Transcript Transport Manager’s Workshop Thursday 28th June 2007

st
21
Century Haulier
Tuesday 4th June 2013
The Operator Licensing Regime
John Dyne
Agenda
How VOSA targets Operators
Public Inquiries
 Transport Managers (Seven Deadly Sins)
 Ways to lose your ‘Good Repute’ by being ‘non compliant’
 Operator’s relationship with the Traffic Area Office and the Traffic Commissioners
 More ways to lose your good repute
 Financial Standing
 Undertakings and statements of intent (‘Did you keep your promises?)
 Change of ‘Entity’/ Address (How to lose your licence despite being ‘compliant’)
 The key essentials for vehicle safety (Getting to the nub of the Operator Licensing Regime)
Vehicle Maintenance, PMIs and auditing
Driver Defect Reporting and Auditing
Forward Planning, PMIs and Annual Test
Anti Wheel loss – essential nut torquing / re-torquing procedures
Monitoring performance
 Dealing with prohibitions
 Managing vehicles when not in use
 Third Party Trailers
 OCRS
 Checklist
How VOSA targets Operators
OCRS – a risk based tool or a targeting tool?
VOSA’s Intelligence Officers
New Operator ‘visit’
Roadside ‘encounters’
MOT History Performance
Prohibition History
Conviction History
Public Inquiries
A Traffic Commissioner may hold such inquiries as he thinks necessary for the
proper exercise of his functions
Before a TC exercises his statutory powers of revocation, suspension, curtailment
or disqualification there is normally a Public Inquiry – the licence holder, TM or
anyone on the receiving end has the right to demand a PI before the TC makes a
direction or order.
Anyone can attend – it is after all a ‘Public Inquiry’
Reasons – Review of OC, unauthorised use of an OC, prohibitions, contravention
of licence condition, relevant convictions (including fixed penalties), false
statements of intent in application, unfulfilled undertakings, bankruptcy or
liquidation, material change in circumstances of the licence holder.
Prepare well for a PI – finances, adverse encounter history, conduct, convictions
may all potentially come into play. Maintenance systems and arrangements for
management of drivers hours will also come under scrutiny of the TC.
Countdown to a Public Inquiry
Previous warnings/ PIs
‘S’ marked prohibition – wheel security / braking system
Non ‘S’ marked prohibitions
Adverse maintenance inspection – on site prohibitions / poor records
Stretched PMI intervals
Poor MOT Performance
Recent convictions (failure to notify)
Failure to respond to correspondence
Call up letter detailing all the evidence the TC will consider
Submission of financial information in advance
Hearing date seldom adjourned
Penalty – a Deadly Sin or Conviction – a Serious Criminal Offence
Transport Managers
Standard Licence Holders are required to meet the requirements of
Professional Competence.
SLH’s need to designate at least one natural person with the
requisite professional competence, who is resident in the
community and is of good repute
Certificate of qualification can be by examination or entitlement
(‘Grandfather Rights’ now replaced by ‘Acquired Rights’)
Transport Managers
TM must be able to fulfil the statutory requirements for having continuous
and effective responsibility for the management of the transport
operations of the business –
the TM retains legal responsibility regardless of whether his or her
activities are delegated
A TM can be ‘internal’ or ‘external’ (external limited to 4 operators and 50
vehicles)
Transport Managers
If a TM loses ‘good repute’ then disqualified
from being a TM in any Member State
NB – good repute of TM is a factor taken into
account when determining good repute of a
Licence Holder
Ways to Lose your ‘Good Repute’ (non compliance route)
Serious Criminal offences and Road Transport Offences
TC must conclude an individual is not of good repute if
more than one conviction for a serious criminal offence or
has been convicted of road transport offences
Serious Criminal Offences
Any conviction where one of the following punishments
has been imposed:
Imprisonment exceeding 3 months
A fine exceeding Level 4 on the standard scale - £2,500
A Community Service Order for more than 60 hours
Road Transport Offences
Examples:
• Drivers’ Hours offences.
• Overloads
• Condition and safety of vehicles and loads
• Environmental offences
Regulation (EC) 1071/2009
The good repute of transport managers is conditional on their not
having been convicted of a serious criminal offence or not having
incurred a penalty, for a serious infringement, in particular, of
Community rules relating to road transport.
A conviction or penalty incurred by a transport manager or a road
transport undertaking in one or more Member States for the most
serious infringements of Community rules should result in the loss
of good repute.
Most serious infringements - 7 Deadly Sins
Drivers’ Hours infringements
1. (a) Exceeding the maximum 6-day or fortnightly driving time limits by margins of 25 % or more.
(b) Exceeding, during a daily working period, the maximum daily driving time limit by a margin of
50 % or more without taking a break or without an uninterrupted rest period of at least 4.5 hours.
2. Not having a tachograph and/or speed limiter, or using a fraudulent device able to modify the
records of the recording equipment and/or the speed limiter or falsifying record sheets or data
