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Self-Assessment

Questions, Help Text & Required Documents

GUIDANCE FOR THE AA PHYSICAL AUDITS

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Table of Contents: Introduction to the Service and Repair Code of Practice 3 Online Self Assessment and Physical Audits Physical Audit questions and guidance 4 Attachments & Evidence Required Index 7 Business Portal Logins 8 Code Shop Certificates 10 Compliance & Display Packs 14 ADR Training Guidance 20

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Guide to ensuring your business is compliant with the Service and Repair Code of Practice The Motor Ombudsman strives to raise standards across the industry for the benefit of good businesses and consumers alike.

This ambition has seen The Motor Ombudsman become a sign of consumer confidence and an indication of a business’s

commitment to providing the highest possible level of customer service. All of The Motor Ombudsman’s Codes of Practice are

approved by Chartered Trading Standards Institute (CTSI) as a further sign of ensuring the highest standards. Every subscriber has the privilege of using the Motor Ombudsman and Trading Standards-approved Code logos in conjunction

with their own, at their premises, as well as on their website and marketing literature. To enjoy this benefit we ask you agree to our terms and conditions upon joining and co-operate with our compliance checks and

parameters. To make this as simple as possible for you, we have structured our checks in two ways.

Online Self-Assessment We require you to complete a short self-assessment online, providing evidence to support some answers. We’re happy to

assist you wherever possible, so please do call our Business Services department on 0207 344 1651. The self-assessment usually takes around 20 minutes to complete but the longest delays can come from finding your supporting

evidence. To minimise any disruption to your day, the questions, approved by CTSI, have been designed in a way where a

single piece of evidence, which should be readily available, can be used to support multiple answers. Examples of supporting documentation required include things such as an invoice or a cover letter confirming your Liability

Insurance. We have drafted the following mock assessment that provides a summary of the questions asked and the

documentation you will need on hand to complete the assessment as swiftly as possible.

Physical Audit You may also be required to undergo a randomly selected physical audit. If your business is selected, you will be notified in

advance. The audit will be completed by an independent third-party such as The AA, and they will provide constructive feedback as

to what they find on site. The physical audit is not intended to trip you up but rather identify the areas where you excel and make suggestions for

improvements elsewhere. The fee for this service is completely covered by The Motor Ombudsman and all we require is that you

co-operate with the auditor when on site. The Motor Ombudsman is constantly reviewing its processes and procedures, and we encourage feedback from you as to how we

can improve the service that we provide. Once you have completed your assessment, we would love to hear your experiences

and comments by e-mail at business@tmo-uk.org.

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Please note: Questions marked in blue with the upload icon require supporting documentation. Please upload the document or a photo as evidence on the Self-Assessment system. PREMISES DETAILS 1. Do you have planning permission to operate from your premises and can this be supplied upon request? Planning permissions may already be in place so businesses should check with their local council and obtain a copy of the contract. This planning should cover buildings for use as a vehicle repairer, vehicle sales outlet and for MOT inspection.

2. Do you hold appropriate insurance to cover your business activity? Evidence of current and valid insurance policies is required and should cover Public and Employers Liability Insurance, and where appropriate, this should also include Professional Indemnity, Product Liability and Property Owners Liability. Where any work is subcontracted, then Subcontractors policy coverage should be ascertained. (Please refer to the supporting documentation guidance on page 7).

3. Do your premises have an up to date health and safety policy along with adequate health and safety notices to ensure

the premises are safe for customers and staff? Businesses should have an up-to-date health and safety policy along with adequate health and safety notices to ensure the premises are safe for customers and staff. There should also be a first aid box and first aider appointed. The business should also have a legal process for waste collection and disposal by a registered business. There is a different register for businesses who registered: On or after 27 March 2015, or before 27 March 2015. Businesses should have the appropriate waste disposal permits they are registered for. (Please refer to the supporting documentation guidance on page 7).

4. Do you have The Motor Ombudsman Consumer Guide and copies of the Code of Practice booklets available for consumers and staff? Copies of the Consumer Guide should be available for all staff and customers. These should ideally be displayed in a desk presenter or suitable A5 leaflet dispenser in the customer waiting area, service reception, showroom and staff rest area. Businesses can order these items through the Code Shop in the interim if they do not have this available at the moment (Please refer to page Page 14 for more details)

5. Do you have an up-to-date certificate displayed in your reception area demonstrating your accreditation to The Motor Ombudsman? New subscriptions should contact us if they have not received the appropriate materials yet. The Accredited Business's Certificate of Membership should be framed and displayed in clear view of customers and staff. Businesses can order these items through the Code Shop in the interim if they do not have this available at the moment. (Please refer to page 7 and 10 for more details)

5(a). Are you displaying The Motor Ombudsman and Approved Code Logos on your website to ensure that they are clearly visible to customers or other users? Businesses should be displaying the correct and up to date logos on the website which should be clearly visible to customers and other users. Businesses can download and update the logos on their website which can be found on the weblink below. https://www.themotorombudsman.org/media (Please refer to the supporting documentation guidance on page 7).

