Guidance

Concrete operational audit standards: DVSA earned recognition

Updated 1 September 2023

Applies to England, Scotland and Wales

Introduction

This module is in partnership with the British Aggregates Association (BAA).

This document details the standards of the scheme, the assessment and evidence required during an audit to attain additional module 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 satisfy the required standards. The auditor must have a thorough understanding of the requirements and document clear evidence of the standard being met.

Meeting the requirements

To meet the requirements set out in this module, an audit is required in addition to the mandatory Driver and Vehicle Standards Agency (DVSA) earned recognition standards audit.

The operator must first satisfy all the applicable standards in sections 1 to 10 of the heavy goods vehicle (HGV) DVSA earned recognition standards. Once they have done this, the operator can choose to meet the additional requirements in this optional module.

Meet standards for individual licences or operating centres

As this is an optional module, operators can choose to apply these additional requirements to an individual operator licence, an individual operating centre or the entire entity which is part of the DVSA earned recognition accreditation.

This would include all the associated specified vehicles on the selected licences or operating centre applying for this module, rather than all the entities and licences in the DVSA earned recognition accreditation.

The list of DVSA earned recognition accredited operators will clearly identify the status of the operator licences or operating centres that have achieved this module in addition to DVSA earned recognition accreditation.

When to apply for a DVSA earned recognition module audit

This module will need to be audited annually. Reaccreditation can take place no earlier than 10 weeks before the anniversary date of the module being awarded and no later than 2 weeks before. This allows an 8-week window in which to achieve the reaccreditation.

Example

Accreditation is awarded 23 June 2022 with an expiry date of 23 June 2023. The earliest date the reaccreditation audit can take place is 14 April 2023 (10 weeks prior), but the audit must be completed by 9 June 2023 (2 weeks in advance of expiry date).

If reaccreditation is carried out earlier than the 10 weeks prior to the anniversary date the operator will forfeit the original accreditation date and a new certificate will be awarded with an expiry date 12 months from the new accreditation date.

Example

Accreditation is awarded 23 June 2022 with an expiry date of 23 June 2023. Reaccreditation takes place on 26 March 2023 (over 10 weeks prior to expiry). The new expiry date will be 26 March 2024.

Operators should discuss changes that affect their DVSA earned recognition status with the DVSA earned recognition team, as it could be more cost-effective to bring the annual DVSA earned recognition audit forward to combine it with their application for this module.

Once the audit has been successfully completed, DVSA will notify the applicant of the accreditation status of each licence or operating centre in the application.

The operator’s DVSA earned recognition and additional module accreditation status will be published on GOV.UK and will be listed alongside their operator licence name and number. This will be aligned to the operator licence number displayed on their operator licence disc, which is displayed on the vehicle’s windscreen.

1. Sector-specific knowledge and training for transport managers and responsible people

Subsection	Assessment criteria	Evidence requirement
1.1	Give details of sector specific experience and continuing professional development (CPD) which has been undertaken surrounding the mixer sector.	Give details of names and type of sector specific training or courses that count towards CPD. This could include seminars, webinars, conferences or training from manufacturers. How is CPD logged? What sector-specific refresher training is undertaken?
1.2	Ensure the transport manager or responsible person understands the issues which arise in the sector and that they are proactively dealt with and recorded for future lessons learnt.	Discuss and record details of sector specific issues the transport manager or responsible person is aware of. This could include vehicle rollovers, overweight vehicles, cleanliness of vehicles, load security or additional maintenance requirements as per manufacturer guidelines. What procedures are in place to ensure the issues are dealt with proactively? How are issues recorded and monitored for trends and to ensure lessons are learnt? Give example of last recorded incident. Who is the person responsible for ensuring procedures are adhered to?

2. Sector-specific training for drivers and transport office staff

Subsection	Assessment criteria	Evidence requirement
2.1	Give details of the site safety awareness training which is conducted with all drivers and back-office staff.	Sector specific courses relating to site induction and site safety. E-learning courses incorporating site safety, bulletins, toolbox talks. Give details and overview of content. How frequently do training or updates take place? Are back-office staff also included in this training to ensure their understanding of the requirements of the driver? Give details of when last courses, training and refreshers were given, and the format.
2.2	What training is given to drivers and staff relating to manufacturer operating guidance and ancillary equipment, such as devices for distributing and controlling the flow of substances?	Vehicle specific familiarisation training in line with manufacturer operating guidelines. Give an overview of the training. In what format does this take place? How frequently? Evidence the training is logged and signed by the person who took the training to confirm they attended, read and understood.
2.3	Vulnerable road user training.	Ensure all drivers have attended a course which content covers vulnerable road users such as Safe Urban Driving or similar. Give details of the course name and the format it is carried out in. How frequently is this undertaken? Evidence the training is logged, signed for to advise the driver has attended or read and understood. To allow for turnover of staff, a 10% tolerance in the number of drivers that have taken the required progressive training may be accepted. Justification of the tolerance used will be sought at audit.
2.4	Rollover prevention course or training.	Give details of course name and format. For example, webinar, Certificate of Professional Competence, e-learning. Give overview of content. What is the frequency of this training? Evidence the training is logged and signed by the person who took the training to confirm they attended, read and understood. Give details of when last training was undertaken.
2.5	Ensure vehicle familiarisation training is undertaken in relation to precautions which should be considered when specific vehicle types are being driven, such as drum mixer or volumetric.	Vehicle specific familiarisation training in line with manufacturer operating guidelines. In what format does this training take place and how frequently? Give an overview of the training. Evidence the training is logged and signed by the person who took the training to confirm they attended, read and understood.
2.6	What additional sector-specific e-learning courses or toolbox talks are undertaken?	Give details of any additional sector-specific e-learning courses which are undertaken. How frequently are these carried out? Give details of last e-learning course delivered and date. Evidence the training is logged and signed by the person who took the training to confirm they attended, read and understood.
2.7	All back-office staff involved in the transport department, such as planners, loaders, schedulers, maintenance staff, are to undertake sector-specific training to ensure they are suitably skilled and experienced to carry out their duties. This will include training such as operational and maintenance requirements as per the manufacturer’s vehicle guidelines. All training must be recorded and evidenced to have been read and understood.	Give details of any sector-specific courses, webinars and training from manufacturers which is undertaken. How frequently are these carried out? Give details of last training or course delivered and date. Evidence the training is logged and signed by the person who took the training to confirm they attended, read and understood.

