Understanding and managing your Operator Compliance Risk Score

Transcription

1 Understanding and managing your Operator Compliance Risk Score FTA Compliance Guide Edition 6 September 2010 Ensuring compliance, advancing performance

2 FTA compliance guide to Understanding and managing your Operator Complinace Risk Score Edition 6 September 2010 Editor: Sally Thornley Production: Hilary Kingdon Design: Tracey Garrett FTA compliance guides are produced once legislative changes have been published and new requirements and responsibilities are known. Compliance guides are intended to provide clear guidance to members on what to do and how to comply. Freight Transport Association 2010 FTA compliance guides are available only to FTA members. For further advice on this guide contact the Member Advice Centre on For details of how to join FTA contact the Member Service Centre on * *Calls may be recorded for training purposes What is the Operator Compliance Risk Score system? The Operator Compliance Risk Score (OCRS) system has been developed by the Vehicle and Operator Services Agency (VOSA) as a way of assigning goods and passenger vehicle operators a rating that allows enforcement officers to identify which vehicles are most likely to be non-compliant. VOSA uses the system at the roadside to identify which vehicles should be checked. Vehicle examiners carry a small device known as the MCD (Mobile Compliance Device), which is linked to the VOSA database. The examiner keys a registration number or operator licence information into the device and it displays information about the relevant operator, including OCRS scores. This enables them to target non-compliant operators more effectively as well as reduce the number of compliant vehicles that are stopped. The system flags operators as having a green, amber or red status, with those that are green most likely to be compliant and those that are red least likely. Generally an operator with a red score is more likely to be checked than an operator with a green score. Contents What is the Operator Compliance Risk Score system? 2 The two OCRS scores 3 How are the scores calculated? 3 Roadside enforcement 4 How to find out about your scores 5 Understanding your OCRS score 5 Managing your OCRS score 5 Frequently asked questions 6 Appendix 1 Vehicle defects table 8 Appendix 2 Traffic enforcement table 10 Appendix 3 Vehicle s a guide for drivers 12 How FTA can help 13 2 An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score

3 The two OCRS scores Each operator has two OCRS scores: a roadworthiness score and a traffic enforcement score. The roadworthiness score is based on the condition of vehicles and is generated by inspections that are carried out by vehicle examiners. There are two distinct areas that contribute to the score vehicle tests and vehicle encounters. The vehicle tests only include first tests and subsequent annual tests. Other types of testing such as retests and voluntary checks are excluded. Vehicle encounters consist of fleet check inspections, carried out at operator premises, and roadside inspections. The traffic enforcement score includes roadside checks and VOSA prosecutions in relation to non-mechanical infringements, such as drivers hours, tachograph and overloading offences. The traffic enforcement score is generated by checks that are carried out by traffic examiners and are further sub-divided into drivers hours and other traffic offences. How are the scores calculated? OCRS is based on scores attributed to individual operator licence numbers. The scores are calculated differently depending on whether VOSA has any historic data on an operator. Predictive scores New operators or operators for whom VOSA has no data for the previous two years are given predictive scores. It uses the data of operators with similar operator licence characteristics in relation to the: type of operator s licence held (eg Standard National) length of time licence held number of specified vehicles The system then uses the existing data for these similar operators to predict an index score. This will remain until vehicles on the licence are tested or involved in a check, when the operator will have its score determined by its own historic data. Historic scores For the majority of operators the calculation will be based on actual data from events or tests known as an historic score. Points are attributed when a vehicle test or an enforcement encounter results in a defect or infringement being identified. The more serious the defect or infringement, the greater the point allocation. The look-up table for for mechanical defects can be found on page 8 (Appendix 1) and allocated to traffic enforcement encounters are available on page 10 (Appendix 2). Where there are no problems found a zero score is noted. An index score is then created by dividing the number of accumulated by the number of events over a two-year period (to the end of the last calendar month), giving an average number of per event. (See example below.) The index scores for both predictive and historic scores are then turned into relative scores by being placed into a league table. This allows VOSA to compare each operator with its peers hgv operators are compared with other hgv operators and psv operators are compared with other psv operators. Each operator is listed in order from those with no to those with the highest index scores. Those operators with an historic score of zero are placed into group 0 and the rest are grouped into 10 percentiles according to index score the first 10 per cent with the lowest index scores are in group 1, the next 10 per cent in group 2 and so on. Example of calculation of index score A one vehicle operator presents a truck for annual test and it is found to have a defect in the brake system and components (IM59 6 ) and under oil and waste leaks (IM44 3 ), there is also a fault with driver s mirrors (IM22 3 ) making a total of 12 from the encounter according to the VOSA look-up table. So far the operator s index score is 12, calculated as follows. Number of defect : 12 divided by Number of events: 1 Total: 12 If the vehicle was subsequently stopped at a roadside check and found to be free of defects, the operator s score would reduce to 6, improving his or her risk rating. Number of defect : 12 divided by Number of events: 2 Total: 6 An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score 3

