TruckSmart Management Toolkit

Vehicle record file Vehicle Record File 1. Vehicle Details Make: Model: VRM: Fleet number: Engine number: Chassis number: Start odometer: Purchase price: Date of manufacture: Date into company: Warranty number: Warranty expiry: Main key number: Other key number: Fuel type: Licence category: Tachograph fitted: Yes No Speed limiter fitted: Yes No 2. Vehicle Documentation MOT expiry: MOT expiry: VED expiry: MOT expiry: VED expiry: Insurance policy no: VED expiry: Insurance expiry: Insurance company: Insurance type: V5 registered name and address: Location of documentation: 3. Maintenance and inspection history Folio ref: Type Odometer AdBlue Date General description reading usage and comments 101

Vehicle record file 3. Maintenance and inspection history Folio ref: Type Odometer AdBlue Date General description reading usage and comments 102

Preventive maintenance plannerPreventive maintenance planner 103

Vehicle usage record Vehicle usage record Make: Model: VRM: Fleet No: Year Month Start mileage End mileage Miles driven Fuel drawn MPG January February March April May June July August September October November December January February March April May June July August September October November December January February March April May June July August September October November December104

Vehicle usage record Make: Model: VRM: Fleet No: Year Month Start mileage End mileage Miles driven Fuel drawn MPG January February March April May June July August September October November December January February March April May June July August September October November December January February March April May June July August September October November December105

Safety inspection report form Vehicle safety VRM: inspection record Odometer reading: Week number: Vehicle type: Company: Inspection date: IM Column - Inspection manual reference: For more details on each item listed, look under this reference number in the DVSA Inspection Manual Servicability status: 3 Serviceable - 5 Safety defect - R Repair required - M Monitor - NA Not Applicable Part 1: Inspection IM Item inspected Status IM Item inspected Status Section A - Inside cab 42 Electrical wiring and equipment 18 Seats 3 Seat belts and restraint systems 43 Engine and transmission mounts 22 Mirrors and indirect vision 23 Glass and view of the road 44 Oil leaks 25 Windscreen washers and wipers 26 Speedometer and tachograph 45 Fuel tanks and system 27 Horn 28 Driving controls 46 Exhaust system 30 Steering control 37 Service brake pedal 54 Steering mechanism 38 Service brake operation 34 Pressure warning and build up 48 Suspension 36 Handbrake mechanical operation 39 Handbrake control valves 53 Axles, stubs and wheel bearings 17 Cab floor and steps Section B - Ground level and vehicle underside 57 Transmission 16 Cab doors 1 Registration plates 58 Additional braking devices 15 Cab security 19 Security - body, containers 59 Brake systems and components 20 Condition of body 5 Exhaust emissions 62 Markers and reflectors 9 Sideguards and rear under-run 41 Condition of chassis 63 Lamps 14 Wings, wheel arches and spray 33 Speed limiter 66 Indicators and hazard lamps 67 Aim of headlamps 74 Other dangerous defects 11 Vehicle to trailer coupling 12 Trailer parking, emergency brake and air line connections 13 Trailer landing legs Section C – Wheels and tyres 6 Road wheels and hubs 10 Spare wheel and carrier 7 Size and type of tyres 8 Condition of tyres 8 Tread depth and tyre pressures Axle 1 Offside outer psi Offside inner Nearside inner Nearside outer mm mm psi Axle 2 mm psi mm psi mm psi mm psi Axle 3 mm psi mm psi mm psi mm psi Axle 4 mm psi mm psi mm psi mm psi106

Safety inspection report form Section D – Brake performance Section E – Road test Inspector comments: Laden Unladen Roller brake Decelerometer % % 47* 71 Service Brake Performance % % 48* 72 Secondary Brake Performance 49* 73 Parking Brake Performance 47* 71 Service Brake Performance Part 2: Comments on faults found Ref Fault details Action taken Rectified by Part 3: Inspector signature Appointment: Date: Name: Signature: Part 4: Supervisor declaration Declaration of supervisor: I consider that the above defects have been rectified satisfactorily and this vehicle is now in a safe and roadworthy condition. Name: Appointment: Signature: Date: It is always the responsibility of the operator to ensure that the vehicle is in a roadworthy condition before being used on the road107