3. Weight compliance

Subsection	Assessment criteria	Evidence requirement
3.1	How is carrying capacity calculated, and by who? Who ensures this is adhered to? Calculation of carrying capacity must also consider manufacturer’s guidelines on type of load being carried.	Who is responsible to ensure the vehicle is not overloaded, taking into consideration the type of mix which is being carried? How is this monitored and recorded? Give details. Check documents detailing type of load and volume carried. Give details. Note any discrepancies in weights being carried.
3.2	A process in place to ensure vehicles are weighed both laden and unladen, taking into consideration residual build-up of material. Records are kept of the findings to ensure no overloading takes place.	How are vehicle weights monitored and findings recorded? How frequently are these checks undertaken? How is frequency determined to ensure effectiveness and efficiency?
3.3	What process is used to monitor and reduce residual build-up of concrete within the barrel?	Give details of the process in place which monitors and eliminates any residual build-up of concrete. How frequently is this undertaken?

4. Additional maintenance requirements and vehicle cleanliness

Subsection	Assessment criteria	Evidence requirement
4.1	Walkaround checks are conducted which are specific to the type of vehicle and body being used, inclusive of ancillary equipment fitted to the vehicle.	Ensure walk around checks are inclusive of elements such as mixer body, chutes, ladders, drums, chassis, bolted connections and augers. How are these additional checks recorded? On the same walkaround sheet as used for basic vehicle check or on an additional sheet? Give overview of the additional elements that are to be checked. What is the process for reporting defects to the ancillary elements? Give an example of a defect found, reported, and actioned.
4.2	In addition to general safety inspections, what maintenance procedures are in place covering ancillary equipment fitted to the vehicle that has to be maintained in line with the manufacturer’s guidelines? Maintenance of ancillary equipment fitted to the vehicle needs to mainly cover integrity of the mixer unit’s components and sub-chassis. Expect to see an additional maintenance record sheet.	What maintenance provisions are in place outside of general maintenance (main dealer maintenance). These maintenance provisions and checks must conform with the recommendations set out in the manufacturer’s guidelines in relation to ancillary equipment. Give details of what is in place, who conducts the checks and frequency of checks. Provide evidence of how they are recorded once completed.
4.3	A maintenance matrix must be in place which covers the ancillary equipment attached to the vehicle body and mixer. There must be evidence this maintenance is effective and being undertaken.	Additional elements are required to be recorded on a maintenance planner. Give details of what additional elements are planned and the frequency. Give details of last check and outcome.
4.4	Brake tests are required to be meaningful. Therefore, where possible, vehicles should be laden for brake tests.	If not all, what percentage of brake tests are conducted laden? If this is not an option, then a written explanation as to why this cannot be conducted should be supplied.

5. Load security

Load security guidance:

• load securing: vehicle operator guidance
• safety of loads on vehicles: code of practice

Subsection	Assessment criteria	Evidence requirement
5.1	Ensure a policy is in place in relation to load security and the cleaning down of vehicles, including after discharge.	Give policy details, name and review date. Overview of content. The policy should cover elements such as covering loads (known as sheeting of volumetrics), security of the load, awareness of product and quantity to ensure no spillage occurs. Operators to encourage availability of wash down facilities at discharge sites.
5.2	If washdown facilities are unavailable what additional precautions are put in place to ensure spillage on the public highway does not occur?	Give details of washdown procedure when facilities are not available after discharge.
5.3	Ensure a policy is in place for the effective management of spillages from mixers on the public highway, including reporting of spillages. This can be incorporated within 5.1.	Give policy details, name, review date. Give an overview of the content. Evidence the policy has been read and understood.
5.4	How are spillages reported, recorded, and investigated to ensure lessons are learnt?	What is the reporting process for spillages? All spillages are to be recorded and investigated. Give details of how they are recorded including lessons learnt. Give an example of the last recorded spillage and outcome.

6. Health and safety

Health and safety guidance:

• Health and Safety Executive: Safe use of work equipment
• Health and Safety Executive: Confined spaces

Subsection	Assessment criteria	Evidence requirement
6.1	A policy must be in place in relation to the Provision and Use of Work Equipment Regulations (PUWER).	Give details of the policy, name, review date. As a minimum, policy must cover inspection of work equipment, maintenance of work equipment, training and competence. Evidence the policy has been read and understood.
6.2	A policy is in place to ensure suitable precautions are taken with regards to working in confined spaces.	Give details of the policy, name, review date. Give overview of the content. Evidence the policy has been read and understood.