downloaded from the tachograph and/or the driver card.
Most serious infringements - 7 Deadly Sins
Condition of vehicles
3. Driving without a valid roadworthiness certificate if such a document is required under
Community law and/or driving with a very serious deficiency of, inter alia, the braking
system, the steering linkages, the wheels/tyres, the suspension or chassis that would create
such an immediate risk to road safety that it leads to a decision to immobilise the vehicle.
4. Transporting dangerous goods that are prohibited for transport or transporting such
goods in a prohibited or nonapproved means of containment or without identifying them on
the vehicle as dangerous goods, thus endangering lives or the environment to such extent
that it leads to a decision to immobilise the vehicle.
Most serious infringements - 7 Deadly Sins
Lack of entitlements
5. Carrying passengers or goods without holding a valid driving licence or carrying by an
undertaking not holding a valid Community licence.
False documents
6. Driving with a driver card that has been falsified, or with a card of which the driver is
not the holder, or which has been obtained on the basis of false declarations and/or
forged documents.
Overloads
7. Carrying goods exceeding the maximum permissible laden mass by 20 % or more for
vehicles the permissible laden weight of which exceeds 12 tonnes, and by 25 % or more
for vehicles the permissible laden weight of which does not exceed 12 tonnes.
If an Operator or a TM are convicted of a serious criminal
offence or they incur a penalty for a deadly sin the default
position is loss of repute unless the TC makes a finding loss
of repute would constitute a disproportionate response.
Other ‘discretionary’ grounds for loss of good repute
Individuals
The TC can have regards to any matter but in particular:
• Relevant convictions of the individual or of his servants or agents;
• Any other information in the TC’s possession which appears to him to relate to
the individual’s fitness to hold a licence
Companies
Any relevant convictions of the company or of its officers, servants or agents
Any other information in the TC’s possession as to the previous conduct of :
• Any officer, servant or agent
• Any of the directors, in whatever capacity
If that conduct appears to relate to the company’s fitness to hold a licence
Examples of ‘Relevant Convictions’
Offences involving:
• Plating certificate and goods vehicle test certificates
• Maintenance of vehicles in a fit and serviceable condition
• Limits of speed and weight and loading of goods vehicles
• Licensing of drivers
• Any offence under GV (Licensing of Operators) Act 1995
• Illegal use of fuel
• Drivers’ hours offences
• Failure to keep records of inspection of goods vehicles
• Environmental offences – illegal deposits of controlled waste
• Traffic regulation orders – lorry routes
Operator’s relationship with the Traffic Area
Office and the Traffic Commissioners
“A licence is issued to an operator on trust that the operator will
comply with the requirements and that the application form has
been fully and honestly completed”.
You will often hear a TC say – ‘Trust lies at the very heart of the
operator licensing regime’. ‘ I need to be sure I can trust you with
a licence and trust that you will comply with your statement of
intent and the undertakings you have given to me’. ‘
Any adverse findings by a TC are going to be extremely hard to
dislodge on appeal.
More ways to lose your Good Repute
Previous adverse history – warnings/ other PI
Prohibitions
Convictions and Fixed Penalty Notices
A persistent failure to comply with undertakings
Failure to notify material changes (financial difficulty)
An application form that is untruthful
False bank statements
Failure to disclose convictions
Phoenix arrangements to avoid previous liabilities
Dishonesty and illegal operation
An attempt to deceive the TC in dealings with (i.e. Untruthful application) or at PI
Alteration of documents to deceive TC / VOSA
Attempts to circumvent the licensing system
Bankruptcy/ Liquidation
Abusive behaviour towards VOSA and other members of OTC staff
Failure to heed advice
Unauthorised use of place as OC
Loan of discs
TMs not exercising continuous and effective responsibility
Use of untaxed fuel
Use of uninsured, untaxed vehicles or vehicles out of test
Use of vehicle without clearing a prohibition
Financial Standing
• At the time of application for an OL
• Every 5 years a Declaration of Financial Standing/ Adequate Financial Resources
• Also whenever additional vehicles are applied for / upgrade from RL to SL
• At PIs
• Finance Standing for SLHs is set by the SOS.
• Finance Requirement for RLH’s is set by the TCs.
TC can provide up to 6 months for the SLH to demonstrate the financial requirement will
be met on a permanent basis (It is assumed same applied to RLHs).
Licence Type
First Vehicle
Each Additional Vehicle
Standard
£8,100
£4,500
Restricted
£3,100
£1,700
Undertakings
Statement of intent
How to lose your licence despite being ‘compliant’
 Change of entity or identity of operator must be notified
 Sole Trade to Partnership (new licence required)
 Partnership to Sole Trade (new licence required)
 Addition of a partner(s) to an existing partnership dissolves old partnership and
creates a new partnership (new licence required)