108 Vehicle roadworthiness system process

MLoaandagSaefmeteynt ToolsOutline of what section covers:IRU CMR Model 2007The load safety systemXL-reinforced bodiesPlanning for diminished and part loads5Vehicleheightandbridgestrikes

IRU CMR Model 2007 IRU CMR Model 2007 1 Exemplaire de l`expéditeur LETTRE DE VOITURE INTERNATIONALE CMR INTERNATIONAL CONSIGNMENT NOTE ...................... No 24382 Copy for sender Pays/Country 1 Expéditeur (nom, adresse, pays) 6 Transporteur (nom, adresse, pays, autres références) Sender (name, address, country) Carrier (name, address, country, other references) 2 Destinataire (nom, adresse, pays) 7 Transporteurs successifs / Successive carriers Consignee (name, address, country) Nom / Name Adresse / Address Pays / Country Reçu et acceptation Date Signature Receipt and Acceptance 3 Prise en charge de la marchandise / Taking over the goods: 8 Réserves et observations du transporteur lors de la prise en charge de la marchandise Lieu / Place Carrier`s reservations and observations on taking over the goods Pays / Country Date Heure de départ / Time of departure (ADR*) Heure d`arrivée / Time of arrival 4 Livraison de la marchandise / Delivery of the goods: Lieu / Place - En cas de marchandises dangereuses indiquez, à la dernière ligne du cadre: Numéro ONU; Marchandises des classes 1 et 7: voir demande spéciale dans ADR, Partie 5; Numéro d`étiquette et Groupe d`emballage. - In case of dangerous goods mention on the last line of the column: UN number; Goods from class 1 and 7: see special documentation demands in ADR, Part 5; The label number and Packing Group. Pays / Country Heures d`ouverture du dépôt / Warehouse opening hours Les parties encadrées de lignes grasses doivent être remplies par le transporteur 5 Instructions de l'expéditeur 9 Documents remis au transporteur par l`expéditeur The space framed with heavy lines must be filled in by the carrier Sender`s instructions Documents handed to the carrier by the sender 10 Marques et numéros 11 Nombre de colis 12 Mode d'emballage 13 Nature de la marchandise 14 Poids brut, kg 15 Cubage m3 Marks and Nos Number of packages Method of packing Nature of the goods Gross weight in kg Volume in m3 1 - 5, 9 - 16, 18 + 22 Numéro ONU Nom voir 13 Numéro d`étiquette Groupe d`emballage (ADR*) UN Number Name see 13 Label Number Packing Group (ADR*) 16 Conventions particulières entre l`expéditeur et le transporteur 17 A payer par Expéditeur Destinataire Special agreements between the sender and the carrier To be paid by: Sender Consignee Prix de transport Carriage charges Frais accessoires / Supplementary charges Droits de douane / Customs duties A remplir sous la responsabilitié de l`expéditeur Autre frais / To be completed on the sender`s responsability Other charges 18 Autres indications utiles 19 Remboursement Other useful particulars Cash on delivery 20 Ce transport est soumis, nonobstant toute clause contraire, à la Convention relative au contrat de transport international de marchandises par route (CMR) This carriage is subject, notwithstanding any clause to the contrary, to the Convention on the Contract for the international Carriage of Goods by Road (CMR) 21 Etablie à / Established in le / on 20.. 24 Marchandises reçues / Goods received Heure d`arrivée / Time of arrival Heure de départ / Time of departure 22 23 Lieu le 20.. Place on 20.. Signature ou timbre de l`expéditeur Signature ou timbre du transporteur Signature et timbre du destinataire Signature or stamp of the sender Signature or stamp of the carrier Signature and stamp of the consignee Partie non contractuelle réservée au transporteur / Non-contractual part reserved for the carrier110 No 24382 Modèle IRU 2007

