JAUPT Appraisal Criteria Centre Application

Transcription

1 JAUPT Appraisal Criteria Centre Applicatin January 2018 Page 0 f 10

2 1. Intrductin The criteria laid ut in this dcument will be checked against the Centre Applicatin Frm and Scheme f Cntrl t ensure the requirements have been met and prvide standardisatin in the way in which centre applicatins are assessed. The criteria are underpinned by the Vehicle Drivers (Certificates f Prfessinal Cmpetence) Regulatins 2007 fr Driver CPC in Great Britain and Nrthern Ireland and the Taxi Drivers Licences Regulatins (Nrthern Ireland) fr Taxi Driver Peridic Training (TDPT). 2. The Centre Applicatin Frm Relevant applicatin frms, guidance and examples can be dwnladed frm N.B An rganisatin wishing t deliver TDPT can nly d s if they seek apprval as a Driver CPC centre. Page One This sectin will cnfirm: 1.1 The centre name and details. This can be a trading name. 1.2 The persn peratinally respnsible fr peridic training including the applicatin. If it is a large rganisatin yu wuld expect t see a senir manager r directr as the respnsible cntact. There is a risk that a junir manager wh des nt have authrity t apply fr apprval gains apprval withut the knwledge and cnsent f the respnsible cntact. 1.3 The persn wh will be respnsible fr the day-t-day cmmunicatins with JAUPT. Please nte any changes t the respnsible cntact must be in writing by the current respnsible cntact as this may impact the apprval. It is imperative that all these details are prvided. They can be the same persn but fr us t prceed with the applicatin these details must be prvided. If any are missing they must be requested. Page 1 f 10

3 Page 2 This page will cnfirm: 1.4 The nature f business. This helps us t anticipate the types f infrmatin that we wuld expect t see in the Scheme f Cntrl. In additin, cmpletin f this sectin helps us t prfile centres and prduce meaningful statistics when requested by the Cmpetent Authrity Which part f the UK the centre is intending n delivering Peridic Training in. Any training delivered utside f the lcatin the centre is apprved fr will nt cunt as Peridic Training. 2.2 Details n the previus centre apprval. This will allw us t btain further infrmatin abut the applicatin t identify any issues which may need t be highlighted r taken int cnsideratin e.g. details f previus Quality Assurance Visits, details f crrective actins etc Details n Directrs/Sharehlders invlved with ther Driver CPC centres. This may prvide us additinal infrmatin that needs highlighting r taken int cnsideratin when making a recmmendatin. This must be checked against Cmpanies Huse/Creditsafe (if applicable). When appraising the applicatin, yu must ensure that all available intelligence is reviewed in cnjunctin with the dcument and used t make an infrmed recmmendatin. Page 3 Check that the infrmatin supplied fr the Registered Details is recrded with Cmpanies Huse/Creditsafe (if applicable). If the centre has been previusly apprved, check t ensure there is are changes f their registered details which may impact the applicatin e.g. change f legal entity. Any changes t the legal entity r wnership f the cmpany shuld be verified via Cmpanies Huse/Creditsafe (if applicable). This will need t be discussed with the centre as there is n prvisin under the Vehicle Drivers (Certificates f Prfessinal Cmpetence) Regulatins 2007 (as amended) fr the transfer f an apprval t anther persn r crprate bdy 3.1 Withut sufficient infrmatin it can be difficult t understand and determine: the type f legal entity the rganisatin is; the size f the rganisatin; legal bligatins f the rganisatin; Page 2 f 10