4 The OCRS league table Percentile Group OCRS roadworthiness (mechanical) 0 () % % % % % % % % 8 GREEN AMBER OCRS traffic enforcement (non-mechanical) GREEN AMBER Finally, the groups are allocated a colour status of green, amber or red. The parameters are set out in the table below, but it is important to be aware that these could be changed by VOSA in the future. It is important to remember that the scores are merely a snapshot in time and likely to change as they are re-calculated every week, for a rolling two-year period (up until the end of the previous calendar month). Also, because the colour rating is allocated by comparison, it could change from week-to-week even though the operator has the same index score, if the rest of industry improves or worsens % % 10 RED RED Roadside enforcement Prohibitions and prosecutions resulting from roadside enforcement checks contribute to roadworthiness and traffic enforcement scores, so it is important to understand the processes involved. Attributing infringements to operator licences When an examiner carries out a roadside check, they will enter details on a Mobile Compliance Device (MCD). The way in which the vehicle involved in the check is described on the system determines whether the encounter will be taken into consideration for OCRS. The table below lists the vehicle categorisations available on a drop-down list on the MCD in terms of whether they are included or excluded from OCRS. Included in OCRS hgv artic semi-trailer hgv rigid <= 12,000kg hgv rigid > 12,000kg drawbar trailer converter dolly psv 16+ seats psv 16 seats or less Excluded from OCRS lgv up to 3,500kg hgv plant lgv plant non-testable hgv non-testable lgv agricultural non-testable trailer trailer 3,500kg or less caravan motor caravan ambulance taxi private car class 5 motor cycles/sidecar The system also relies on the enforcement examiner being able to identify a relevant operator licence for the user of the vehicle on that day. Clearly, where the vehicle is displaying an operator licence disc, the number will be taken from there. Alternatively, examiners can look up either a vehicle registration number or an operator s name and address on VOSA s database using the MCD or a laptop. Sift and C&U checks A clear encounter with VOSA will improve an operator s index score, because the number of events increases by one, but no additional are added. However, VOSA carries out a couple of types of roadside checks that will not be counted towards the score. Sift checks are where a vehicle examiner has stopped a vehicle at the roadside, but after a cursory visual check decides not to examine the vehicle further. A C&U (construction and use) check is where a traffic examiner has stopped a vehicle to check for traffic enforcement infringements (drivers hours, tachographs etc), but is required under the current powers to stop legislation to carry out a cursory vehicle inspection as in sift checks. Both of these checks are visual checks and should not generally involve the driver having to do anything (such as turning on lights). Neither sift nor C&U checks are counted on the OCRS system. Following FTA pressure, such encounters are now included on vehicle encounter reports, so an operator can see when vehicles were stopped and where an examiner decided that no further action or inspection was warranted. 4 An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score