The load safety system The load safety system Stability and distribution The system is made up of: The load should be stacked against the headboard, • The body of the vehicle, including with the centre of gravity as low as possible. Make the headboard and bulkhead sure it is stable without lashings to reduce the risk of it falling over during unloading. If the load is not • Lashings, chains and straps stable by itself, think about how you can support it: put it in a box, stillage or transport frame. A vehicle • Chocks, blocks and cradles tilting to the side is an indication that the load is not stable. • Friction between the load and the load bed – this is usually very low and should not Weight be relied upon. Friction matting can be useful when transporting loads like work cabins and machinery Overloading is not only illegal, but it affects the • Kite systems braking, steering and suspension characteristics of your vehicle. Driving an overloaded vehicle is • Bungee systems potentially unsafe and shortens the life of expensive components. It can also cause costly damage to • XL-rated bodies – XL-rated vehicles and trailers infrastructure, such as roads and bridges. have a reinforced superstructure and are clearly labelled EN 12642 XL Overloading can also impact the handling of the Do not rely on curtains to secure a vehicle, including braking and steering. load – they are only there to provide protection from the weather. Goods When loading, always consider the distribution transported on curtain-sided vehicles of weight of the load on the vehicle’s axles. Too should be secured as if they were being much weight at the front of the vehicle could transported on a flatbed, and secured overload the front axle. Signs of overloading to the vehicle chassis. include bulging tyres, a low ride height, or trailers tilting forward when viewed from the side. Height Load shift Remember, if the load is higher than the headboard Any signs that the load has moved should be or sides of the vehicle then extra load restraint will checked by a competent person as soon as be needed. Your driver should know the height possible. These signs may include bulges in and width of the vehicle; if over three metres, curtainsiders, the load overhanging the load the correct height must be displayed in the bed, or the vehicle seeming off balance or tilting. cab height indicator. If the load has shifted, it may need to be resecured, and the driver should report to the transport office. Load security and restraints Multi-drop deliveries Load restraint is one of the most discussed topics in the industry, and getting it right is one During multi-site deliveries, the load may need to of the trickiest jobs an operator may have to do. be repositioned as it diminishes, and moved back from the headboard. Empty pallets, timbers or sails can be used to give the same forward restraint.111

XL-reinforced bodies XL-reinforced bodies XL-rated vehicles and trailers have a reinforced • Gaps mean you lose the XL rating, as the superstructure and are clearly labelled EN 12642 XL. load can move and make the load insecure They can withstand a minimum of 40 per cent of the rated payload to the side without extra securing: • Just attaching XL curtains to an ordinary curtainsider or trailer is not acceptable, • The DVSA accepts an EN12642 XL-rated vehicle as the headboard, roof and backdoors will or trailer as keeping 50 per cent of the rated not be strong enough to give load security payload to the side without extra securing, as long as the load is closely packed, with the • From DVSA guidance, the EN 12642 XL entire load area filled to the front, back and standards refer to the entire vehicle or trailer within 80mm to the side and not just the curtains. Reinforced curtains fitted to an ordinary trailer therefore do not • Gaps over 15cm (six inches) to the front or meet the XL standard. There is no such thing back or 8cm (three inches) to each side mean as an ‘XL curtain’ that the reinforced structure cannot do its job, and you will need to either strap the load down When using XL for diminishing loads, remember to or use packing such as empty pallets, airbags pack any gaps created to keep the ‘positive fit’ or or timbers to fill the gaps. This is called a use extra lashing to meet the 50 per cent to side ‘positive fit’ and rear and 100 per cent to the front rules.112

Planning for diminishing and part loads Planning for diminishing and part loads When goods are being delivered to more than Adding extra security one site, it is important to make sure the load stays safe and secured after each delivery. This You could plan to fill gaps or add extra security is especially important with box and curtain-sided to the load by using: bodies where the vehicle or trailer body is part • Empty pallets or timbers in the gap between of the load-securing system. the load and the rear doors A diminishing load will also change how the weight of the load is distributed. • Crossed buckle straps behind the load (for light loads only) Planning the load • Additional ratchet straps on the last row When you know you will be delivering to more of pallets than one site, you should think about: • One or more securing bars across the width • How the load is going to be unloaded of the load bed (box or XL curtainsiders only) at each site • A tarpaulin ‘sail’ around the rear of the load • Whether you are collecting goods as well Whatever you use, it must be able to hold half • What effect the change in weight distribution the weight of the load in front of it. may have, and whether you need to ask the delivery site to rearrange the load for you On XL curtainsiders, the XL rating is based on the load filling the load bed in a ‘positive fit’ from • How the load is going to be secured once headboard to rear doors and side to side. If you there are gaps to the side or rear do not prevent the load from sliding backwards, the XL-rated structure cannot do its job and is • Whether special arrangements, such as access not enough to secure the load. to loading equipment, are needed so that the driver can make the load safe A large gap at the rear of the load can result in the load sliding backwards as the vehicle accelerates – and then sliding forward like a battering ram when the vehicle brakes. For this reason, you must prevent the load from sliding backwards.113