ADVERTISING DETAILS 6. When producing advertisements, promotions or publications, do you ensure they do not contain any misleading information for customers, that they comply with the relevant legal requirements and where any prices are quoted, they are inclusive of VAT and detail any additional charges e.g. environmental charges? The UK Advertising Agency lays down rules for advertisers, agencies and media owners to follow. A rigid process and checklist should be in place to ensure that every proposed advert complies with the following criteria. 1. It does not contain any items, which are likely to mislead. 2. It complies with the requirements of relevant legislation, codes and regulations. 3. All prices are quoted inclusive of VAT and cover any additional charges such as waste disposal.

7. If the words 'guarantee' or 'warranty' are used within your written advertisements, do you include the full terms within the advert or make them available for customers prior to any work or transaction? Where the words 'guarantee' or 'warranty' are used appropriately, they must be set out clearly within the advertisement and also make clear that customers’ consumer rights are not diminished.

QUALIFICATION DETAILS

8. Are your premises appropriately equipped to carry out the work you undertake? Businesses must be able to provide staff with appropriate equipment and facilities to complete work to a satisfactory standard. The relevant tools and equipment should have current calibration certificates and any vehicle ramps or hydraulic lifting equipment should have up to date insurance maintenance logs and suitable insurance cover. (Please refer to the supporting documentation guidance on page 7).

9. Does the business proprietor, possess any motor industry qualifications such as IMI professional accreditation (If yes,

please provide evidence) Business and professional qualifications can play a key part in developing a successful business and its employees. You can provide any relevant industry qualifications as evidence if applicable (Please refer to the supporting documentation guidance on page 7).

10. Do any of your staff hold professional motor industry qualifications or are working towards them? The benefits of qualifications for your business can help develop the vital skills businesses need. These qualifications focus on choice, clarity and confidence and bring real benefits to employers.

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COMPLAINT HANDLING PROCESS DETAILS

11. Do you ensure your staff communicate clearly with customers? Staff should be encouraged to communicate effectively with customers and not to use industry jargon or terminology without offering a full explanation. 12. Are your staff aware of their obligations under the Code of Practice for Service and Repair? All staff should be familiar with their obligations under the Service and Repair Code of Practice. A copy of the Code should be read and understood by all members of staff. A master copy should be retained with signatures and the date of all participants of the Code. This can then be used as a coaching and training guide for any future non-compliance by staff members and for new staff member inductions.

13. Do you have a complaint handling process in place? A robust process for handling customer complaints should be maintained and be up to date. This will facilitate an effective and quick response to customer concerns. Elements that should be included in the process should include: 1. Listen and Understand: Always listen to the customer to genuinely clarify their concern, 2. Empathise: Demonstrate appropriate levels of concern and recognition of the situation, 3. Offer a Solution: Establish the best way forward for all parties, 4. Execute the Solution: Take immediate steps to implement any remedial actions required to resolve the situation, 5. Follow-Up: Never assume the customer is subsequently satisfied. Always check to make absolutely sure. Follow the flowchart process as laid out by the Code of Practice and document all conversations relating to the complaint. The customer representative who is responsible for handling any complaints and is the designated contact for the Code advisory and conciliation process should be made easily identifiable within any customer facing area of the business.

14. Do you have a nominated member of staff to deal with any disputes? A nominated person responsible for handling customer complaints must be in place. This is part of the initial registration process when registering with The Motor Ombudsman, and this record should be updated if the nominated person leaves or changes job roles. It should include name, email address and contact number. Businesses should also update this on their Business Portal or update The Motor Ombudsman with any changes.

15. Do you maintain a record of all customer complaints? Customers will expect complaints to be resolved properly and speedily. Records of all actions needs to be kept to enable trends to be established over time. Root cause analysis should be investigated to ensure any future complaints happening as a result of continued trends can be actioned and eradicated. A log or register should be kept for future reference and analysis Please provide a copy of your complaints log or register (Any relevant file, a screenshot or even a photograph is acceptable). Please refer to Page 7 for further guidance on this. A standard TMO Complaints Log can also be provided to Businesses if they do not currently have this.