5 How to find out about your scores There are four key types of report available. 1 OCRS roadworthiness and traffic enforcement scores 2 Vehicle test maintenance statement test failure items 3 Vehicle encounter report roadside and fleet checks 4 National vehicle defects report the percentage failure rate for all defect items If you have not received an invitation, visit tanen/vosa_registerform.asp or contact the VOSA helpline on Note that your OCRS scores will not be disclosed to a driver at the roadside, unless the driver can prove he is the sole proprietor of the company operating the vehicle. Reports can be viewed on line by registered users. Before you can register you will need two letters of invitation from VOSA containing your membership number and confirmation number. Understanding your OCRS score When you get access to your reports, carefully check your vehicle test maintenance statements and vehicle encounter reports. Check for any events involving vehicles that are no longer used by you. Look out for events that you were not aware of and investigate them. If you do not agree with the scores or wish to query any of the data contained in the report contact the VOSA helpline (as detailed above). Members who feel their issues have not been adequately dealt with should contact FTA s Member Advice Centre (MAC) on Be aware that encounters include s and prosecutions. Prohibitions can be challenged if you believe they were inappropriately issued. Again, FTA members should contact the MAC to discuss the circumstances. If successful, the will be removed from your record. Points for prosecutions in court are attributed to your score as soon as a summons is issued. If the operator or the driver successfully defends the case in court, the will be removed after the verdict is given. It is also important to understand the reasons why the group number of your score may have changed. These are summarised in the table. Change Group number has increased Group number has decreased Possible reason Your score has moved from historic to predictive (no events for two years) or vice versa The rest of industry has improved compared to you Your index score has increased because point-free events have fallen off your two-year record or new events with have been added Your score has moved from historic to predictive (no events for two years) or vice versa The rest of industry has declined compared to you Your index score has decreased because events with have fallen off your two-year record or new events without have been added Use your encounter and test history reports to decide which reason applies to your circumstances. Managing your OCRS score The colour status of your scores will tell you whether you are more likely to be targeted by VOSA. But it is your index score, and the problems generating, that provides you with much more useful management information. An operator with an amber traffic enforcement score could be in the lowest part of group 4 or the highest part of group 7. In the first case they could easily move to a green status and in the second to red when the score is next calculated the following week. This change could happen even if the index score remains the same if peers get better or worse the group position could change. Because of this comparative aspect to OCRS, doing nothing to improve your score is a risky option. Knowing your index scores and the detail of where your are attributed gives you the best chance of improving your compliance performance. Because the index score is an average number of per event, vehicle defects increase your score whereas clear test passes and problem-free roadside and fleet checks will improve it. A relatively high score can be improved An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score 5