Vehicle height and bridge strikes Vehicle height and bridge strikes Avoiding bridge strikes • Drivers of vehicles with wide loads over 3m need to take extra care at arch bridges as Every year, several hundred bridges are hit by the maximum height available will be less lorries that are too high to pass underneath them. than the signed limit A serious bridge strike can cause severe damage, death or serious injury. Route planning Before commencing a journey you should Always plan your route to avoid low bridges, make sure: avoid short cuts that you are not familiar with, and do not rely on a satnav system that was • You know the height and width of the vehicle designed for cars. If you are diverted from or realise that your route is obstructed by a bridge • You know the height of the trailer, its load that is lower than your vehicle, stop and seek and equipment advice on an alternative route. • That the correct maximum height is displayed Action in the event of a bridge strike in the cab if the overall height of your vehicle is over three metres (9ft 10in) If you are involved in a bridge strike at a railway bridge: You should be aware that traffic signs are provided at bridges to show the maximum permitted vehicle • Report the incident to the rail authority height when the available height is less than 4.95 immediately so that trains may be stopped metres (16ft 3in). Remember: from crossing the bridge. Telephone the number shown on the identification plate on the bridge. • Red circles prohibit and red triangles warn Do not wait until you return to your depot before reporting the bridge strike • If a vehicle is higher than the dimensions shown on a circular traffic sign, you must stop and must • Advise the police by calling 999. Any road traffic not pass the sign. If you pass the sign, you are collision that causes damage to a third party likely to collide with the bridge must be reported • If the vehicle is higher than the dimension • Report the bridge strike to our transport office shown on a triangular traffic sign at the bridge, you should not pass the sign • Keep the public away, do not move your vehicle, and conduct traffic control as required At arch bridges, white lines on the road and ‘goalposts’ on the bridge may be provided If you are involved in a bridge to indicate the extent of the signed limit on strike at any other bridge, report vehicle height. the bridge strike to the police using 999 and then report to the • Ensure your vehicle passes between transport office. the goalposts • Slow down as you approach the bridge and only move to the centre of the road when you are sure it is safe to do so. If necessary, sound your horn or use dipped headlights to warn of your presence114

Vehicle height and bridge strikesaIEnnnrdfinoCgrceoemnmseeenqntuts,ences.Outline of what section covers: Enforcement bodies and their powers • The police • The DVSA • The HSE • CVUs • The LFEP • Traffic commissioners Operator Compliance Risk Score (OCRS) DVSA Earned Recognition Infringements • Common offences • Most Serious Infringements Penalties • Verbal warnings6•Prohibitionnotices • Graduated fixed penalty offences • Court summons • Public inquiries Other consequences • Financial • Driver liability • FORS obligations • Contractual obligations • Reputational115

Enforcement powersEnforcement powers The police The police can stop a vehicle for any reason, and you should always pull over when asked to do so. Police carry out targeted stops of heavy goods vehicles, so having a high OCRS score can increase your risk of being stopped. The police can issue prohibition notices or fixed penalty notices at the side of the road for minor offences and can seize vehicles for more serious offences. The DVSA The DVSA employs enforcement support officers who have the power to stop a moving vehicle to conduct a roadside spot check of the vehicle. Examiners may also make visits to operating centres to examine vehicles or check drivers’ records, and can enter any premises on which they have reason to believe a goods vehicle is kept. Enforcement support officers can issue prohibition notices (form PG9), a vehicle inspection notice, or a fixed penalty notice. Any defects will be reported to the traffic commissioner and could affect your company OCRS. In certain circumstances, your vehicle could be immobilised until the defects are rectified. The London Freight Enforcement Partnership (LFEP) The London Freight Enforcement Partnership (LFEP) is formed of Transport for London, the Metropolitan Police Service, the City of London Police, and the Driver and Vehicle Standards Agency. The partnership works in close conjunction with the other partners, including the Office of the Traffic Commissioner and the Environment Agency to undertake roadside enforcement. The LFEP tackles unsafe HGVs and targets the most dangerous and non-compliant commercial vehicles, drivers and operators on London’s roads. It has stopped 25,000 vehicles in 18 months. Commercial Vehicle Units (CVU) Both the City of London Police and the Metropolitan Police Service (MPS) have a CVU. The City of London Police’s CVU was established to crack down on dangerous vehicles in the City of London. During its first month of operation in 2015, it stopped 136 vehicles and enforced against 95 dangerous vehicles. The two CVUs work together and alongside the LFEP, enforcing against dangerous commercial and construction vehicles and their drivers.116

