Operator Compliance Risk Score (OCRS)

What is the Operator Compliance Risk Scoring System? Mechanism for Calculating Likelihood of Operator Non Compliance A guidance tool introduced to ensure that effective targeting is carried out A fair system - it treats each operator in the same way. There is an incentive for operators to either maintain the standards that are already maintained, or make improvements to procedures. Operators that achieve a good standard are likely to be stopped less often The R in OCRS stands for Risk not Rating. OCRS is a risk based scoring system and is NOT a rating system for operators Operator Compliance Risk Score informs VOSA examiners of the probability of an Operator Being Compliant

How will VOSA use OCRS? OCRS will be used at the roadside to identify which vehicles should be checked. Red - Full check to be carried out. Amber - Full check to be carried out unless higher scoring vehicles available. Green - No check unless either no other higher scoring vehicle or obvious defect or offence. VOSA examiners will use a hand-held mobile compliance device into which they will key a registration number or operators licence information, which will display the relevant OCRS.

Each Operator has 2 Scores Roadworthiness (mechanical) Traffic (non-mechanical)

Roadworthiness Concerned with the condition of the vehicle Two sets of data are used: Vehicle Testing data captured at each first test and annual test (HGV’s only) Vehicle Enforcement data captured at the roadside or fleet checks at operators premises. Vehicle Encounter data at the roadside does not include Sifts.

Roadworthiness Scoring Process For each Test Failure defect and prohibition defect a score is given Each vehicle check/test counted as an Event Operator scored on total defect score divided by total number of Events Score is calculated weekly for a 2-year rolling period total defect points number of events The Roadworthiness index score is calculated to be the average number of defect points per event. VOSA calculates the index score by taking weekly extracts from their central data warehouse. However OCRS scores are only summarised by monthly encounters, therefore a score in Aug, would be based on encounters from a 2 year period from July to July. = index score

Example of points allocated for defects Failure item/defect no IM Vehicle Testing Failure Item Points Immediate Prohibition points Delayed Prohibition points Significant marked failure item/defect no S Marked immediate prohibition points S Marked Delayed prohibition points 1 -Seat Belts 2 6 4 3S 12 8 2 - Exhaust Emissions 5S 6 - Road Wheels and Hub 18 6S 36 24 7 - Size and Type of Tyres 5 15 10 7S 30 20 8 - Condition of Tyres 8S 30 - Steering Control 30S 22 - Mirrors 3 9 22S 20 - Condition of Body 20S 24 - Glass and view of Road 23S 16 25 - Windscreen washers and wipers 25S 33 - Speed Limiter 33S 44 - Oil leaks 44S The table summarises points issued to vehicles for mechanical defects. Points are higher at the roadside as the defect is deemed more likely to contribute to an immediate threat to road safety Points are higher for Immediate than delayed defects and higher again for Significantly (‘S’) marked defects S Marked defects are defects that have been identified as a sign of systemic maintenance failures, that could be avoided by a driver walk around check

Overall Traffic Concerned with roadside inspections and VOSA prosecutions in relation to non-mechanical infringements. Including Drivers’ Hours, Tachograph and overloading offences The OCRS Overall Traffic is further broken down into a Drivers Hours Score and an Other Traffic Score to provide extra information to VOSA examiners. VOSA prosecution data is not specified on Vehicle Encounter or Test History Reports

Traffic Scoring Process For each traffic offence found at the roadside or at a fleet inspection or as part of a Prosecution an offence score is given. Each roadside, fleet inspection and prosecution is counted as an event Operator scored on total defect score divided by total number of Events Score is calculated weekly for a 2-year rolling period total offence points number of events Process is same as roadworthiness scoring process = index score

Example of points allocated for offences PLS Points Traffic Points DH Traffic Points OTH Traffic Points Offence Code Offence Points Offence Type Offence Desc 1-1 48 C&U TACHO NOT FITTED 39 DH OBSTRUCT EXAMINER 51 OTHER OVERLOAD 40 1-11 57 EXCEED 4.5HRS DRIVE FORG & MISUSE DOCS 70 1-56 52 FTP CHARTS 36HR PROH 49 NO COMMUNITY AUTH 31 WEEKLY REST 90 PROH 42 EXCEED MAX SEAT CAP Table shows examples of points allocated to traffic offences PLS points show points given for a prosecution offence, Traffic Points DH are Drivers Hours offences and Traffic Points OTH are other traffic offences

