1. Enforcement priorities and OCRS changes
23 November • Southampton

2. Stuart Carter
Driver and Vehicle Standards Agency

3. DVSA: Vision for Compliance
Making sure commercial vehicle operators, drivers and vehicles meet safety standards and road safety regulations.
Taking enforcement action against vehicle operators and drivers who don’t comply with the rules and regulations or fail to meet standards
DVSA vision for operator compliance and to update on the progress of an Earned Recognition scheme.
Supported my Mark Horton Traffic Compliance Product Manager on the DVSA stand.
Safety Standards Service

4. DVSA Enforcement Target
2016/17 Business Plan deliverables;
Carry out 188,000 targeted compliance checks
Detect 20,418 serious roadworthiness defects and traffic offences

5. Serially non- compliant
Compliance Vision
To introduce more efficient & effective interventions without compromising standards or outcomes
Compliant
Mostly
Satisfactory
Non- compliant
Serially non- compliant
Exemplar
Continued disruptive targeting
Remote
compliance
Remote
Compliance
Inspections & visits
DVSA recongnises the transport industry is segmented, ranging from exemplar operators who are industry leaders in compliance standards to serially or intentionally non-compliant.
DVSA wants to adopt appropriate strategies to manage each segment of the industry, We want to recognise operators who adopt a culture of compliance and treat them differently to operators who are willfully or serially non-compliant.
DVSA wants to develop remote compliance products to enable a more efficient and pragmatic approach for monitoring compliance for the operators who have a good track record, which will free off front-line resource to target and disrupt the non-complaint
Safety Standards Service

6. Serially non- compliant
Identifying the “exemplar operators”
Earned Recognition Concept
How do we pick out the good operator?
Compliant
Mostly
Satisfactory
Non- compliant
Serially non- compliant
Exemplar Operator
Earned Recognition is about accrediting operators investment in compliance. This means we will reduce the burden on the compliant and enable our front-line enforcement to focus on the serially or serious non compliant.
Considerations
Agree KPIs
Define Standards and T&Cs
Monitoring dashboards/ IT solutions
Network Business Manager - Role
data orientated
compliance
working with industry
remote
monitoring
Develop a model for 3rd Party Audits
Next Steps
What we want What you get
Operators with an excellent track record of compliance Recognised ER status published on
Provide DVSA with access to their compliance systems Treated differently at roadside
Demonstrate continuous and effective management control ER status for OCRS & ANPR
Adopt a culture of compliance and proactive management regime Light touch monitoring
Access to DVSA Business Network Manager
Once accredited DVSA will:-
Publish a list of operators who are accredited
Change roadside instructions to treat ER vehicles differently
Update ANPR & OCRS to show an ER status.
Adopt a light-touch remote monitoring regime to check KPIs.
Assign a Business Network Manager to the operator
Feasibility study to test the earned recognition concept

7. Remote Enforcement Office (REO)
Grey Fleet
Tachograph
Desk Based Assessment
Search
Contact
Assess
Confirm
S Mark Prohibitions
New Operator Seminars
Overloads
Insecure Loads
Traffic Commissioner Requests
Remote Enforcement Office conducts desk based assessments to establish an operators compliance. This means operators who are compliant will be able to continue trading without the need for a physical enforcement visit. Operators found to be non compliant will be addressed through the Area Enforcement division.
The tachograph records the drivers activities including driving and rest periods.
Tachograph centre checks
Delivering a new level of intervention which is effective, efficient and encourages improvement in compliance:
Desk based assessments
Improved interventions
Nudge interventions
Interventions less intrusive
Robust processes to identify non-compliance
Use predictive analytics to identify operators with decreasing compliance levels
Increasing our intervention opportunity and footprint
What you need to do:
Never ignore our communications
Always contact us if there are delays
Provie information as requested
Use your trade association.
Remember: This is how we will identify your compliance!
Prohibitions Returns
Safety Standards Service

8. Strategic Traffic Management Office (STMO)
Disruptive Targeting
Intelligence
Tracking
Targeting
Co-ordinate
HGV Levy Enforcement
National Road-check Overview
Serious offence detection
Check Site Analysis
ANPR Data development
Strategic Traffic Management Office uses Automatic Number Plate Recognition software to more effectively target the non-compliant
REO support
Using networked ANPR technology
Profiling target operators
Increasing data sets to improve roadside targeting
This is about putting our examiners in the right place, at the right time to target the seriously and serially non-compliant.
Safety Standards Service