6 quite quickly for example by ensuring vehicles pass their annual test first time. To improve your score: get regular reports from VOSA on your score, together with your test and encounter history check VOSA s data against your own records and challenge any discrepancies. Ensure drivers are aware of the importance of keeping records of roadside checks especially when the vehicle has been given the all clear. An example of advice to drivers is contained in Appendix 3 (page 11) investigate areas of poor performance and set targets for improvement ensure vehicles pass their first and annual tests first time you could include this in a service level agreement with your maintenance provider if appropriate put an effective maintenance system in place, including ensuring: driver defect checks are carried out properly regular training and audits can help to improve this (see daily driver walk around check audits box) vehicles receive regular safety inspections defects are rectified and proper records are kept ensure drivers hours and tachograph rules are complied with, including: schedules comply with the rules and pay schemes do not encourage breaches drivers are properly instructed records are regularly checked for compliance ensure vehicles are not overloaded regular training and random weight checks (including axle as well as gross weights) can help to improve this carry out regular audits in relation to vehicle maintenance, drivers hours, tachographs and vehicle loading to ensure: adequate systems are in place, and those systems are followed Regular audits could include inspections of vehicle condition or analysis of tachograph charts. These could be used to give depots or departments an in-house OCRS score where index scores are generated and depots are benchmarked against each other Daily driver walk around check audits These involve stopping your own vehicles immediately prior to them leaving your premises to check their mechanical condition. The engineer(s) checking the vehicles should be sufficiently independent to be able to check the condition of the vehicle without fear or favour of the results. The key benefits can include: preventing unroadworthy vehicles leaving your site auditing the quality of daily driver defect checks. Where defects are found that should have been spotted by drivers, it is important that their line managers follow this up with an interview to explore the reasons for this preparing drivers for a real-life roadside inspection by VOSA. Drivers who display extreme nervousness can often be viewed by enforcement officers as having something to hide. A company controlled check by an engineer who is unknown to the driver can help to recreate the circumstances and pressures of a roadside check Frequently asked questions Q Why doesn t VOSA merge the roadworthiness and traffic enforcement scores into one single score? A The scores are kept separate because of the difference in proportion of vehicles that are encountered by VOSA in the two areas. Every first and annual test, together with encounters with vehicle examiners, will affect the roadworthiness score, yet the traffic enforcement score is only made up of problems identified by traffic examiners. Q I hold several operator licences with historic scores. Are these taken into account when a predictive score is being allocated to my new operator licence? A Not specifically. Each operator licence is treated independently and will not be linked to any other licences held by the operator. The predictive score will be based on a comparison made against all current operators with similar characteristics. Q Can I receive an OCRS score for another operator and can anyone get access to my data without my permission? A No. OCRS is governed by data protection legislation and authorisation is required. Q Can I get an OCRS score for an individual vehicle? A No. The scoring system has been set up to distinguish between operators not vehicles. Vehicles can change hands frequently so the history of a vehicle could lead to a wrong impression being given about the current operator. 6 An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score

7 Q Are trailers counted towards my OCRS score? A It depends. Trailer details are not allocated to operators at the annual test because of the difficulty in allocating trailers to operators. However, any s that are issued at the roadside are included and allocated to the operator using the drawing vehicle. Q Will vehicle defects in relation to my light goods vehicles or those vehicles exempt from operator licensing be included in my score? A No. The score only includes information for O licensed vehicles. Q What happens if I appeal a? A A pending appeal will not have any effect until it has been accepted. If a is rescinded after an appeal any defect items found will be removed and therefore excluded from the OCRS score. If the encounter is then classed as a clear encounter then this will have a positive effect on the total score. Q Do fixed penalties count towards OCRS? A No. Fixed penalties are not currently included as part of the score. VOSA is working on a graduated system which is expected to be completed in spring In the meantime, the shown in Appendix 2 will be used. Q Are foreign registered vehicles scored on OCRS? A OCRS is based on scores attributed to operator licence numbers. This is possible because the data that supports it is held by VOSA. However, VOSA does not have access to operator details belonging to operators outside Great Britain. As data is being captured from the growing number of encounters that VOSA is having with operators that reside outside Great Britain, OCRS will include scores for these operators in the future. At the moment rates are calculated for each country, and the likelihood of compliance can be compared between operators from various countries. An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score 7

8 Appendix 1 Vehicle defects table Calculation of and testing The table shown below is used as a look-up table by VOSA staff when assessing operator reports. The table lists the number of given to each defect found at annual test or roadside check. The look-up table are found using Inspection Manual (IM) numbers which correspond to the item numbers contained in the manual VOSA inspectors use to categorise defects. The are weighted for safety significance. For example at annual test: Brake Systems and Components (IM59) score 6; Windscreen Wipers and Washers (IM25) score 2. The weighting is consistent with the seriousness as viewed in the Road Traffic Act 1988 as amended. The first/annual test failure items (column 2) are set lower to spot check figures as the emphasis is on the condition of vehicle in the working environment rather than on the condition at the time of test. Immediate s attract more than those that are delayed. An inspector may decide that a defect indicates a significant failure in the operator s maintenance arrangements and mark it with an S (for significant failure ). This, as you can see from the table, increases the defect point value. An example of this is IM44 Oil and Waste Leaks Delayed Prohibition score 6 but if there is deemed to be a significant maintenance issue then the score increases to 12. Failure item/defect no IM Vehicle testing failure item Immediate Delayed Significant marked failure item/ defect no S marked immediate S marked delayed 1 not allocated S not allocated S seat belts S not allocated S exhaust emissions S road wheels and hub S size and type of tyres S condition of tyres S sideguards, rear under-run devices S and bumper bars 10 spare wheel and carrier S vehicle and trailer coupling S trailer park and emergency brakes S and air line connections 13 trailer landing legs S spray suppression, wings and wheel S arches 15 cab security S cab doors S cab floor and steps S driver s seat S security of body, containers and crane S support legs 20 condition of body S not allocated S mirrors S glass and view of the road S not allocated S windscreen washers and wipers S speedometer/tachograph S horn S driving controls S An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score