How are points decided on for defects and offences? Danger Perceived danger and risk to road safety Range 1-25 Penalty Reflects the maximum statutory penalty set by Parliament Priority Value Reflect the public interest and policy objectives, e.g. Exhaust emissions do not make a vehicle unsafe mechanically but have significant effects on the environment Range 1-10 Commercial Reflects the perceived level of commercial advantage gained Range 1- 10 Impact Reflects the impact on enforcement investigation e.g. preventing or obstructing into other offences by deception or falsification Rating Is the sum of the factors above Maximum 80 VOSA focus group decided on points for each offence based on the 5 factors Impact focuses on offences that may need further resource issues, such as Fail to Produce offences, which may need intensive investigation.

Index Score Operator scores compared with Peers (HGV GB, PSV GB etc) Scores converted to Relative Score in League Table format Bottom 1 – 10% given score of 1 11 – 20% given score of 2 etc Scores displayed on Hand-held Device with colour code Red, Amber and Green (RAG) Worst Operators (score 10) given Red indicator Best Operators (score 1) given Green Operators ordered from highest index score to lowest index score All operators with index score of 0 are given a Relative score of Green 0 All other operators are split into 10 percentile groupings of index score and given the appropriate Relative score (Green 1 to Red 10) Operators may change scores as operators around them may do better or worse Operators are then colour coded to be able to show easily their level of compliance to VOSA examiners

Example of calculation of index score A one vehicle operator is stopped at a VOSA roadside check and a Drivers Hours Offence (39 points) is found. The Traffic Index Score is then calculated as number of total offence points (39) divided by number of total events (1) = 39 If the vehicle was then subsequently stopped at the roadside again by VOSA, but was found to be clear of any defects or offences, the operators score would reduce to: Traffic Index Score 19.5 (39/2)

OCRS – traffic enforcement Percentile Group OCRS – roadworthiness (mechanical) OCRS – traffic enforcement (non-mechanical) 0 (points) 1-10% 1 11-20% 2 21-30% 3 31-40% 4 41-50% 5 51-60% 6 61-70% 7 71-80% 8 81-90% 9 91-100% 10 GREEN GREEN AMBER AMBER Current colour coding for Relative Scores of OCRS operators Amber is larger on Traffic as VOSA has more robust scoring for roadworthiness because of addition of Test data. Therefore Amber traffic operators would be targeted more on Traffic to be able to give VOSA more information on the operators level of compliance RED RED

Historic vs. Predictive Historic scores use previous data for that operator Past roadside encounters Vehicle test history PLS cases Predictive scores use previous data for operators with similar characteristics Type of operator licence Age of operator licence Size of fleet Predictive score will only be shown when no Historic score is available Historic data is based on actual data that VOSA has on an operator in 2 year calculation period. As soon as VOSA encounters an operator there score will change from predictive to Historic.

Remember: OCRS Scores are snapshots in time They are updated weekly The information used goes back for 2 years Your score could change even if your points do not – you could compare better or worse as the industry changes You can get the following VOSA reports to help improve performance: OCRS scores Vehicle test maintenance statement Vehicle encounter report

Number of Vehicles in Band % Vehicles Encountered OCRS Effectiveness April 08 – July 08 Excludes Sifts Roadside Encounters Only All OCRS Score Types HGV Roadworthiness OCRS Band Encounters % of Encounters Prohibitions Prohibition Rate Number of Vehicles in Band % Vehicles Encountered Green 5,876 37.17% 1,239 21.09% 233,960 2.51% Amber 7,579 47.94% 2,234 29.48% 137,657 5.51% Red 2,354 14.89% 915 38.87% 29,786 7.90% Total 15,809 100.00% 4,388 27.76% 401,403 3.94% VOSA provides monthly OCRS Effectiveness figures to highlight how effective OCRS is at the roadside Roadworthiness Encounters are based on encounters carried out by VOSA Vehicle Examiners Red operators have double the mechanical prohibition rate of green operators Prohibition Rate is calculated on Total Immediate and Delayed Prohibitions divided by total encounters