9. OCRS Changes Low Risk Medium Risk High Risk No Data GREEN AMBER RED
GREY
DVSA since the last changes to OCRS in 2013 had feedback on the effectiveness of OCRS from DVSA staff and comments on how the system impacts operators.
This has been considered in developing a number of changes to OCRS.
Safety Standards Service

10. OCRS Changes 2016
Combine the roadworthiness and traffic data to produce a single OCRS score for use by DVSA staff.
Red - Roadworthiness
Combined
Amber
Green – Traffic
Research showed that where an operator was selected for inspection on the basis of roadworthiness scores this invariably resulted in enforcement action for Traffic Offences.
Traffic and Roadworthiness scores will be combined to show a single risk banding for DVSA staff.
Operators will continue to see both Traffic and Roadworthiness scores and the combined score on OCRS reports however only the combined score will be shown on the on-line portal.
Combined scoring will also have the effect of reducing the numbers of operators in the Grey (no data) band.
Safety Standards Service

11. OCRS Combined Scoring Chart
OCRS Changes 2016
OCRS Combined Scoring Chart
Type of OCRS Score
Number of OCRS Events
Total Events Points
Total Prosecution Points
Event Points plus Prosecution Points
Calculated Base Score
Calculated OCRS Band
Final OCRS Band
Combined
533
9,412.55
17.66
Amber
Roadworthiness
316
2,543.80
8.05
Green
Traffic
217
6,868.75
31.65
Red
THIS SLIDE BUILDS
1. Combined score is calculated by adding both the Roadworthiness and Traffic Scores to give a combined scores for number of events (roadside encounters, annual tests etc), event points arising from defects and offences and a total including any prosecution points.
2. These are then divide by the total number of events (roadside inspections, annual tests etc).
3. This calculated baseline score is then used to determine the final risk banding (Red, Amber, Green).
Operators will continue to have access to this information through the OCRS Operator report.
Both Vehicle Examiner fleet assessments and Traffic Examiner operator visits and the outcomes of other desk based assessments will be added to an operators OCRS score.
Operators are given credit (a reduction for in the event points) for Satisfactory and Mostly Satisfactory outcomes and have event points added to a score the outcomes of Unsatisfactory and Unsatisfactory refer to Office of Traffic Commissioner outcomes.
Safety Standards Service

12. OCRS Changes 2016
Introduce the results of fleet assessments and the Remote Enforcement Office (REO) desk based assessments into the scoring system.
Outcome
Type
Unsatisfactory report
to OTC
Unsatisfactory
Mostly Satisfactory
Satisfactory
Roadworthiness
+ 500 points
+ 250 points
- 50 points
- 100 points
Traffic – Drivers Hours
points
points
Traffic - Other
Whilst the unsatisfactory points are greater than satisfactory points they do at the highest score (1000 points for Traffic Examiner – Drivers Hours report to OTC) are only just above the points attributed for finding 3 Band 5 offences during a roadside inspection.
Safety Standards Service

13. OCRS Changes 2016
Remove the ‘straight to red’ trigger system for Most Serious Infringements and DVSA prosecutions
Add weighting to prosecution points so these reduce over three years
Reduce the points for DVSA operator prosecutions and band 5 offences from 500 points to 300 points
Add filter to ensure that verbal warnings do not attribute OCRS points
Add filter to ensure that fixed penalties issued for roadworthiness defects are not double counted along with the prohibition.
Removal of the straight to red will be replaced by a more targeted approach to those operators who commit Most Serious Infringements
Adding a time weighting to points gained from prosecutions in the same way that we currently do for roadside outcomes so that they reduce over time (x1 in year 1, x 0.75 in year 2, x 0.50 in year 3)
It was found that 500 points for a Band 5 offence was having and adverse effect on operators scores.
The remainder of the changes are system fixes that are being added as the result of operator feedback and also future proofing OCRS
There are occasions where an examiner can issue a verbal warning to an operator for an offence. Whilst this was shown on DVSA’s roadside system it was not reflected in OCRS.
There were instances where operators received a roadworthiness prohibition for a defect and the driver received a fixed penalty for the resulting offence. As they were issued separately on the Roadworthiness and Traffic systems they effectively double counted. This is being rectified with the fixed penalty points being suppressed in these instances.
Safety Standards Service

