Driver CPC periodic training: quality assurance and compliance for 2013 to 2014
Published 3 July 2014
© Crown copyright 2014
This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: psi@nationalarchives.gov.uk.
Where we have identified any third party copyright information you will need to obtain permission from the copyright holders concerned.
This publication is available at https://www.gov.uk/government/publications/driver-cpc-periodic-training-quality-assurance-and-compliance-for-2013-to-2014/driver-cpc-periodic-training-quality-assurance-and-compliance-for-2013-to-2014
1. About the audit programme
The Driver and Vehicle Standards Agency (DVSA) and the Joint Approvals Unit for Periodic Training (JAUPT) carry out audit visits of training centres and courses that are approved for Driver Certificate of Professional Competence (CPC) periodic training.
2. Types of audit
There are 3 types of audit visit:
- JAUPT centre audit
- DVSA centre audit
- Driver CPC course audit
2.1 JAUPT centre audit
This is a visit to the approved training centre to make sure that policies and procedures match those stated in the centre’s application.
Each approved training centre now has an audit visit within the first year of its approval.
2.2 DVSA centre audit
This visit is done following a referral from JAUPT about operational failings or as part of an investigation into a complaint.
The aim is to inspect training records and to check them against the hours uploaded onto the recording and evidencing database.
2.3 Driver CPC course audit
This visit is to a course to confirm that the mandatory requirements are being followed and to see the quality of the course.
DVSA course audits generally focus on the follow up of failings identified at the initial JAUPT audit or investigate complaints. These ‘top level’ visits are designed to counter alleged malpractices.
3. Aims of the programme
The aims of the audit programme are to:
- promote consistency
- raise standards
- ensure compliance in operational procedures and course delivery through the:
- promotion of best practice and improved procedures
- identification and resolution of issues with individual Driver CPC periodic training providers
Course audits are unannounced which acts as a deterrent to training centres.
The audit programme supports Driver CPC regulations by:
- deterring short training (less than 7 hours)
- revoking non-compliant training record uploads
- identifying potential fraud
4. Outcomes in 2013 to 2014
JAUPT carried out 462 centre audits and 1,005 course audits. Where serious non-compliance was identified the case was referred to DVSA.
During 2013 to 2014 DVSA worked on 135 cases. These were targeted as a result of referrals from JAUPT and complaints received directly to DVSA by members of the public. Of these:
- 50% focussed on course duration
- 45% had issues with identity checking and course registration
- 41% of courses where the trainer deviated from the approved course plan
- 27% where there was inadequate course preparation
- 28% of the centres had issues with record keeping
- 17% of centres visited had poor control over system access
4.1 Learning points for course providers
Course providers should:
- have better planning of the day and keeping a written record of break intervals by the trainer
- fill in all parts of the registration form must be filled in and ensure plenty of time is allocated for a proper visual and signature check prior to the course start time
- have better time management, adhering to the layout and keeping a copy of the course plan to hand
- plan all checks of necessary equipment that will be needed before the course starts
- keep original course attendance sheets securely or convert them to electronic format
- have a register of people authorised to upload periodic training including their name, signature, authorisation date, de-registration date - passwords should not be shared
4.2 Other common issues identified through centre and course visits
Other issues found were:
- failure to set expectations of the course
- failure to provide fair processing notice
- inadequate internal quality control of trainers
- trainers failed to identify individual drivers needs before training started
- record of actual course start, finish and break times on course attendance/registration record
4.3 Result of DVSA’s audit team work during the 2013 to 2014 period
Some centres were suspended for:
- poor administrative processes
- failure to communicate and comply with requests to audit
Other training centres have ceased training due, in part, to the spotlight of audit.
Audits also resulted in:
- 133 drivers having their training hours revoked
- 214 drivers having their training hours blocked
- 37 uploads being blocked and 13 revoked by the approved centre as a result of internal audit processes implemented by the centre after working with DVSA
These outcomes have significant repercussions for training centres as they must resolve the situation with the drivers who attended the course. This might include redelivering the training and paying compensation.
5. Important themes and achievements
The important themes and achievements for 2013 to 2014 were:
- Driver CPC training is generally of a good standard and within syllabus
- the majority of approved training centres are compliant with regard to their administrative arrangements
- when training centres have been challenged about their delivery of periodic training courses and their processes and procedures at centre audits, they have taken positive steps to fix issues.
The audit programme had been effective in identifying non-compliance resulting in centres improving their procedures and the quality of training delivered. Feedback from the majority of the providers visited by an auditor value the structured approach and report findings.