OCRS Effectiveness April 08 – July 08 HGV Driver’s Hours/Overloads OCRS Band Encounters % of Encounters Drivers Hours Prohibitions DH Prohibition Rate Number of Vehicles in Band % Vehicles Encountered Green 7,770 43.69% 1,025 13.19% 174,226 4.46% Amber 8,495 47.76% 1,402 16.50% 194,503 4.37% Red 1,520 8.55% 401 26.38% 32,674 4.65% Total 17,785 100.00% 2,828 15.90% 401,403 4.43% Drivers Hours and Overloading Encounters are based on encounters carried out by VOSA Traffic Examiners Red operators have double the Drivers Hours Prohibition and Weighing Prohibition Rate than green operators OCRS Band Weighed Weighing Prohibitions Weighing Prohibition Rate Green 1,580 358 22.66% Amber 1,870 502 26.84% Red 450 202 44.89% Total 3,900 1,062 27.23%

Number of Vehicles in Band % Vehicles Encountered OCRS Effectiveness April 08 – July 08 PSV Roadworthiness OCRS Band Encounters % of Encounters Prohibitions Prohibition Rate Number of Vehicles in Band % Vehicles Encountered Green 3,002 59.01% 565 18.82% 52,237 5.75% Amber 1,731 34.03% 514 29.69% 18,899 9.16% Red 354 6.96% 162 45.76% 2,737 12.93% Total 5,087 100.00% 1,241 24.40% 73,873 6.89% Red PSV operators have over double the Mechanical Prohibition Rate than Green operators

OCRS Effectiveness April 08 – July 08 PSV Driver’s Hours/Overloads OCRS Band Encounters % of Encounters Drivers Hours Prohibitions DH Prohibition Rate Number of Vehicles in Band % Vehicles Encountered Green 2,067 54.25% 349 16.88% 40,632 5.09% Amber 1,619 42.49% 346 21.37% 31,034 5.22% Red 124 3.25% 57 45.97% 2,207 5.62% Total 3,810 100.00% 752 19.74% 73,873 5.16% Red PSV operators have significantly higher prohibition rates for Drivers Hours and Overloading than Green operators Very few PSV vehicles have been weighed OCRS Band Weighed Weighing Prohibitions Weighing Prohibition Rate Green 45 1 2.22% Amber 50 2 4.00% Red 3 33.33% Total 98 4 4.08%

Number of Vehicles in Band % Vehicles Encountered OCRS Effectiveness April 08 – July 08 HGV & PSV Roadworthiness OCRS Band Encounters % of Encounters Prohibitions Prohibition Rate Number of Vehicles in Band % Vehicles Encountered Green 8,878 42.49% 1,804 20.32% 286,197 3.10% Amber 9,310 44.55% 2,748 29.52% 156,556 5.95% Red 2,708 12.96% 1,077 39.77% 32,523 8.33% Total 20,896 100.00% 5,629 26.94% 475,276 4.40% This table shows the combined information of PSV and HGV operators. Again the Red mechanical prohibition rate is double the Green prohibition Rate

OCRS Effectiveness April 08 – July 08 HGV & PSV Driver’s Hours/Overloads OCRS Band Encounters % of Encounters Drivers Hours Prohibitions DH Prohibition Rate Number of Vehicles in Band % Vehicles Encountered Green 9,837 10,114 45.55% 1,374 13.97% 214,858 4.58% Amber 46.83% 1,748 17.28% 225,537 4.48% Red 1,644 7.61% 458 27.86% 34,881 4.71% Total 21,595 100.00% 3,580 16.58% 475,276 4.54% Again the red operators prohibition rate for drivers hours and overloading is double the green prohibition rate OCRS Band Weighed Weighing Prohibitions Weighing Prohibition Rate Green 1,625 359 22.09% Amber 1,920 504 26.25% Red 453 203 44.81% Total 3,998 1,066 26.66%