14. OCRS Changes 2016
Enable the ability for operators with Earned Recognition status to be identified and not targeted for inspection.
OCRS operator report will be amended to reflect the changes.
Visit and desk based assessment outcomes suppressed at the start and will be introduced slightly later.
Timing: Aligned to introduction of OLCS
Looking forward where an operator achieves Earned Recognition status there OCRS banding will show the operator as being in Earned Recognition and therefore the operator should not be selected for roadside inspection. OCRS will continue to calculate in the background and Operators will continue to be able to see their OCRS reports.
A revised OCRS Operator report will be introduced that will show the combined score and also the outcomes from operator visits/desk based assessments.
Whilst the processes around desk based assessments and operator visit outcomes are being finalised, the use of these scores will be suppressed. Once this has been resolved these scores will be introduced. It is not clear at the moment when this will be.
Remainder of the changes will be introduced once OLCS has gone live this is currently expected to be towards the end of 2016.
Further information on changes, roll out dates will be made available through Trade Associations and the Moving On blog. On roll out of the changes the OCRS advice and guidance on GOV.UK will be updated to reflect the changes.
Safety Standards Service

15. Roadworthiness Enforcement 2015/16
DVSA Effectiveness –
Roadworthiness Enforcement 2015/16
Vehicle Group
RW Encs
(Inc sifts)
Proh Nos
% Proh
HGV (GB)
46,423
10,155
33%
HGV (Foreign)
46,363
10,007
Trailer (GB)
11,994
3,598
32%
Trailer (Foreign)
31,424
12,580
42%
PSV (GB)
9,443
1,715
18%
PSV (Foreign)
166 48
29%
LGV (GB)
14,151
8,544
61%
LGV (Foreign)
563
309
56%
Top 5 HGV MV prohibition defects:
Brake systems and components
Condition of tyres
Direction indicators
Lamps
Service brake operation
Safety Standards Service

16. Fleet Compliance Checks 2015/16
Prohibition/Serious Offence
2015/16 rate
Trend
GB HGVs
Vehicle
9.4%
= % /15
Trailer
10%
= % /15
Traffic
8.9%
↑ % /15
Non-GB HGVs
13.7%
↓ % /15
20.7%
= % /15
14.1%
↓ % /15
PSV
Vehicle (all) NA
no trend
Traffic (coach)
7.8%
Insufficient historical data for coach checks
Safety Standards Service
Fleet Compliance is a national survey of randomly stopped vehicles.
Top 5 HGV prohibition defects:
GB Foreign
Condition of tyres Spray suppression
Brake systems & components Brake systems & components
Direction indicators Direction indicators
Suspension Condition of tyres
Service brake operation Steering mechanism

17. Roadworthiness Defects
Safety standards Service
Driver and Vehicle Standards Agency incorporates DSA and VOSADVSA incorporates DSA and VOSA

18. Roadworthiness Defects
Safety Standards Service
Driver and Vehicle Standards Agency incorporates DSA and VOSADVSA incorporates DSA and VOSA

19. Roadworthiness Defects
Driver and Vehicle Standards Agency incorporates DSA and VOSADVSA incorporates DSA and VOSA
Safety Standards Service

20. Roadworthiness Defects
DW Coach travelling on the motorway full with children!
Safety Standards Service

21. Roadworthiness Defects
Safety Standards Service

22. Load securing Now integral part of roadside enforcement
Concerns all goods vehicles irrespective of size
Guidance available on Gov.uk
Clear distinction between load containment and load securing
Overview slide of load security enforcement making the point that this is now embedded into our roadside process. All front line enforcement staff have been trained in load security enforcement and will target vehicles which have an obvious load security problem i.e. Bulging curtains etc.
We can also direct them to the load security guidance which is available on the Gov.uk web site which provides all sorts of information on how to secure different types of loads and what our expectations are. Importantly it also sets out the responsibilities of those involved in the transport chain from the consignor who loads the vehicle to the driver who is responsible when they are on the road etc.
The distinction between containing a load and securing a load is important because we do not consider the curtains on a normal trailer as providing security, they merely contain the load and provide weather protection. This is something which is covered in the guidance and supported by the HSE guidance, EU and DfT best practice guides which all state that you should load a curtain side vehicle as if it were a flat bed vehicle without curtains.
Those who load vehicles should be aware that even light loads can cause damage if they fall out when the person responsible for off loading the vehicle pulls the curtains back.
Safety Standards Service

23. Load securing Some example of load shifts.
The first two are an Italian vehicle pulled in at Dover which was laden with bags of clothing, this clearly shows that the movement of the load has deformed the trailer itself which demonstrates the weakness of the structure of a normal trailer.
The other pictures show loads which have moved in transit, the one on the bottom left caused the vehicle to overturn and deposited the load onto the pavement next to a bus stop, fortunately nobody was stood there at the time.
The final photo shows the load of carpets falling to the back of the trailer.