9 Failure item/defect no IM Vehicle testing failure item Immediate Delayed Significant marked failure item/ defect no S marked immediate S marked delayed 29 not allocated S steering control S not allocated S not allocated S speed limiter S pressure/vacuum warning and build S up 35 not allocated S hand lever operating mechanical S brakes 37 service brake pedal S service brake operation S hand operated brake control valves S not allocated S condition of chassis S electrical wiring and equipment S engine and transmission mountings S oil leaks S fuel tanks and systems S exhaust systems S not allocated S suspension S not allocated S not allocated S not allocated S not allocated S axles, stub axles and wheel bearings S steering mechanisms S not allocated S not allocated S transmission S not allocated S brake system and components S not allocated S not allocated S rear markings and reflectors S lamps S not allocated S not allocated S Direction indicators and hazard S 12 8 warning lamps 67 aim of headlamps S not allocated S not allocated S not allocated S service brake performance S secondary brake performance S parking brake performance S other dangerous defects S not allocated S An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score 9

10 Appendix 2 Traffic enforcement table The following table lists the allocated for OCRS purposes for fixed penalties, s and prosecutions for non-mechanical defects. It is split into drivers hours and records infringements and other infringements such as overloading. Offence description Drivers hours and records OCRS Use unauthorised driver card A.14(4)(a) EC /85 Use defective/expired driver card A.14(4)(a) EC /85 False entry (record or document) S99ZE(1)(a) (2) 76 & (4) TA68 Alters record/entry S99ZE(1)(b) (2) & (4) TA68 76 Falsify/suppress/destroy data Art 15(8) EC 3821/85 76 Produce false hard copy of data S99ZE 3(d) & 4 76 TA68 False chart abroad 11 (18A) 76 False inst 45hrs (18B) 76 False chart abroad 9H (18C) 76 False record 9HR (31A) 76 False record 45HR (31B) 76 False record 9HR (31C) 76 False record 36HR (31D) 76 False record 45HR (31E) 76 False record DM 8HR (31F) 76 False document 11HR (32A) 76 False document 11HR (32B) 76 False document 24HR (32C) 76 False document 36HR (32D) 76 False document 45HR (32E) 76 False document DM 8H (32F) 76 Alt entry wit dec 11 (33A) 76 Entry w.i.t. dec 45HR (33B) 76 Alt entry wit dec 24 (33C) 76 Alt entry wit dec 36 (33D) 76 Alt entry wit dec 45 (33E) 76 Alt entry witd DM 18 (33F) 76 Unauthorised device fitted Art 15(8) EC 3821/85 60 Unauth wire (20A) 60 Tamper tacho calib (23A) 55 Tacho wring K factor (23B) 55 Fail to permit copy of data S99ZA(2)(b) TA68 49 Use record sheet/dri.card too long A15(2) 49 EC3821/85 Fail to produce charts/d.card/p-out A EC3821/85 Fail to produce documents S99ZA(1)(c) TA68 49 FTP charts 11HR proh (.3A) 49 Offence description OCRS FTP RS/CRD/P.OUT 24H (.3B) 49 FTP charts 45HR proh (.3C) 49 FTP charts 36HR proh(.3d) 49 FTP charts 9HR proh (.3E) 49 FTP RS/CRD/P.OUT 8H(.3F) 49 FTP charts DM 8HR pr (.3G) 49 FTP records 11HR (14A) 49 FTP records 24HR (14B) 49 FTP RECS 24HR SEC99 (14C) 49 FTP RECS 36HR SEC99 (14D) 49 FTP RECS 45HR SEC99 (14E) 49 FTP DOCS TIL PROD (14F) 49 FTP RECS DM 8HR SEC99 (14G) 49 Exceed 10hr drive contrary Art. 6.1 EC561/ Exceed 9hr drive contrary Art. 6.1 EC561/ Insufficient daily rest in 24hr period Art EC561/2006 Insufficient daily rest DM in 30hr period Art EC561/2006 Insufficient daily rest DM in 24hr period Art EC561/2006 Exceed 10hr 11hr pro (35A) 47 Exceed 10hr 8hr pro (35B) 47 Exceed 10hr 9hr pro (35C) 47 Exceed 9hr 11hr pro (36A) 47 Exceed 9hr 8hr pro (36B) 47 Exceed 9hr 9hr pro (36C) 47 Daily rest SM 11rs (38A) 47 Daily rest SM 8rs (38B) 47 Daily rest SM 9rs (38C) 47 Fail to make rec recd/entry S99ZE(1)(d), (2)&(4) 44 TA68 Fail to rec data on tacho/card S99ZE 3(f)&4 TA68 44 Fail to use tacho record/dvr.card A15.2 EC 3821/85 44 No record in use 11h (25A) 44 No record in use 24h (25B) 44 No record in use 45h (25C) 44 No record in use 36h (25D) 44 No record in use 9h (25E) 44 No rec in use DM 8h (25F) 44 Insufficient weekly rest period cont Art.8.6 EC /2006 Daily rest DM (.39) An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score