16. Do you understand your obligations as a Code subscriber and when to use the dispute resolution service? By subscribing to the Code, a member is demonstrating its commitment to operate as a responsible business and deliver high levels of customer satisfaction. The Service and Repair Code commits members to an open, transparent and fair method of business, aiming to maintain consistently high standards across the industry. The Code promotes the delivery of: Honest and fair services, Work completed as agreed, Competent and conscientious staff, Open and transparent pricing and Invoices that match quoted prices. The Code Of Practice dispute resolution service should be used if no resolution can be made between the repairer and the consumer. The complaints escalation procedure can be found on The Motor Ombudsman website.

17. Have you completed the Alternative Dispute Resolution training? New legislation came into effect on 9th July, 2015 for Alternative Dispute Resolution. This means that businesses should be able to direct consumers to a Chartered Trading Standards Institute (CTSI)-certified Alternative Dispute Resolution (ADR) provider if they are unable to resolve a dispute directly with a consumer. Businesses can provide evidence of any relevant ADR training which they might have taken part in previously for this question. This could be in the form of any certificates, training logs or relevant documents. The Motor Ombudsman can also offer a bespoke automotive industry focused online ADR training module to ensure that business are fully compliant with our Codes of Practice and the relevant legislation. This can be accessed and purchased on the following weblink; http://elearning.themotorombudsman.org (Please refer to further guidance on this at Page 7 and Page 20).

WORK COMPLIANCE DETAILS 18. Do you provide written quotations / estimates including a breakdown of costs upon request and ensure all prices are

inclusive of VAT wherever applicable? The customer must always be made aware of the total cost of the work due to be carried out, and how this is itemised. A quotation is a written promise to do work at a firm agreed price inclusive of all parts, labour and VAT. It should set out what work will be done for the agreed price. If a customer is given a quotation (or 'fixed estimate'), they should not be asked to pay any extra for that particular work. An estimate however, unlike a quotation, is not an offer to do the job for that specific amount, but just a general guide as to how much the work will cost inclusive of parts, labour and VAT. Please provide an example or a copy of a written quotation or estimate supplied to a customer (Please refer to the supporting documentation guidance on page 7).

19. Do you have a clear policy regarding transparency of pricing? Prices must be clear and inclusive of parts, labour and VAT. Any other additional charges such as environmental disposal should be included in the costs. Unless it’s a fixed price service, all labour and parts cost should be listed on the invoice in a clear and precise manner.

20. Do you ask all customers to agree and authorise the work they require? Customers should be asked when dropping off their vehicle if they require the replaced parts to be retained. If parts are to be retained, make sure they are placed in a suitable box or bag. Where customers ask to take retained parts away from the premises, they must be advised that they should only remove them if they have the ability to subsequently dispose of them in an environmentally friendly manner. A notice explaining the retained parts policy should ideally be displayed in the Service Reception area.

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21. Do you agree the methods of payment with the customer before commencement of work, or make the accepted methods of payment clear before work commences? Customers should be asked at the point of booking and at vehicle drop off for their preferred method of payment. If the vehicle is covered by warranty/breakdown insurance, they should be asked for details of this cover. This avoids potential for disagreements and embarrassment later, by making it clear what has to be paid and finding out how the customer will pay.

22. If requested, do you retain parts for customer examination upon collection of the vehicle? Customers should be asked at the point of the vehicle being dropped off if they require the replaced parts to be retained. If parts are to be retained, make sure they are placed in a suitable box or bag. Where customers ask to take retained parts away from the premises, they must be advised that they should only remove them if they have the ability to subsequently dispose of them in an environmentally friendly manner. A notice explaining retained parts policy should ideally be displayed in the Service Reception area. 23. Do you ensure your customers are given clear, practical advice to help them understand the work and cost required in order to complete the agreed work? Service Advisors should explain to customers in a clear and objective manner what work is required on their vehicle. The use of technical jargon and abbreviations should be avoided (unless a specific customer demands such information). If unsure about the nature of the work required, Service Advisors should check with a technician or other technically qualified person so that they too fully appreciate what is required. Alternatively, the technically qualified person may be asked to explain the requirements directly. The customer should be asked if they understand, and for the necessary authority to then be obtained.

24. Do you confirm to customers the charging for diagnostic or exploratory work during the booking process? Customers should be made aware of any diagnosis or preliminary work costs before a job is started. Their authority should be sought at the point of booking and customers should be kept informed of any extra time required to complete the diagnosis along with any additional costs. This will avoid any unnecessary misunderstandings.