4 infrmatin t ensure the rganisatin is prfessinal and prper As apprvals are nt transferrable, it is imperative we are sure wh has the apprval. It has been knwn fr rganisatins t view their apprval as an asset and try and pass it n t anther legal entity; under the Regulatins this is nt permitted. 4.1 The Scheme f Cntrl and Cnfirmatry Statements (listed n pages 4 and 5 f the applicatin) are critical t the centre applicatin, as they prvide us with assurances n hw key risk areas will be managed. In additin, they frm the basis f the Quality Assurance activities and allw us t raise nn-cmpliance easily. If this is nt supplied this wuld nt demnstrate hw the centre intends t manage the delivery f peridic training and therefre detailed questining wuld be expected via the additinal infrmatin prcess, which may delay the applicatin prcess. NB Only shuld be ticked fr applicatin f Cnsrtium. If and Nature f Business (1.4) des nt match it must be questined t ensure yu are prcessing the applicatin crrectly. Page If a centre elects t be published n the JAUPT website, it ffers them tw key benefits: 1. Increased publicity very imprtant fr cmmercial training prviders. 2. Validatin f being an apprved centre Nt every centre wants t publicise, therefre it s up t the centre t infrm us f what they want The applicant shuld tick all the lcatins they intend t deliver curses in. This shuld be crss referenced with curses apprved in Great Britain nly may nt be delivered in Nrthern Ireland and vice versa. If sectin and d nt match additinal questining may be asked via the additinal infrmatin prcess, which may delay the applicatin apprval prcess. 6.1 This sectin is abut payments and where the applicant shuld send the applicatin t. If the centre has paid the apprpriate fee this des nt have any impact n the appraisal prcess f the applicatin. This is because the applicatin is nt referred fr appraisal until the payment has been received and cnfirmed. 3. Scheme f Cntrl A Scheme f Cntrl (SC) is a dcument which supprts the applicatin frm and details the way an rganisatin minimises risk t prvide cnsistent and quality peridic training. The Scheme f Cntrl Page 3 f 10

5 that is submitted with an applicatin will be prprtinal in detail and cmplexity t the size and scale f the rganisatin. Centres will be quality assured at least nce within the five-year apprval perid. During this visit the infrmatin prvided in the applicatin and the SC will be audited. The dcument shuld give details f the prcesses, prcedures and/r measures they have in place t reduce risk in key areas f prviding peridic training. Within the guidance there are headings which cver key risk areas. Within these sectins there are sub questins which must be answered. If the infrmatin is unclear r missing yu will need t btain the infrmatin r seek further clarificatin frm the centre. Cpies f plicies and prcedures can help t give an indicatin as t the quality standard/material that the centre prduces. 1. Organisatin Operatin: The scale and cmplexity f the peratin has an impact n risk. Yu need t understand this t assess the relevant risks and the detail required. Fr example, a larger rganisatin will require mre cntrls in place than a sle trader. a) Scale and size f the rganisatin We wuld expect an verview including the apprximate number f persnnel invlved with peridic training, number f training sites, and if training will be delivered t internal emplyees r third parties r bth. This helps us t understand the levels f cntrl required. b) Lg Use We wuld expect cnfirmatin that the centre has read and understd the lg guidelines and assurance that they will use the lg in line with the guidance. c) Retentin f Recrds The centre must cnfirm that they will keep recrds fr a minimum f 6 years. They can d this either by hard cpies r electrnically hwever, they shuld cnfirm the methd and tell us hw these recrds will be stred. 2. Quality Assurance: Fr the centre t mnitr the standard and cnsistency f the training being delivered and implement imprvements they shuld have quality assurance arrangements in place. a) Quality Assurance We need t understand hw the centre ensure and assure the standard and quality f curses delivered. Many centres will cnduct internal audits, trainer standardisatin meetings etc. Details f hw ften, hw they recrd the findings/utcmes and hw the implement crrective actin will prvide assurance that the prcess is effective. Quality assurance is vital and is expected acrss all centres. Sle traders may wish t enlist the help f fellw prviders r an external cnsultant etc. b) Curse Evaluatin Techniques Centres shuld tell us hw they will measure the quality f delivery thrugh curse evaluatin and what they will d with the feedback t make imprvements. Usually this is dne via an evaluatin frm given t the trainees n cmpletin, but it is up t the centre hw they manage this. Sme centres may als ask emplyers t evaluate the curse via return f investment, fuel efficiency etc. They may als cllect feedback frm their trainers. Whatever, the surce f feedback it is imprtant we understand hw this is being used t imprve delivery, cntent (at the pint f applicatin submissin) etc. c) Measuring Custmer satisfactin Usually this is measured via the curse evaluatin frms. Hwever, the centre may have Page 4 f 10

