DVSA earned recognition: become an authorised audit provider
Apply to become an authorised audit provider for the Driver and Vehicle Standards Agency (DVSA) earned recognition scheme, and how to carry out audits.
Applies to England, Scotland and Wales
You must get approval from DVSA to audit operators for DVSA earned recognition.
As a DVSA earned recognition authorised audit provider, you can:
- audit operators who want to join the scheme
- audit operators who are already on the scheme
- advertise that you carry out DVSA earned recognition audits
- use the DVSA earned recognition logo
DVSA will add you to the list of authorised audit providers on GOV.UK.
Check if you’re eligible
You can be part of an organisation or working on your own. If you’re part of an organisation, you must make sure that any auditors working for you meet the eligibility criteria.
You can apply to audit operators that use heavy goods vehicles (HGVs), operators that use buses and coaches (PSVs), or both.
You’re eligible if all of the following apply:
- you’re not prohibited from acting as a transport manager
- you have a Transport Manager Certificate of Professional Competence in Road Haulage (if you want to carry out HGV operator audits) or Passenger Transport (if you want to carry out PSV operator audits), or a two day refresher Transport Manager Certificate of Professional Competence if your original qualification is more than 5 years old
- you have at least 2 years of experience in haulage or passenger transport as a transport manager, operations manager or a similar role in transport compliance or enforcement
- you have the ISO 9001:2015 quality management system in place from a certification body accredited by the United Kingdom Accreditation Service (UKAS)
- you have taken auditor training
Your auditor training qualification
You need to have covered these topics:
- Plan Do Check Act and other quality management principles
- business process auditing
- risk management
- quality management system implementation
- effective auditing techniques and good audit practice
When you apply, DVSA will let you know if your auditor training qualification meets our standards.
Apply to become a DVSA earned recognition authorised audit provider
You can apply now if you’re eligible. To apply, you need to send DVSA:
- an application form
- evidence that you’re eligible
- recruitment and monitoring evidence
- audit documents
There’s no fee to apply.
How to apply
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Download and save the application form on your computer before you start to fill it in.
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Open the form on your computer, fill it in and save it again.
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Email the form to er_aap@dvsa.gov.uk. You need to attach any documents to support your application.
Evidence you must send DVSA
You need to send DVSA evidence that you’ve met the eligibility criteria including:
- copies of training certificates
- quality management certifications
If you run a company, you need to send DVSA evidence of recruitment and monitoring for any auditors that work for you, including:
- information about how you manage certificates of professional competence
- evidence that auditors have up to date qualifications
- details of relevant experience
Audit documents you must send DVSA
You also need to send documents that you’ll use when doing an audit including:
- an example of the contract you ask operators to sign
- a copy of your complaints procedure for operators
What happens after you apply
DVSA will complete relevant checks, including a centre verification meeting to check documents and processes. This meeting will take place on Microsoft Teams.
If you meet all the standards at the centre verification meeting, DVSA will send you an approval letter confirming that you are accepted as a DVSA earned recognition authorised audit provider. Your details will be added to the list of authorised audit providers on GOV.UK.
At this stage, you must contact the DVSA earned recognition team to:
- get a copy of the DVSA audit template documents
- arrange an audit standards familiarisation session with the earned recognition team before conducting an earned recognition audit
When an operator contacts you for your first audit, you need to email dvsaer@dvsa.gov.uk with the date, time and address of the audit. If a member of the DVSA earned recognition team is available, they will go to the audit to check that you meet the auditor standards.
Quality checks of your audits
DVSA will do desk-based quality checks of the DVSA earned recognition audits carried out by your organisation. If your audit does not meet the DVSA earned recognition standard following the quality check, the DVSA earned recognition team will give you feedback and work with you to help you meet the standards.
Once an auditor meets the required level, a risk-based approach is implemented. This is to make sure that audit report standard is set at the right level and consistent across all audit providers.
Working as a DVSA earned recognition authorised audit provider
You should always follow the and .
You need to do at least 70 hours of continuing professional development every 5 years, including a 2-day Transport Manager Certificate of Professional Competence refresher course. A professional body, trade organisation or authorised training centre must run the refresher course.
You’re responsible for the cost of refresher courses and business expenses such as indemnity insurance.
DVSA will send you the DVSA earned recognition logo so that you can use this on your website and marketing materials.