25. Do you confirm to customers the cancellation policy, which will allow them to cancel the repair and/or service at any time, subject to the legal liability for any work completed so far? Businesses should ensure that a clear explanation of any cancellation policy is clearly detailed in the terms and conditions or is provided verbally if relevant or requested.

26. Do you request prepayments from customers for Service and Repair work? The requirement for a prepayment can promote customer dissatisfaction and lack of trust and so should be avoided if possible unless necessary

(for eg: Ordering specialist manufacturer parts or expensive non-returnable parts)

27. Do you ensure that servicing carried out as required by the new vehicle warranty is performed according to the vehicle manufacturer's service specification? All work carried out on vehicles that are still covered by the manufacturer’s warranty should be carried out according to the specifications of that manufacturer and the genuine parts are used. Correct service check sheets should be used, completed, signed and attached to the job card. Specifications and labour time calculations can be obtained from the manufacturer’s website or a current reputable website.

28. Do you notify customers of further work that may become apparent prior to proceeding? If during the process of carrying out the agreed work it becomes apparent that additional time, labour and parts are required which was not

previously recognised, the customer should be contacted and authority sought for this work prior to commencement. Identified additional work must

be accurately priced and presented in a way that enables it to be explained and sold to the customer and a new completion time can be agreed.

29. Do you have a method of checking all completed work? Ensure that quality control encompasses the whole process, taking into consideration the repair instructions given to the technician, the work carried out and what is presented back to the customer.

30. Do you guarantee all work against failure and inform customers where parts are provided with a manufacturer's warranty? All service and repair work must be guaranteed against failure. Customers should be informed where parts are fitted with a manufacturer’s guarantee or warranty together with the duration of the warranty or guarantee and how to exercise it. Permission should be obtained from the warranty provider prior to any work starting. Asking customers for their method of payment will highlight situations where warranties are in place.

31. Do you provide a guarantee for any subcontracted work the customer's vehicle may need? Sub-contractors should have their own product and liability insurance in place and copies must be available or supplied.

32. Do you provide an estimated time to customers to complete the job s before commencing work, and where delays are incurred, are they communicated clearly? Completion times should be discussed and agreed with the customer before any work begins. Customers should be kept informed of any delays, and details of any conversations that have taken place with the customer noted on the job card. Customers must be contacted once the job has been completed.

33. Do you obtain permission from the warranty provider prior to starting any repairs covered by any warranty, as long as the customer has made you aware that the vehicle is covered by a warranty? Any repairs that are covered by a warranty company should be pre-authorised before work starting. Authorisation numbers and repair details should be documented on the job card and DMS. Asking customers what their method of payment is will promote this discussion.

34. Do your final invoices clearly list the work that has been carried out, identify any additional work agreed and detail the parts used, labour, environmental disposal charges and VAT separately? (Unless a 'fixed price' has been agreed in advance) Ensure the invoice layout is consistent with clear precise labour and parts lines, free from technical jargon. Free of charge items, environmental

charges and VAT should be shown separately. Any additional work should be listed separately unless a fixed price has been agreed in advance.

(Please refer to the supporting documentation guidance on page 7).

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Attachments & Evidence Required Please refer to https://www.themotorombudsman.org/compliance for further information on the documentation which you require for the audits. A summary of the documentation you need is also attached on the table below.

Question no. Subject Documentation required*

Q2 Insurance cover Public and Employers Liability Insurance Documents

Q3 Health and safety Health and safety policy

Q5 & 5(a) Certificates and Website Logos

Photos, screenshots or weblinks of certificates and

logo usage

Q8 Equipment checks Calibration log of equipment or other relevant checks

Q9 Industry qualifications Proof of any relevant industry qualifications

Proof of a complaint log (can be a blank log/register

Q15 Complaints register

if you have not had any complaints. Please refer to https://www.themotorombudsman.org/compliance for a standard TMO complaints log which can also be used by the business if they wish to do so)

Q17 ADR training

Proof of completed ADR training (Completion Certificate, Training logs or any other relevant document)

Q18 Quotes and estimates A copy or an example of a quote or estimate (Anonymised)

Q34 Invoices A copy or an example of a recent invoice (Anonymised)

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Business Portal Logins Through the TMO Business Portal you can;

update your business profile page information on the Garage Finder website

purchase items such as signage and consumer literature from our online shop

Complete your online self assessment

view customer survey feedback

view performance and case information

renew your annual accreditation

To log-in you will need to know your TMO Username and Password. Your username will be your email address with “.tmo” at the end. E.g. business@tmo-uk.org.tmo

If you have received a login, you can access the site here. You should also be able to reset your password by clicking on “Forgot Your Password?” as long as you enter the correct username mentioned above.