11 Offence description OCRS Weekly rest 24 proh (.40) 42 Weekly rest 36 proh (.4A) 42 Weekly rest 45 proh (.4B) 42 Weekly rest 48 proh (.4C) 42 Weekly rest 60 proh (.4D) 42 Weekly rest 69 proh (.4E) 42 Weekly rest 72 proh (.4F) 42 Weekly rest 81 proh (.4G) 42 Weekly rest 90 proh (.4H) 42 Exceed 4.5hrs driving contrary to Art7 40 EC561/2006 Exceed 4.5hrs drive (.34) 40 Tacho repair not in accord. Art12 Annex1B 39 EC3821/85 Tacho not sealed in accord. Annex1B EC 3821/85 39 Tacho repair not in accord. Art12 Annex1 39 EC3821/85 Tacho not sealed in accord. Annex1 EC 3821/85 39 Tacho not fitted (.19) 39 Tacho not prop. fit (.20) 39 Tacho repair (anog) (.22) 39 Tacho not sealed (.23) 39 Exceed 56HR drive contrary Art. 6.1 EC561/ Exceed 90HR drive contrary Art. 6.3 EC561/ Exceed 90 HRS (.37) 37 Exceed 90hrs 36H pr (37A) 37 Exceed 90hrs 36H pr (37B) 37 Exceed 90hrs 45H pr (37C) 37 Defective tachograph (.21) 36 Use dirty/damaged record/dri.card Art 15(2) /85 Damaged chart 11HRS (30A) 31 Damaged chart 24HRS (30B) 31 Damaged chart 9HRS (30C) 31 Damaged chart 36HRS (30D) 31 Damaged chart 45HRS (30E) 31 Damaged chart DM 8HR (30F) 31 Fail to amend chart/driver card Art 15(2) 3821/85 29 Fail to enter periods of time Art 15(2)(a) 3821/85 29 No start/end country symbol A15(5a) EC 3821/85 29 Fail to print/detail (start) A.15(1)(a) EC 3821/85 29 Fail to print/detail (end) A.15(1)(a) EC 3821/85 29 Offence description OCRS FTP Rost. 45HR Sec98 (12A) 29 FTP Rost. 24HR Sec98 (12B) 29 FTP charts 36HR proh (12C) 29 Chart detail CF 11HR (26A) 29 Chart detail CF 24HR (26B) 29 Chart detail CF 24HR (26C) 29 Chart detail CF 36HR (26D) 29 Chart detail CF 45HR (26E) 29 Chart det CF DM 8HR (26F) 29 FTP Rost. Sec99 45HRS (10A) 27 FTP Rost. Sec99 24HRS (10B) 27 FTP Rost. Sec99 336HRS (10C) 27 Other infringements Forg & misuse docs (.3) 70 Obstruct examiner (.1) 51 Obstruct exam veh. (.2) 51 Width >2.55M fridge (.43) 43 Exceed height (.45) 43 Load with proj (.70) 43 Width veh & load (.71) 43 Load >4.3M width (.72) 43 Marker board illum (.73) 43 Front project load1 (.74) 43 Rear project load 1 (.75) 43 Front project load2 (74A) 43 Rear project load (75A) 43 Exceed max seat cap (.6) 42 Exceed max standees (.7) 42 Overload (O/L) 40 Width >2.60M fridge (.44) 35 Length >15.5M artic (.47) 35 Length <16.5M artic (.48) 35 Length >18M rigid&tr (.49) 35 Length <18.35M r&t (.50) 35 Length >12M rigid (.51) 35 Length >18M artic PSV (.52) 35 Above 3M height (46A) 35 Height alarm (46B) 35 No community lic (11A) 31 No community auth (A12) 31 Regular service auth (.11) 25 No waybill (.13) 25 An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score 11