Improvements to OCRS data areas next 6-12 Months Improvements to OCRS 6-12 Months Include data from operator visits by VOSA examiners Include data from roadside Dangerous Goods Inspections Incorporate Graduated Fixed Penalty data. Development of Non GB Vehicle risk scoring using the same scoring system as that used for GB vehicles VOSA examiners will be indicating the status of an operator when carrying out visits. This status will be added into OCRS and will particularly benefit new operators who often have predictive scores which may not accurately indicate the actual risk the operator represents. Currently the dangerous goods aspect of a roadside inspection is not taken into account in the OCRS scoring process. It is intended that the outcome of the dangerous goods aspect will be included as failure to comply with the requirements for the carriage of dangerous goods can have major implications in an incident. The data from the issue of Graduated Fixed Penalties will be included into OCRS. As the offence levels will be graduated in line with the seriousness of the offence the associated points for that offence will in turn be graduated so that less serious offences receive lower points that more serious offences. VOSA is actively developing the use of OCRS in relation to non GB vehicles. It will mean that non GB operators will be rated in the same way as GB operators. The information gained from the use of non GB OCRS will be used to actively target the worst offending non GB operators.

Increase priority area of Scoring Model for Drivers Hours offences Proposed Changes to Scoring Model Increase priority area of Scoring Model for Drivers Hours offences Possibly decrease priority area of Scoring Model for Weight offences. Both subject to agreement from Department for Transport VOSA will be consulting with the Department for Transport (DfT) in regard to the priority points allocated to certain types of offences. In particular we will be establishing if there are any areas such as Drivers Hours that should be increased to recognise the increased risk caused by drivers who breach drivers hours regulations. At the same time we will consult with DfT to establish if some offences should have the priority or safety value decreased. An example would be weight offences where overloaded vehicles are often within design weight.

OCRS – traffic enforcement Current OCRS Banding Percentile Group OCRS – roadworthiness (mechanical) OCRS – traffic enforcement (non-mechanical) 0 (points) 1-10% 1 11-20% 2 21-30% 3 31-40% 4 41-50% 5 51-60% 6 61-70% 7 71-80% 8 81-90% 9 91-100% 10 GREEN GREEN AMBER AMBER This chart highlights the current relative scoring bands for OCRS operators, the Amber section is larger on the Traffic Side as VOSA currently has more roadworthiness data, which makes the Roadworthiness Score more robust Therefore Amber is a larger band as VOSA will then encounter more of these operators at the roadside, which will give a clearer definition of their Traffic OCRS as we will have more data on them from the roadside. RED RED

OCRS – traffic enforcement Proposed OCRS Banding Percentile Group OCRS – roadworthiness (mechanical) OCRS – traffic enforcement (non-mechanical) 0 (points) GREEN 1-10% 1 11-20% 2 21-30% 3 31-40% 4 AMBER 41-50% 5 51-60% 6 61-70% 7 71-80% 8 RED 81-90% 9 91-100% 10 VOSA proposes to amend the scores, so that the bands are the same for both scores types As introduction of Graduated Fixed Penalties and Deposits will enable the Traffic Score to become more robust as VOSA will have more data to base the scores on Amber 8 changed to Red 8 because VOSA data shows Amber 8 operators have similar prohibition rates to Red 9 & 10 operators Also this will mean there are more red operators for VOSA to target.

Other OCRS developments Improvements to OCRS 6-12 Months OCRS Reports to be made available through portal OCRS Frequently asked Questions to be updated Specific article in Moving On to highlight the fact that OCRS is a system used by VOSA to target the most non compliant operators and should not be used on its own to rate an operator. VOSA will be clarifying the definition of Sifts and depending on the definition be deciding if this should be included as a part of OCRS. Operators will have on line access to VOSA’s Customer Information Portal Portal will summarise each OCRS score for that operator, and give access to an operators Vehicle Encounter reports and Test History reports These reports will show all Roadside and Annual Test encounters for an operator (including sifts) along with any defects/offences that were found and the OCRS points they attract