have regular ✓

rest periods that are sufficiently long and continuous to ensure workers do not injure themselves, fellow workers or others and that they do not damage their health either in the short or long-term5.6 weeks of paid annual leave ✓

right to the offer of free health assessment for ✓

night workers (someone who normally works for at least three hours between 11pm and 6am – although the times may be varied)

Our auditors will examine a number of different issues in relation to driver compliance issues.

Drivers’ hours rules The organisation should supply evidence that they have a process to ensure drivers’ comply with hours’ rules. Records will usually either be on a tachograph or domestic hours’ log books. Some domestic hours’ operations are exempt from record keeping, but the code requires operators to demonstrate a system is in place to ensure compliance, so some form of management records need to be produced. Therefore, evidence can include:

stored completed tachograph charts or data together with analysis records (hard copy or electronic) ✓

stored completed log books together with analysis records (hard copy or electronic) ✓

other records of hours worked and driven (timesheets, rotas, pay records etc) together with record of ✓

analysis of compliance (either external or internal) in terms of domestic hours rules


Working time directiveThe organisation should supply evidence that they have a process to ensure drivers’ comply with the Working Time Regulations. This can include:

for EU drivers’ hours, working time records kept for at least two years (the law does not stipulate a format ✓

or what they should contain)for domestic hours drivers either : ✓

signed opt-out records together with policy on adequate rest –records to show compliance with 48-hour average with policy on adequate rest –

Speed limitsThe organisation should supply evidence that drivers are required to comply with speed limits. This can include:

written company policy on the requirements for drivers to comply with speed limits ✓


driver training on vehicle speed limits at induction stage and on-going during employment, training records ✓

signed by driver and line managerin cab vehicle sticker advising driver of speed limits applicable to vehicle being driven ✓

signed driver declaration form that speed limits are adhered to ✓


poster seen by all drivers ✓

requirement in job description or contract of employment ✓

Highway Code issued to drivers and signed for ✓

documented toolbox talks that cover speed limits and requirement to comply ✓

documented disciplinary procedure for speeding ✓


LoadingThe organisation should supply evidence that drivers comply with safe and legal loading requirements. This can include:

written company policy on the requirements for drivers to comply with speed limits ✓


driver training on vehicle safe loading at induction stage and on-going during employment, training records ✓

signed by driver and line manager (FTADVD)in cab vehicle sticker advising driver of safe loading practices applicable to vehicle being driven ✓

signed driver declaration form that safe working practices are adhered to ✓


poster seen by all drivers ✓

requirement in job description or contract of employment ✓

documented toolbox talks that cover loading policy and requirement to comply ✓

documented disciplinary procedure for not loading in a safe and legal manner ✓





Mobile equipment and devicesThe organisation should supply evidence that drivers are required to operate any mobile equipment in a safe and legal manner. This can include:

written company policy on the requirements for drivers to operate any mobile equipment in safe and legal ✓

mannerdriver handbook inclusion ✓

signed driver declaration of their understanding of the company policy ✓

in cab dashboard stickers ✓

poster in canteen seen by all drivers including list of penalties/fines for non-compliance ✓

memo to all drivers ✓

requirement of job specification or contract of employment ✓

internal or external driver training at induction and on going during employment of the legal requirements ✓

of safe operationdocumented toolbox talks including policy on safe use ✓

documented disciplinary procedure for not operating mobile equipment in a safe and legal manner ✓


Towing (if applicable) – use of designated driversThe organisation should supply evidence that only designated drivers are used for towing. This can include:

written company policy on the requirements for only designated drivers are used for towing ✓

list of designated drivers ✓

in cab dashboard stickers informing that only designated drivers are allowed to tow ✓

poster in canteen seen by all drivers ✓

memo to all drivers ✓

requirement of job specification or contract of employment ✓

records of gate checks of vehicle/trailer combinations to ensure only a designated driver is driving ✓

disciplinary procedure for non-designated drivers who have driven a vehicle/trailer combination ✓


LicensingThe organisation should supply evidence that designated drivers have the correct driving licence for towing. This can include:

regular driver licence checks to ensure the correct licence entitlement for towing is valid ✓

list of designated drivers with licence entitlements ✓

signed driver declaration confirming that the designated driver has the correct driving licence category for towing ✓

external audit of designated drivers’ driving licences ✓


TrainingThe organisation should supply evidence that designated drivers are trained. This can include:

records of in-house or external driver training ✓

training certificates/qualifications ✓

evidence of receipt of drivers handbook and DVD ✓

induction training logged/recorded ✓

records of hands on training, random observation tests to identify training requirements ✓

evidence of DSA test on ‘+E’ category (test pass certificate or +E entitlement shown on category B ✓

licence, where car test was taken on or after 1 January 1997)