6 additinal methds such as a satisfactin survey. They shuld tell us hw they will measure it and what they will d with the data t make imprvements. d) Implementing and Identifying Cntinual Imprvement The centre may wish t tell us abut ther prcesses, systems, prcedures etc t measure, mnitr and implement cntinual imprvement. Fr example, the centre may cnfirm they have rehearsals where their peers prvide feedback t prmte standardisatin and imprvements. 3. Cmmunicatin: It is imprtant that we are infrmed f changes t key staff and their cntact details, therwise we will nt be able t deal with queries effectively. Please nte all changes must be in writing by the respnsible cntact immediately i.e. the persn ntified t JAUPT as peratinally respnsible fr Driver CPC peridic training. a) Infrming us f Changes The centre must tell us hw they intend t keep us up t date with key changes t and within their rganisatin e.g. legal status/wnership, centre name, address, cntact details etc. Usually this is by cnfirming the changes in writing t their Accunt Manager hwever, they may als use the functinality n the website. b) Prcess fr Planning Training Fr cmmercial training prviders it may be as simple as advertising dates and bking trainees n t the curse t meet demand. Fr in-huse prviders this may be mre cmplicated due t peratinal needs and therefre in-depth planning is required. c) Hw yu will ntify JAUPT f any changes that affect the cntrl and management f the key risk areas within the SC We wuld expect the centre t cnfirm any changes in writing and prvide us with an updated Scheme f Cntrl. Any changes will need t be reviewed and the change apprved. Where significant changes have been made the SC must be apprved by the Cmpetent Authrity. d) Sharing news, updates (including legislative requirements) and feedback We wuld expect the centre t cnfirm they have regular meetings t prvide updates, news and changes t their key staff. This may be supprted r replaced by internal newsletters, mems, s which are frwarded frm JAUPT, DVSA/DVA etc. 4.Trainer Selectin: The trainer(s) used t deliver peridic training must have apprpriate qualificatins/experience in delivering training and the subject matter being delivered. Here we need t knw hw the centre will ensure this is the case. a) Hw many trainers yu have This will prvide us with an indicatin as t the cmplexity f recrds required. b) Hw yu will maintain a recrd f trainer(s) and their skill sets. We wuld expect the centre t cnfirm that they already use r plan t use a trainer register which details their names and experience/qualificatins. This allws the centre t ensure the crrect trainers are delivering the curses they hld experience/qualificatins fr. A sle trader that des nt emply anyne else will nt require this. c) Hw yu will ensure that yur trainers have apprpriate qualificatins and industry experience The centre will usually cnfirm that the trainer(s) that are already emplyed have the experience/qualificatins t deliver peridic training which is acceptable, but we want t knw hw they will ensure this is the case fr any new trainers. This is usually dne via the recruitment prcess. Trainer evidence will be checked at the curse applicatin stage. We wuld expect the centre t cnfirm hw they will als ensure this is the case fr new trainers. It may be that they expect a certain qualificatin fr the applicant t be successful. Page 5 f 10