If you do not have your login details or cannot access the Business Portal for any reason, you can get in touch with us on 020 7344 1651 or you can email us at business@tmo-uk.org.

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Once you have logged in, you should see the page below with these icons.

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Code Shop Certificates: Once you have logged in through our Business Portal, please select “Code Shop” from the icons attached.

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Please select “Replacement Certificate” from the list and click on “Buy Now”.

Click on “Add to Cart” once you are ready to proceed with the purchase.

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Click on “View Cart” if you are ready to complete your purchase. You can click on “Continue Shopping” should you wish to buy more items.

You can always select the basket icon at any point; when you are ready to check out.

Click on continue once you are ready to proceed with the payments.

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Please enter or confirm your Billing and Shipping Details. If both addresses are the same, please tick the “Is this the delivery address?” check box. You can now proceed with the payment.

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Compliance & Display Packs To ensure that you are compliant and are best prepared for your Self Assessment and / or physical audit, there are a number of Code of Practice items that you will need to have on display at your premises. They are as follows:

An accreditation certificate

Consumer Guides

Code of Practice booklets

A Commitment Poster (which can be used by the business as their terms and conditions)

If you are missing any of these items, they can be purchased individually from our online Code Shop. You can access the Code Shop by clicking on the link above and by using your Motor Ombudsman login which we hope you have received by now. Alternatively, you can also get in touch with us to place your orders on 020 7344 1651 or email us at business@tmo-uk.org.

Compliance Pack :

To allow you to pass any compliance checks which you have incoming, we have included a commitment poster which you can use as Terms & Conditions of your business to customers. We have also included Brief Guide Leaflets & Code of Practice Booklets which to ensure you are fully compliant with the Code of Practice.

Quantity x 25 Consumer Guides

Quantity x 5 Code of Practice Booklets for Service & Repair

Quantity x 1 Commitment Poster (A3)

Display Pack :

To allow you to promote your accreditation to your customers and stand out from the crowd a range of high quality plaques are available to order. The display pack includes key items to promote your TMO accreditation.

Clear Panel - Size, 300mm x 200mm, Supplied with 4 screw caps and spacers

A2 Silver Snap Frame

A2 Poster to promote the Consumer survey A4 Silver Snap Frame for your Accreditation Certificate (The actual certificate is not included and needs to be purchased separately)

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Business Portal Logins Through the TMO Business Portal you can;

update your business profile page information on the Garage Finder website

purchase items such as signage and consumer literature from our online shop

Complete your online self assessment

view customer survey feedback

view performance and case information

renew your annual accreditation

To log-in you will need to know your TMO Username and Password. Your username will be your email address with “.tmo” at the end. E.g. business@tmo-uk.org.tmo

If you have received a login, you can access the site here.

You should also be able to reset your password by clicking on “Forgot Your Password?” as long as you enter the correct username mentioned above.

If you do not have your login details or cannot access the Business Portal for any reason, you can get in touch with us on 020 7344 1651 or you can email us at business@tmo-uk.org.

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Once you have logged in, you should see the page below with these icons.

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Select the items which you would like to purchase and click on “Buy Now”.

Select quantity and once you are ready to proceed, click on “Add to Cart”.

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You can select “View Cart” if you are ready to check out or you can select “Continue Shopping” if you would like purchase other items.

You can always select the basket icon at any point; when you are ready to check out. Select continue once you are ready to proceed with your order.

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Please enter or confirm your Billing and Shipping Details. If both addresses are the same, please tick the “Is this the delivery address?” check box.

You can now proceed with the payment.

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ADR Training Guidance

You can access and purchase the training on the web-link attached below.

http://elearning.themotorombudsman.org/Course/List

Please note that these logins are different to your logins for the business portal as this is a

different website.

Please select “ADR” and proceed once you have it in your basket. You should now be able to

check out and use the format below to register for the training website;

Please enter “Motor Codes” on the “Organisation/Group” field. Please select “Independent” on the “Organisation/Business name” field. Please enter your subscriber id for the “TMO Subscriber ID” and “Manufacturer site ID” field.

Once this is complete you can follow the instructions provided on the website and by email to proceed with the training.

You can always get in touch with us on 020 7344 1651 or you can email us at business@tmo-uk.org if you have any issues or enquiries.