Other role specific legislation (if applicable)The organisation should supply evidence that they have a process to ensure drivers comply with legislation related to their job role. This can include:

list includes what qualification(s) the drivers have obtained to ensure they are properly qualified and ✓

competent to carry out their job role and to comply with the legislationupdated list of drivers as and when job role changes identifying what qualifications are required to fulfil the role ✓

internal or external training records ✓

posters, memos, handbooks etc advising of legal requirements ✓

qualification certificates/licences ✓

calendar spreadsheet or equivalent of expiry dates of driver qualifications ✓

checks on qualification cards/licences ✓

record of update driver training as and when legislation requires ✓

records of receipt of PPE and any other legally required equipment and/or documentation ✓





2.4 Driver competence2.4.1 Driver induction

Signatories must have a system to ensure drivers appropriate and relevant induction to the organisation and their role. This must include an appropriate process (eg pre-assignment) for temporary/agency drivers

The organisation should supply evidence that drivers have an induction relevant to their role and that these records are kept for at least the duration of the drivers’ employment. This can include:

record of induction kept in driver files ✓

central record of driver inductions, showing dates and driver names ✓

copies of signed induction forms by driver or manager/supervisor ✓

records of any induction training relevant to their job role ✓


2.4.2 Driver assessment

Accredited organisations must be able to demonstrate all new drivers undergo a driving assessment relevant to the driver’s role carried out by a competent person in a vehicle similar to that to be used in the driver’s duties

The organisation should supply evidence that all new drivers undergo a driving assessment relevant to their role. This can include:

record of assessments kept in driver files ✓

central record of driver assessments, showing dates and driver names (either hard copy or electronic) ✓

copies of signed assessment forms by driver or manager/supervisor in any format ✓


2.5 TrainingAccredited organisations must be able to demonstrate that they have an appropriate process in place to ensure drivers’ receive training/disciplinary measures as required by changing job roles or as indicated by either ongoing assessment or in the light of other evidence such as accidents, prosecutions, complaints etc

The organisation should supply evidence that all drivers receive appropriate training or disciplinary action and that these records are kept for at least the duration of the drivers employment. This can include:

record of training/disciplinary action kept in driver files ✓

central record of training, showing dates and driver names (either hard copy or electronic) ✓

copies of signed disciplinary records by driver or manager/supervisor in any format ✓


2.6 Driver identificationAccredited organisations must be able to demonstrate that they have a system to identify the driver of each vehicle at any time and that this process is documented and retained for at least six months

The organisation should supply evidence that they have a process to identify who is driving each vehicle at any time and that these records are kept for at least six months. This can include:

vehicle keys signed for ✓

register of drivers who have been assigned a vehicle ✓

list of designated drivers assigned to specific vehicles ✓

copies of signed vehicle walk round checks vehicle (reg/ID number) given to line manager if carried out on ✓

a daily basis.driver/vehicle declaration form ✓

tachograph records for all vehicles or some vehicles, but where an alternative system used for non-tacho vehicles ✓

fleet management systems that identify driver ✓



Appendix 2Process map

You return application form to us ✓

We acknowledge receipt by sending pre-audit guidance document ✓

We list your organisation on the Van Excellence website as a probationary member (unless you ask us not to) ✓

We request vehicle and driver list ✓

You return vehicle and driver lists along with items listed in checklist ✓

We select 10 vehicles and drivers whose records we will need to see for the audit and inform you of this choice ✓

We contact you to arrange a location and date for the audit ✓

We will check with you a few days prior to the audit that the records required are available ✓

We will then perform the audit ✓

We’ll write the audit feedback report and inform you of the result ✓

We’ll send you a copy of the report and, if successful, the Welcome Pack including your Certificate of Accreditation, ✓

sample vehicle decals, branding guidelines etc

If unsuccessful, we’ll contact you to discuss the options for re-auditing ✓


Freight Transport Association Limited(a private limited company)Hermes HouseSt John’s RoadTunbridge WellsKentTN4 9UZ

Telephone: 01892 526171Fax: 01892 534989 Website: www.fta.co.uk

Registered in England Number 391957

©FTA 01.11/MC

Appendix 3Checklist

Have you sent us your driver list and vehicle list? (see Next Steps, page 3) ✓

Do you want to be listed on the Van Excellence website as a ‘probationer’ until successfully audited? (see Overview, page 3) ✓

We will include sample vehicle decals in your ✓

Welcome Pack following successful accreditation

Which sample vehicle stickers* do you want (select a mix if required)? ✓

White logo on clear vinyl –

Black logo on clear vinyl –

Black logo on white vinyl –

*external stickers 210mmx148mm

How likely are you to use the vehicle logo on your vans? ✓

Have you defined the ‘divisions’ you want to accredit (if applicable)? (see Scope, page 3) ✓

Documents

Pre-audit guidance notes