Enforcement powers The Health & Safety Executive (HSE) and local authorities The HSE and local authorities are responsible for regulating health and safety law across a wide range of work activities and workplaces in Great Britain. Inspectors can visit premises to observe activities on site, examine records and inspect equipment. Inspectors can issue Improvement and Prohibition notices, and may prosecute where serious breaches of the law have been found. Under health and safety law, employers have a duty of care not only to their own employees but also to anyone else affected by their work activities. Traffic commissioners Traffic commissioners are responsible for the licensing and regulation of those who operate heavy goods vehicles, buses and coaches. The traffic commissioners ensure that the people operating HGVs are reputable, competent and have robust systems in place to make sure their operations are safe. Commissioners target their resources on those drivers and operators that pose the greatest risk to road safety. They focus their attentions on those who cannot, or choose not to, run their businesses properly, and on individual drivers who fall short in their conduct. The DVSA will inform the traffic commissioner of any operator or driver infringements found by their enforcement officers. Operator Compliance Risk Score (OCRS) OCRS is used to calculate the risk of an operator being non-compliant with the law. The DVSA and police officers use the OCRS system to determine which vehicles should be stopped at the roadside and inspected. It is more likely that vehicles will be inspected when their OCRS is high. OCRS is based on roadworthiness and traffic data collected by the DVSA over a three-year rolling period. Data is taken from first and annual tests, as well as roadside vehicle encounters such as vehicle roadside inspections and inspections at operator premises. Operators are given points when a test or inspection finds a defect or infringement. The more serious the defect or infringement, the more points the operator receives. The points accumulate into a score that will be shown as Red (the highest risk), Amber or Green (the lowest risk). Grey can be issued for unknown operators. Band Roadworthiness Combined Traffic Green 10 defect points or below 10 defect points or below 5 offence points or below Amber Between 6 and 30 offence points Between 11 and 25 Between 11 and Red defect points 25 defect points 31 offence points or over Grey No score 26 defect points or over 26 defect points or over No score No score From 2017, the OCRS will only give fleet operators one rating of Green, Amber or Red.117

Enforcement powers If DVSA does not have any data for an operator for the past three years, there may be no score. The OCRS can change: • Negatively – due to a new offence being • If an operator is prosecuted, OCRS points are committed or a defect being recorded at awarded from the date of prosecution and not inspection the date of the offence. Guidance on how the OCRS system works can be found online. • Positively – due to a ‘clear encounter’, such as passing an inspection without any problems • You can check your OCRS using the DVSA online system. You must register, using your operator licence number, to access the system. DVSA Earned Recognition Scheme The Earned Recognition Scheme will reward operators that allow the DVSA access to their compliance data with fewer compliance checks. It helps the DVSA to focus its resources on higher-risk operators, including those that are known for serious non-compliance and are repeat offenders. Operators that wish to take part in the scheme will be subject to an independent audit of their compliance systems, and must allow the DVSA access to telematics information. Infringements Common defects and offences The top five defects that are identified during annual MOT inspections are: • Headlamp aim • Service brake performance • Lamps • Steering mechanism • Brake system components The top defects that an enforcement officer will look for during enforcement stops are: • Lights and indicators • Wheel nuts • Tyres – particularly with the inside tyre of a • Steering mechanism double wheel base • Insecure or dangerous loads The top roadworthiness defects that were identified by enforcement officers at roadside stops are: • Tyres – particularly related to over or • Mirrors underinflation • Brakes • Insecure or overweight loads • Body condition – particularly loose fitments • Indicators and lights The top load infringements that were identified by enforcement officers at roadside stops include insecure or dangerous loads. 40 per cent of all loading offences attracted an immediate prohibition.118