7 d) Hw yu will mnitr and recrd Cntinuing Prfessinal Develpment (CPD) Many centres will update the individual s persnnel files with evidence f CPD. Hwever, a larger rganisatin may als maintain a CPD recrd which lists all trainers and their CPD. They may review and update this peridically, n an ad-hc basis r because f trainee/emplyer/quality assurance feedback. e) Hw yu will ensure the trainer(s) underg CPD t ensure awareness f the legislative requirements fr peridic training, industry law and gd practice This may be achieved by sharing JAUPT, DVSA/DVA cmmunicatins, newsletters, attending training etc. 5. Curse Planning: We require further details f hw the centre will plan the curse t ensure that it is delivered within its apprval perid, with a cmpetent trainer in a safe and apprpriate lcatin. a) Hw yu avid a trainer delivering a curse that they are nt able t deliver as they d nt hld the apprpriate subject knwledge Many centres will ensure this is the case by using a manual prcess. If this is the case, yu need an verview f the prcess. In sme instances, the centre s systems have allcated trainers t curses and will nt allw a bking against an incrrect trainer. If this is the case the centre shuld cnfirm. b) Hw yu will ensure that curses are nly delivered within the perid f centre and curse apprval If a curse was delivered utside its r the centre s apprval perid, it cannt be cunted as peridic training therefre we need assurance that the centre will mnitr apprval dates. This is smetimes dne via a manual diary entry r electrnically e.g. utlk r bespke systems. It is nt acceptable fr the centre t cnfirm their certificate is displayed n the wall. c) Changes/Cancellatins fr Planned Curses As the JAUPT website has the functinality fr centres t tell us abut planned curses, changes and cancellatins we wuld expect them t use this. Hwever, we als require assurance that we will be infrmed f changes/cancellatins in a timely way and, at weekends. We wuld expect detail f a prcedure and fr this t include cntingency e.g. n internet cnnectin n a weekend. d) Hw yu will assess the suitability f training venues e.g. what criteria yu will use t ensure that they are bth adequate and safe Mst centres will cnfirm they will visit the site prir t training and cmplete a risk assessment frm. These frms will be inspected during the Quality Assurance Visit we d nt apprval them as part f the apprval prcess. In sme cases, the centre may prvide yu with a cpy. If this is the case, yu will still require written cnfirmatin f when this will be cmpleted, by whm etc. e) Jining Instructins Here yu want t knw an verview f the cntent e.g. start and finish time, venue, ID requirements, specific learning needs etc. In additin, we wuld expect t be tld when these will be issued, hw and wh is respnsible fr issuing them. f) Suitable Resurces Fr classrm based training we wuld expect the centre t use a variety f resurces t keep the trainees engaged. These resurces are cnfirmed n the apprved curse summary but can change prviding they are relevant t the cntent f what is being delivered and enhance the learning experience. The centre shuld tell us hw they will ensure this will be the case. Where the centre is delivering n-rad training we require assurance that the vehicle is insured, radwrthy and apprpriate t the cntent f the curse. This may be written cnfirmatin. If vehicles are nt being used the centre shuld tell us. Page 6 f 10

8 6. Driver Registratin: This is abut ensuring that the persns attending the training are wh they claim t be and that training recrds prperly supprt upladed hurs. It is the respnsibility f the centre t ensure an auditable trail f recrds. This shuld cver: a) ID and Eligibility checks are carried ut by each trainer Centres must tell us what ID they are willing t accept (phtcard licence, valid passprt, Driver Qualificatin Card, Digital Tach Card) as sme d nt accept passprts. Whilst a passprt is acceptable fr ID purpses it des nt cnfirm eligibility fr peridic training and therefre sme centres will nt accept it. It is up t the centre hw they manage this. b) Recrd attendance, ID& Entitlement checks T demnstrate attendance, ID checks and licence checks (if apprpriate) the centre must be able t demnstrate an auditable trail. T d this we wuld expect them t use the example attendance register r similar. c) Late Attendance Here the centre shuld tell us hw they will deal with trainees that arrive late r cannt prduce the crrect ID. It may be the centre will nt allw them t attend the curse r they have a specific prcedure fr dealing with this. Yu need full details t prvide yu with assurance that the trainee attended fr the minimum perid f 7 hurs e.g. they stay at the end and make up the time and missed cntent. d) N ID Here the centre shuld tell us hw they will deal with trainees that cannt prduce the crrect ID. It may be the centre will nt allw them t attend the curse r they have a specific prcedure fr dealing with this. Yu need full details t prvide yu with assurance that there are checks that ensures the persn wh attended the training is wh they say they are befre the hurs were upladed hw des the centre knw the persn wh attended the training is the persn prviding the ID sme days later? If the centre is an in-huse emplyer hw will this be managed knwing the persn is nt acceptable and a prcess must be in place. e) Entitlement checks Entitlement checks are required fr any n-rad training t ensure the trainee hlds the crrect categry fr the vehicle they will be driving. Hw and when will this be dne? By whm? 7. Cnsistent delivery f the curse: There is a legal requirement fr the curse t be delivered in accrdance with the curse summary that was apprved. Adherence t the apprved curse summary ensures that curses are within syllabus and that they meet the requirements f curse duratin. a) Fair Prcessing Ntice (FPN) A FPN must be prvided t the trainees t tell them what data will be cllected, hw it will be used, wh it will be shared with and hw lng it will be kept fr befre the start f the day. The centre shuld cnfirm when this will be delivered and hw. Whilst verbally r in writing e.g. within the presentatin is acceptable gd practice deems that bth shuld be delivered. b) Level 2 All curses must be a minimum f Level 2. We need t knw hw the centre will ensure they are delivered as such. They may d this via internal audits, CPD training skills and questining techniques etc. Further guidance n Level 2 can be fund at: Page 7 f 10