 Resignation of one of 3+ partners dissolves old partnership and creates a new
partnership (new licence required)
 Incorporation of Sole Trade or Partnership (new licence required)
 Note Schedule 4 procedure for transfer of Operating Centre where there is
no change other than that of the identity of the operator
 Change of correspondence address must be notified
The key essentials for vehicle safety
Driver Defect
Reporting
Driver Defect Report
Forward Planning
Frequency of Inspections
Annual Test
Importance of pre-MOT preparation and
safety inspections
Refer to VOSA’s annual test inspection
manuals
Mrs Bell considers a 95% pass rate
‘acceptable’
PRS Policy.pdf
Safety Inspections
Wheel nut torquing procedure
Code of practice for the selection and care of tyres
and wheels for commercial vehicles states:
Retorque wheel nuts after:30 minutes or after having travelled for between
40 km and 80 km (25 to 50 miles).
Monitoring Performance
“Even when you get on well with a contractor, you should have a system for regularly
Continuous
reviewing and monitoring of the quality of the systems in
monitoring the quality of work done. Obtaining first time pass rate annual test data
place
is essential
toone
ensure
that
they are
comprehensive
tobut this
from the
contractor is
way of
checking
thatsufficiently
their performance
is satisfactory,
do
the job.
should
be supplemented by other checks.
Drivers
The
external
contractor
Guide
to
maintaining
roadworthiness
 Cross referencing with Safety
Inspections
 Quality of daily driver checks
Any sign
of unreliability,
incompetence
or other
shortcomings
causing athird
reduction in the
One
method
of monitoring
is to invite
a technically
competent
standards
achievedto
should
receiveor
prompt
attention.
Here again
a good working
party
periodically
re-inspect
undertake
a safety
inspection
relationship can help, but if problems persist you might well consider a change of
irrespective of whether inspections are done in-house or are
contractor.”
contracted out.
Prohibitions
The problem –
Part of an operator’s encounter history (OCRS)
“S” marked prohibitions
Do nothing –
Accept prohibition
Appeal –
Lodge Complaint against a prohibition
Refer to Customer Complaints Co-ordinator
Refer matter to the Independent Adjudicator
Managing Vehicles when not in use
Under repair
Awaiting repair/ scrapping
Withdrawn from service
Accident damaged
Should such vehicles be examined
or prohibited?
Persuasive evidence vehicle not in use
Notice in cab / fixed to trailer – stating vehicle VOR
and not to be driven
De-specify vehicle (don’t forget to re-specify before
re-use)
If vehicle in for inspection do not indicate to VE that
safety inspection has been completed!
Trailers
 The problem….
 Its not my trailer!
 I was contracted to collect a pre-loaded trailer!
 I have no access to the safety inspection records
Practical solutions
 Agree customer/ owner to be responsible
 Records (obtain and retain for 15 months)
 Mobile Mechanic (if all else fails)
 Driver training (Training/ capability issues?)
VOSA uses the Operator Compliance Risk Score (OCRS) system
to decide which vehicles should be inspected.
OCRS is used to calculate the risk of an operator not following the
rules on roadworthiness (the condition of its vehicles) and traffic
(e.g. drivers’ hours, weighing checks).
If your OCRS is high, it’s more likely
that your vehicles will be inspected.
The Operator Compliance Risk Score (OCRS) system is based on
data collected by the Vehicle and Operator Services Agency (VOSA)
over a 3-year rolling period.
Data is taken from annual tests, roadside inspections and inspections
at operators’ premises.
Scoring is split into 2 categories:
Category
Where the data comes from
Roadworthiness
Vehicle tests (first tests, subsequent annual
tests); ‘vehicle encounters’ (fleet check
inspections at operator premises, roadside
inspections)
Traffic
Roadside inspections and prosecutions (e.g.
for drivers’ hours and tachograph offences,
weighing checks)
As an operator you get points when a test or inspection finds a defect or
infringement of the rules. The more serious the defect or infringement,
the more points.
R (red - highest risk), A (amber - medium risk) or G (green - lowest risk).
Checklist
Administration:

Use online System – get login ID and password

Ensure changes of address are notified to TAO

Changes of entity – this may result in automatic revocation or otherwise require a fresh licence application

Convictions – write in to TAO with an explanation (it is a condition of your licence)
Prohibitions:

Either lodge complaint or write in to Traffic Area Office with an explanation
Safety Inspections

Ensure safety inspections are undertaken within stated frequencies (external audits) (torquing policy)

Ensure drivers do their daily checks – record checks and any defect rectifications (wheel nuts) (audits) (Training)

Ensure pre-use safety inspections for trailers / vehicles where first use is outside stated inspection intervals

Remember customer trailers used by you are still your responsibility (pre-use safety inspections)

Ensure all safety inspection records are completed and signed off
Enforcement & MOT History:

OCRS – find out your score – its good to be green.

Preparation for MOT – RBT / headlamp aim prior to MOT (Voluntary Check).
Questions?