Operators will contact you to book an audit. You’ll need a process to prevent any conflicts of interest between you and the operator you’re auditing.
What you need to do when you carry out an audit
You must:
- use a systematic process
- carry out audits in a fair and unbiased way
- use the right number of samples for vehicle, trailer or driver records based on the size of the operator
What you check during your audit is based on the size of the operator. You can use the HGV sampling criteria or the PSV sampling criteria to work out what you must check.
Any decisions or observations you make about the operator meeting the standards must be:
- fully justified
- explained clearly
- documented in your audit report
During the audit, you should:
- ask open and probing questions
- observe and record positive and negative reactions to your questions
- check the operator’s policy and process documentation
You must give objective evidence, show independence and write an impartial audit report.
Within 10 days of carrying out an audit, you need to send your audit report and any evidence to us. DVSA will review this and decide if the operator can join DVSA earned recognition or stay on the scheme.
Audits for operators who want to join the scheme
You can audit an operator before or after they apply for DVSA earned recognition. Only a standard fully met audit should be submitted with an application to join the earned recognition scheme.
DVSA will let you know:
- if you should check a particular operating centre as part of your audit
- if there is specific documentation you need to check
You must make sure the operator’s systems meet the DVSA earned recognition audit standards.
Audits for existing DVSA earned recognition operators
Operators need to have an audit every 2 years to make sure they still meet DVSA earned recognition standards.
If the operator fails the audit on minor issues which they cannot fix within 28 days, you must send the audit report to the earned recognition team. They will work with the operator to ensure they achieve the required standard for them to stay on the scheme.
If the operator fails significantly, you must send them:
- feedback
- a 28-day action plan to meet the standards
Regular quality checks
DVSA will:
- check your audit reports regularly
- carry out on-site quality checks if there are any issues with your audit reports
What happens if you do not meet the standards
If you do not follow the standards, DVSA will remove you from the list of DVSA earned recognition authorised audit providers. You will not be able to carry out audits for DVSA earned recognition.
To meet the standards, you and your auditors must:
- meet the terms and conditions
- follow the code of practice
- make sure that operators are meeting DVSA earned recognition audit standards
- keep your competence qualification up to date
- keep your quality management systems accreditation up to date
- not be involved with or linked to anything likely to damage the reputation of the DVSA earned recognition scheme
Appeal being removed from the scheme
If you don’t meet the standards, DVSA will write to you explaining why.
You’ll have 14 days to appeal in writing with any facts or circumstances you want DVSA to take into account.
We’ll look at your appeal and make a decision then respond to you within 14 days.
If you’re not satisfied with this response you can email corporatereputation@dvsa.gov.uk.
Last updated 20 December 2023 + show all updates
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Removed the 'What to include in your audit report template' section – auditors are now only allowed to use the DVSA workbook. Updated 'What happens after you apply' as the process has changed. Updated 'Quality checks of your audits' – DVSA will now do desk-based quality checks of all audits. Updated 'Audits for operators who want to join the scheme' – DVSA is now only accepting standard fully met audits with applications to join the scheme. Updated 'Audits for existing DVSA earned recognition operators' – if the operator fails an audit on minor issues which they cannot fix within 28 days, you must send the audit report to the earned recognition team.
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Updated 'Check if you're eligible' - audit providers must have the ISO 9001:2015 quality management system in place from a certification body accredited by the United Kingdom Accreditation Service (UKAS).
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Removed section "What to include in your audit standards" as auditors can no longer use their own standards. Terms and conditions: * auditors now have to use an auditor workbook supplied by DVSA earned recognition instead of their own audit standards * DVSA may carry out onsite auditor validation Code of practice: * auditors can no longer use their own additional standards to carry out DVSA earned recognition audits
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Updated terms and conditions - authorised audit providers must now have a recognised quality management system in place to ISO 9001:2015 standard, instead of to equal or similar standard.
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Removed section on 'Application periods' General improvements to content, structure and headings to make it clearer: - how to apply to be an earned recognition auditor - how to carry out an audit - what happens if you don't meet standards - how to appeal
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Added links to the HS2 additional module audit standards.
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Audit standards for HGV operators has been updated to the latest version.
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Updated the terms and conditions that audit providers need to agree to.
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A new version of the application form has been added.
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First published.