24. Load Security .
This vehicle was stopped recently as part of some work we were doing around vehicles transporting other vehicles.
The point of the pictures are to demonstrate the condition of straps used by drivers to secure valuable loads.
Safety Standards Service

25. Lashing Straps .
The straps used on the front vehicle were badly worn and clearly damaged. The driver used these because they were of a suitable length !!
We took the straps off the driver and he used some new straps which he was carrying with him (often the case) and were able to identify from the labelling that they had been manufactures in 2013 (the vehicle was stopped in Summer 2015) so at the time the straps were only a couple of years old. We do not know how long they had been used or how frequently.
Safety Standards Service

26. Lashing Straps . These pictures give you a better idea of the damage
There are areas of significant damage where the strap is torn or where fibres are pulling out. The strap also has significant oil and water damage (not unusual!)
Through our work with the HSE we were able to test the residual strength of the straps to see how much of the original 5 ton load maximum they retained.
Safety Standards Service

27. Lashing Straps .
Unfortunately due to the length of the straps we were not able to position either one in the test equipment in such a way as to test the strap at in the damaged area so the information contained in the test result refers to the best case scenario for each strap because they snapped where there was no visible damage.
As you can see the first graph shows a fairly steady increase in tension in the strap (the rising slope of the graph left to right) until the peak, where the strap breaks at just under 4 tonnes.
This is a fairly typical failure.
The 2nd strap was not quite as straight forward because it slipped in the equipment before finally snapping at around 750kg. However the strap started to go at just under 2 tons, again this was on a good part of the strap.
So we have two straps both manufactured in snapping at under 4 tons and under 2 tons, no doubt they would have snapped much sooner had we been able to test the damaged part. Fortunately this happened in test facilities and not when the transporter manoeuvred on a roundabout for example.
So what this excercise demonstrates is the importance for drivers and operators to make regular checks on their lashing straps or any other load security employed. From an enforcement view point we would disregard any lashing straps used in this condition so a driver would face a penalty which could potentially be the least of their worries !
Safety Standards Service

28. Vehicle Testing Service
Vehicle Inspections
In 15/16 we inspected 967,000 vehicles and trailers.
We carried out 809,000 Annual Test inspections on trucks, trailers, buses and coaches.
Vehicle Testing Service
Testing Locations
551 ATFs – Heavy Vehicle Testing
[11PT] GVTS - Heavy Vehicle Testing
34 POTFs – Approval Tests
18 GVTS – Approval Tests
We carried out 158,000 Approval Tests on heavy vehicles, trailers, cars and motorcycles, eg IVA, MSVA, COIF, RPC.
Technical record management & test result capture
Technical Standards
Compliance with Legislation.
Analysis and review of standards.
Pass Rates
HGV – 83%
Trailer – 88%
PSV – 85%
Income & Fees
80 Million
Operating Model
Flexible service offering to our customers.
Mobile staff working flexible hours.
Deployed from home.
Explicit management of ATFs.
Published inspection manuals and guidance materials
Customers & Stakeholders
Examiners
We have 562 (* 580) examiners carrying out annual and approval tests.
*Budgeted
We engage with our customers and stakeholders, e.g through trade forums, meetings and user research to ensure that our services deliver value, meet customer requirements and user needs.

29. DVSA Effectiveness - Testing
Vehicle Type
2014/15
2015/16
Tested
Fail rate
HGV MV
415,319
19.87%
417,767
17.2%
Trailer
228,286
13.90%
236,047
12.3%
PSV
79,421
16.54%
79,498
14.6%
Volumes by site
(all vehicles)
DVSA
Non DVSA
13%
87% 7%
93%
Top 5 HGV MV test failure items
Aim of headlamps
Lamps
Brake systems and components
Service brake performance
Steering
Safety Standards Service

30. Any Questions?
Safety Standards Service