12 Appendix 3 Vehicle s a guide for drivers What are vehicle s? Authorised vehicle examiners of the Vehicle and Operator Services Agency (VOSA) or the police can stop and inspect your vehicle on the road to check that it is roadworthy. If defects are found on the vehicle, they can issue a notice as an alternative to taking you and the operator to court. The s must be removed to allow the continued use of the vehicle. Vehicle s are recorded on our operator s record, and will increase the likelihood of other vehicles used by us being targeted for further enforcement action. Too many s or failure to get them removed, could ultimately lead to the curtailment, suspension or revocation of our operator s licence. This could mean that we would not be permitted to operate any vehicles over 3.5 tonnes. How many types of are there? There are two main types of immediate s and delayed s. They are issued by examiners using the form PG9, which is why s are often referred to as PG9s. 1 Immediate s are issued when an authorised examiner thinks that the vehicle is unfit to be on the road. The takes effect immediately and the vehicle may not be used until the is lifted. 2 Delayed s are issued by VOSA examiners for less serious defects. They do not prevent immediate use, but the defects must be rectified within a stipulated period. This period can be up to 10 days, depending on the seriousness of the defects. The vehicle must not be used after the end of this period unless the has been removed. How are s removed? Prohibitions are removed using the form PG10. A can sometimes be lifted at the roadside for example if a faulty light bulb is replaced on the spot. However, an officer can add a direction that the can only be removed by taking the vehicle for examination at a test station. Other than a PG9, are there any other types of forms? Yes, lots! Here is a list of the main types. PG9 immediate or delayed. The driver s copy of this form must be carried on board the vehicle at all times when in force PG9A alteration of a, for example to change a from immediate to delayed if the more serious defects have been rectified on the spot, but some minor problem remains PG9B allows the vehicle to be moved, subject to certain specified conditions PG9C explains why an examiner refused to remove a PG10 is used to remove a PGDN35 (or DN35EC) an inspection notice which can: certify that a vehicle has been passed free of faults, or list minor or advisory defects that do not justify What do I need to do? If you are stopped at a roadside check, you should: co-operate fully with the vehicle examiner. An examiner may drive the vehicle, ask you to comply with reasonable instructions, or they may divert your vehicle up to five miles to carry out a check contact your line manager as soon as possible, even if no paperwork is issued or s given if a is lifted by an examiner, make sure you get a copy of form PG10 keep all documentation safe and hand it to your manager when you return to base except the driver s copy of any notice which is in force, as this must be carried on the vehicle at all times. Even if the vehicle is given the all clear, it is very important that you give the PGDN35/DN35EC to your manager remember that a vehicle can be given more than one at the same time never drive a vehicle if it is subject to a unless: you are sure all s have been lifted or are not yet in force it is being road tested within three miles of where it has been repaired, or the defects have been rectified and you are driving to a test station appointment 12 An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score