9 c) 7 hurs Training Usually centres will cnfirm there is a declaratin n the attendance register that trainers must sign. This is sufficient, but yu may find that this is dne in cnjunctin with internal audits. d) Apprved Curse Summary, Meeting Learning Outcmes and Relevant Industry Sectr Here we want t knw hw the centre will ensure that the curse is delivered in line with the apprved curse summary, that the learning utcmes are met, and the cntent is relevant t the industry sectr in attendance. The centre may cnfirm that they cnduct internal audits t ensure that the curse is delivered in line with the apprved summary. In additin, the trainer may have a cpy f the curse summary fr reference. It may be that the centre will nly allw trainees with an LGV driver t attend an LGV curse r vice versa t ensure relevance t the sectr. 8. Curse evaluatin: The trainees shuld have an pprtunity t prvide feedback. Gd practice will mean the centre assesses the curse and trainer t identify areas fr imprvement. Please prvide infrmatin n: a) Evaluatin by the trainee(s) When will the trainee(s) prvide feedback, hw will this be recrded and what will be dne with the feedback? Fr example, many centres issue a curse evaluatin frm n cmpletin f the curse, which is ften cmpleted n the day and later reviewed by the trainer and Line Manager and discussed. It may be that training & develpment is identified fr the trainer r changes required at the next applicatin submissin. b) Evaluatin by the trainer When will the trainer(s) prvide feedback, hw will this be recrded and what will be dne with the feedback? Usually, trainers prvide feedback n the cntent, structure and flw f the curse, this is recrded during a ne t ne using minutes and imprvements are identified fr actin at the applicatin stage. In sme cases, trainers will bserve each ther and will prvide feedback n delivery. Using this methd training & develpment can be identified. c) Making changes fllwing a Quality Assurance Visit Centres will receive full feedback (Actin Pints, Cntinual Imprvement pints and psitives) during the Quality Assurance Visit. These will be cnfirmed within a reprt. As Cntinual Imprvement pints are nt mandatry it may be the centre chses nt t implement them. Hwever, it is imprtant fr us t understand hw these will be reviewed, cnsidered and when imprvements will be implemented. Fllwing implementatin hw will the centre review the impact f the changes, wh is respnsible fr the review and hw ften will it be dne? d) Measuring Transfer f Knwledge T ensure learning utcmes are met the trainer(s) need t be clear n the aims and bjectives f the curse. We wuld expect details n hw the centre will ensure this is the case. In additin, we wuld expect sme frm f infrmal assessment e.g. quiz, quizdm, demnstratin f a prcedure etc t measure knwledge transfer. e) Other Prcesses t Identify Imprvement The SC cvers trainee, trainer, emplyer evaluatin, internal/external quality assurance prcedures. Hwever, des the centre have any ther prcesses fr identifying areas f imprvement e.g. trainers bserving each ther? Page 8 f 10

