The role of a nominated Transport Manager is integral to obtaining, and retaining, an Operator’s Licence, but with a widespread shortage of competent, high-quality Transport Managers, what do operators need to consider when recruiting a Transport Manager? 

How are you going to engage them?

A Transport Manager must have a ‘genuine link’ to the operator’s business and the Transport Manager form (which is completed and submitted via the VOL system to nominate the individual on the Operator’s Licence) asks for a declaration of whether the Transport Manager will be ‘internal’ or ‘external’.

An ‘internal’ Transport Manager is generally an employee of the business. This is usually relatively straightforward (unless there is an element of complexity to the arrangements – such as a group structure where it is perhaps unclear which entity employs the Transport Manager and on what terms). Operators should, however, ensure that every Transport Manager has a written contract that accurately reflects their responsibilities and duties as Transport Manager.

It is the appointment of an ‘external’ Transport Manager (“ETM”) (i.e. somebody who is not an employee of the business but who will supply transport management services to the operator) that typically attracts far greater scrutiny from the Traffic Commissioners. Whilst this is a perfectly lawful way of engaging a Transport Manager, some ETMs have given the role a ‘bad press’ over the years - the Traffic Commissioners therefore need to be satisfied that the individual is not Transport Manager in ‘name only’.

Where an ETM is engaged, operators must therefore satisfy themselves that:

(i) the individual has sufficient capacity – an ETM (including those with a mix of ‘internal’ and ‘external’ appointments) can only work for a maximum of 4 operators (not licences) with sole responsibility for a combined total fleet of 50 authorised vehicles. In addition to asking about their other ‘nominated’ Transport Manager roles, operators should also ask about any other employment they have that might further reduce their capacity to do the job.

(ii) there is a written contract for services that details:

• the minimum number of hours the ETM will dedicate to the role – Annex 1 to the Senior Traffic Commissioner’s Statutory Document No. 3 ‘Transport Managers’ (“STC3”) details the suggested starting points for Transport Manager hours based on fleet size and operators should use this as a guide.
• the pay/remuneration the ETM will receive – the Upper Tribunal has confirmed that an ETM cannot be a ‘volunteer’ or do the role ‘as a favour’.
• the duties the ETM will perform – these should reflect the conditions and undertakings on the Operator’s Licence as well as the General Duties of a Transport Manager detailed in paragraph 60 of STC3. 

Operators should also remember that an ETM cannot be employed through, or as part of a package supplied by, a transport consultancy – the Upper Tribunal has warned against this and any attempt to engage an ETM in this way must be referred to the Traffic Commissioner. The contractual arrangement must be with the individual who holds the CPC qualification and will be the person performing the role.

Where did they obtain their CPC qualification?

A Transport Manager must have obtained their CPC qualification in the country in which they have their normal residence (i.e. the country where they usually live for at least 185 days in each calendar year) or the country in which they work and STC3 confirms that “a traffic commissioner is unlikely to be able to accept a qualification in another Member State where they do not normally reside or work”.

This confirms that a Transport Manager living and intending to work in the UK cannot rely on a CPC qualification they have obtained in a different country. This is a scenario that has arisen all too frequently over the past couple of years; the result being the Traffic Commissioner will not accept the proposed Transport Manager on the Operator’s Licence and they must obtain the CPC qualification in the UK if they wish to become a Transport Manager.

Operators should therefore check where the individual obtained their CPC qualification and, in the case of a CPC qualification obtained abroad, check where the individual was living at the time they obtained the qualification (if a foreign national obtained the CPC qualification abroad but they were resident in that country at the time – and have subsequently moved to the UK - that CPC qualification should be accepted).

Is the CPC certificate genuine?

The Office of the Traffic Commissioner (“OTC”) are currently receiving some 'fake' CPC certificates. Every CPC certificate should bear the seal of the duly authorised authority or body which issued it. Operators should therefore ask to see the Transport Manager’s original CPC certificate and should not be surprised if, in addition to uploading a copy of the CPC certificate to the VOL system, the OTC request that the original is posted to them for inspection.

Previous History

The Transport Manager form asks the individual to declare details of:

(i) any relevant convictions, as these may affect their good repute and ultimately whether their nomination is accepted by the Traffic Commissioner. Operators should bear in mind that ‘convictions’ in this context includes fixed penalty notices.

(ii) their previous Operator’s Licence history – specifically whether they have been associated with any Operator’s Licences that has been revoked, suspended or curtailed. Operators should also make enquiries about the Transport Manager’s nominations on other Operator’s Licences, as a history of short-term appointments (possibly simply to get an operator through the application process) is a red flag to the Traffic Commissioners.

Responsibilities

Regardless of whether the Transport Manager is ‘internal’ or ‘external’, the duties remain the same – they must ‘continuously and effectively manage the transport activities’ for which they are responsible. But what does this mean in practice?

The Senior Traffic Commissioner has identified the following general indicators (detailed in STC3):

(i) knowledge and skills – the Upper Tribunal has confirmed that “being a transport manager is far more than just holding the qualification” and it is now suggested that so little of the content of the CPC qualification relates to doing the ‘day job’ of a Transport Manager that the CPC qualification is not fit for purpose. A recently/newly qualified Transport Manager may well therefore need additional support (e.g. consultancy support from a more experienced ETM and/or independent auditing of the compliance systems and their performance) to equip them with the knowledge and skills needed for effective transport management. Operators may also wish to consider supplementary training dealing specifically with leadership and management skills, or a particular area of compliance. In a similar vein, an experienced Transport Manager who obtained their CPC qualification some time ago will also need supplementary training to ensure they are ‘up to date’. The Traffic Commissioners expect all Transport Managers to complete (as a minimum) 2-day Transport Manager CPC Refresher training every 5 years; however, this should be supplemented by ongoing CPD, such as bite-sized training on specific areas of compliance – particularly as and when something changes). The Transport Manager will be asked to supply evidence of their CPD at the point they are nominated on the Operator’s Licence. 

(ii) impact - the Transport Manager should be recognised as a key person within the business so that they can influence decisions relevant to compliance and have authority to deal with external contractors, such as maintenance providers.

(iii) decision-making – the Transport Manager should be sufficiently close to drivers to be able to influence their behaviours (they should regularly attend the operating centre(s) and have face-to-face interaction with both the drivers and vehicles) and senior enough to influence the deployment of resources and to inform the decisions of the business’ owners/directors/partners (there should be regular formal transport management reporting of compliance KPIs).

Who signs the Transport Manager form – a case of stolen identity?

This might seem obvious, but there have been a number of cases over the past 12 months where the person nominated as Transport Manager on the Operator’s Licence actually had no idea … it wasn’t them who had signed the form! Operators must therefore meet with prospective Transport Managers before they are nominated on the Operator’s Licence and satisfy themselves that they are who they say they are! Then, once the Transport Manager is in post, operators should meet with them on a regular and ongoing (at least monthly) basis to exercise effective oversight of compliance.