13 How FTA can help FTA provides a range of products and services to help operators understand and manage their Operator Compliance Risk Score (OCRS), from information and advice through to training and auditing. For more information, please call * or visit the website: Information and advice FTA wants to ensure all operators fully understand how OCRS works and provide practical guidance on management actions that an operator can take to reduce their score. Free member briefings A dedicated Member Advice Centre (tel ) for any queries you may have Weekly news bulletins A regularly updated website at Analysis and news in FTA s monthly journal Freight Vehicle inspections and audits HGV Roadworthiness and Maintenance Inspections FTA s inspections comply with VOSA s Guide to Maintaining Roadworthiness which recommends operators quality monitor their maintenance arrangements and the level of service they provide to check compliance standards. It recommends operators invite a technically competent third party to periodically re-inspect or undertake a safety inspection, irrespective of whether current inspections are done in-house or contracted out. These inspections provide operators with an independent, impartial examination to ensure compliance with legal obligations. Vehicle Maintenance Systems Audit FTA s independent auditing of both the systems and procedures at each depot enables operators to see what maintenance arrangements are being complied with. These audits provide operators with confidence that any breakdowns in systems or compliance are identified and, more importantly, rectified. Driver Walk Around Check Audit FTA can quality monitor drivers defect reporting, check vehicles for defects following drivers walk around checks and cross reference with their defect report, before they leave the depot, providing operators with confidence that defects have not only been spotted but recorded to ensure vehicles go out in a roadworthy condition. Fleet Management Information FTA provides a range of reports to help managers effectively identify any safety defects or infringements with their fleet or systems. An OCRS report is available which highlights the number of an operator would have scored had the vehicle been stopped. Reports are available online via our interactive Reporting Gateway or by or hard copy. Training Driver Walk Around Check Training Drivers play a vital role in ensuring that operators keep to the roadworthiness undertakings of their O licence through walk around checks. OCRS is based on safety defects of vehicles so it is imperative that drivers undertake a comprehensive and thorough vehicle check. From analysis of our vehicle inspection database, FTA found that 56 per cent of possible s should have been identified by the driver. Categorisation of Defects Training A theory-based course providing engineers at a supervisory level with the necessary information to assist in correct decision making in respect of the minimum allowable operating standards. Specialist Inspection Training Aimed at engineers tasked with inspecting vehicles, the course provides the skills needed to comprehensively evaluate the condition of vehicles and conduct the highest standard of inspections. Transport office stationery * Shopfta provides a range of products to help drivers avoid gaining OCRS and operators to effectively manage the maintenance of their vehicles. Products include: OCRS Poster Driver Walk Around Check Cards Driver Walk Around Check Posters Driver Walk Around Check DVDs Drivers Handbook Vehicle Maintenance Stationery FTA can also help with the understanding and management of traffic enforcement issues that will affect an operator s OCRS. In particular FTA has a range of products and services to help operators manage the changes to the EU drivers hours rules, from information and advice through to training, consultancy and analysis. To find out how FTA can assist please call our Member Service Centre on * or info@fta.co.uk *Calls may be recorded for training purposes An FTA compliance guide: Understanding and managing your Operator Compliance Risk Score 13

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16 Freight Transport Association Limited Telephone: (a private limited company) Fax: Hermes House Website: St John s Road Tunbridge Wells Registered in England Number Kent TN4 9UZ FTA 09.10/ST