10 9. Issuing Certificates f Attendance: It is expected that a certificate f attendance is issued t each trainee t demnstrate that they have legitimately cmpleted a full peridic training curse. The certificate shuld cntain the driving licence number, name and number f the curse, cmpletin date, name and number f the apprved centre. a) Issuing Certificates Securely t the Trainee Centres will usually cnfirm they will issue the certificate, n the day f cmpletin by the trainer. Hwever, in sme cases the certificate is issued t the trainee electrnically. If this is the case, when is it issued and wh is respnsible fr issue? The centre may prvide an example. These frms will be inspected during the Quality Assurance Visit we d nt apprval them as part f the apprval prcess b) Hw yu will cnfirm each trainee has been issued with a certificate We wuld expect the centre t keep a cpy f the certificate that has been issued. Hwever, the centre may have a mre effective methd which suits their rganisatin. c) Security features e.g. signatures / watermarks / embssing Quite ften centres d nt include any security features. If this is the case, they usually d nt cmment. This is acceptable. 10. Uplad prcesses: Yur rganisatin will be respnsible fr the safe and secure transfer f data and fr cmpliance with the Data Prtectin Act. The centre needs t explain hw they will prevent lss and misuse f persnal data and hw they will secure the system t prevent fraud. It is critical that any uplad made by the rganisatin is an accurate reflectin f training delivered. a) Safe transfer f Recrds The centre needs t prvide detail n hw they will safely transfer recrds frm the curse lcatin t the central site and what cntingency they have in place. If the centre perates frm ne venue they will nt need t prvide details n this. b) Access t the Online System Here the centre needs t detail hw they will ensure secure access f nline systems t uplad the hurs. We wuld expect an verview f the prcess cnfirming that each persn has their wn passwrd which is changed n a regular basis etc. A sle trader that des nt emply anyne else will nt require this. What measures will be taken t ensure the uplad is cmpleted in the event f sickness/absence? c) Cntrl Access t the Online Databases We wuld expect a register f authrised/de-authrised persnnel if mre than ne persn has access. In additin, we need an verview f the prcedure t demnstrate hw the centre will mnitr what is upladed (t prevent fraud), when and by whm. It may be that the centre keeps full recrds f receipts/printuts etc and samples these as part f their internal quality prcess. If it is nly ne persn i.e. sle trader this is nt required. 11. Fr Cnsrtia: If a centre intends t perate as a Cnsrtium i.e. where there are members wh deliver the curses that yu have apprval fr and wh perate within yur cntrl, then we need t cnsider hw they intend t rganise and manage the members. a) The apprval f members including criteria and cnditins f apprval We expect details f the criteria and cnditins fr members t jin the cnsrtium. It shuld cver aspects such as cmpliance, lg use, uplads etc. b) Hw yu will quality assure yur members The prcess that the Lead Centre will fllw t quality assure members (similar t the details we expect fr their wn quality assurance) c) Hw yu will ensure cnsistent cmmunicatin acrss all members This is a risk t cnsrtia and we must be assured that they have an effective prcess Page 9 f 10

11 fr issuing the same key messages t all members. Hw will they d this and wh will be respnsible fr issuing them? d) What arrangements are in place t investigate, suspend r remve members shuld there be any suspected nn-cmpliance We expect details f the prcess fllwed if ptential r actual nn-cmpliance is identified. What wuld the utcmes be and hw is it managed? Wh is respnsible fr the investigatin and decisin t suspend/remve the member? e) Hw yu ntify JAUPT f any actins taken At what part f the prcess is JAUPT ntified and hw? f) Hw yu ntify JAUPT f any changes t yur members At what part f the prcess is JAUPT ntified and hw? g) Hw yu intend t arrange the safe transfer f recrds frm the curse t the central site and what cntingency yu have in place The Lead Centre needs t prvide detail n hw they will safely transfer recrds frm members t the central site and what cntingency they have in place. 12. Other prcesses: There are legislative respnsibilities that are nt specifically within the remit f peridic training but will have an impact n the prfessinal delivery f training curses. This shuld cver: a) Current insurance cver yu hld and maintenance f this An verview f the insurance the centre hlds and hw they ensure it is apprpriate and renewed in a timely manner b) Health & Safety (maintenance and plicies) What plicies are in place and hw d they maintain them t ensure they are accurate and up-t-date. c) Additinal Learning Supprt Needs What plicies are in place and hw d they maintain them t ensure they are accurate and up-t-date d) Current and apprpriate plicies and prcedures It shuld be nted that sme centres can btain ff-the-shelf plicies and prcedures that have been written by smene else, s an element f cautin shuld be taken if they are t be used t gauge the quality f training materials prduced by the centre (e.g. Health & Safety plicy). e) Maintenance f a rbust cmplaints prcedure An verview f the cmplaints prcedure and hw these will be recrded and managed including timelines. Page 10 f 10