Enforcement powers Most Serious Infringements (MSIs) MSIs are specified in regulations and cover a range of transport law areas. If an MSI is identified, it will affect an operator’s OCRS, with some offences meaning the OCRS is immediately changed to red. Also, the operator’s and transport manager’s good repute must be considered. Examples of MSIs relating to HGV safety include but are not limited to: • Driving with a serious deficiency, such as the • Carrying goods exceeding maximum load braking system, the steering linkages, the by 20 per cent or more for vehicles exceeding wheels/tyres, the suspension or chassis, that 12 tonnes or 25 per cent for vehicles under would create such an immediate risk to road 12 tonnes safety that it leads to a decision to immobilise the vehicle • Transporting dangerous goods that are either prohibited or in a prohibited or non-approved means of containment Penalties The Road Traffic Act 1991 states that: A person is also guilty of using a vehicle in a dangerous condition if he uses, or causes or permits another to use, a motor vehicle or trailer on a road when the purpose for which it is used or the weight position or distribution of its load, or the manner in which it is secured, is such that the use of the motor vehicle or trailer involves a danger of injury to any person. The maximum penalty for this offence if committed in respect of a goods vehicle is a £5,000 fine, plus three penalty points and disqualification A person is to be regarded as driving dangerously if it would be obvious to a competent and careful driver that driving the vehicle in its current state would be dangerous. In determining the state of the vehicle for this purpose, regard may be had to anything attached to or carried on or in it and to the manner in which it is attached or carried. The maximum penalty for dangerous driving is two years’ imprisonment. The maximum penalty for causing death by dangerous driving is 10 years’ imprisonment.119

Enforcement powers The police and DVSA officers have a number of options when determining the most appropriate course of action when an unsafe or unroadworthy vehicle has been identified. An examiner will always consider the full circumstances, including any mitigating or exacerbating factors, of any offence when reaching a decision to take action. Options include: • Take no further action • Report for a court summons • Give a verbal warning • Report to the traffic commissioner • Issue a prohibition notice • Impound the vehicle • Issue a fixed penalty Offence bands are referred to where each band indicates the action that examiners intend to take in respect of any single offence. The definitions of these ‘bands’ are outlined below: Band 0 12345 Action Verbal Fixed Penalty Fixed Penalty Fixed Penalty Fixed Penalty Court Warning Level 1 Level 2 Level 3 Level 4 Prosecution £50 £100 £200 £300 Verbal warning A verbal warning is considered where the offence or infringement is isolated and marginal in nature. Prohibition notices Drivers can be issued with a prohibition by a police, traffic or DVSA officer at the roadside. An immediate or delayed prohibition can be issued, depending on how severe any defects are and how dangerous the vehicle is: • Immediate prohibition – This comes into • Delayed prohibition – The vehicle will be effect immediately. It is likely the vehicle will be able to be driven away and the driver/operator immobilised and will not be able to be driven. will have up to 10 days to make any repairs. Drivers could also be prosecuted It will then need to be reinspected and the prohibition removed before it can be used on the road again120

Enforcement powers The DVSA publication ‘Categorisation of Defects’ explains in detail whether an immediate or delayed prohibition should be issued. There are different types of roadworthiness prohibitions, these are: • Roadworthiness prohibition (PG9) – Issued for • Variation of roadworthiness prohibition – mechanical problems or for the condition of a Issued if an immediate defect has been vehicle’s bodywork and equipment temporarily or permanently repaired at the roadside but other defects remain. This • S-marked roadworthiness prohibition – means the vehicle can be driven to the Issued when the examiner believes a severe operating centre or garage to permanently defect is due to significant breakdown in the repair the initial problem and other defects vehicle’s maintenance procedures. S-marked prohibitions would only be issued for defects that would have been known about before your journey, and if the examiner believes there has been a significant breakdown in the maintenance procedures agreed as part of the operator’s licence. The DVSA will follow up with an assessment of the operator’s maintenance procedures following S-marked prohibitions Graduated fixed penalty notices The police and DVSA examiners have the power to issue fixed penalty notices. Fixed penalty notices are issued in lieu of prosecution in court; they simplify the enforcement of offences and save time for all concerned. Court summons Where the breach or infringement is considered to be too serious to be dealt with by way of a fixed penalty, or where the offence is not considered a fixed penalty offence. Public inquiries Traffic commissioners can call a formal public inquiry to gain more evidence and decide whether action needs to be taken if they believe an operator may have broken the terms of their licence. The traffic commissioner can take the following action at a public inquiry: • End or suspend an existing licence • Disqualify transport managers • Disqualify an individual or company from having a licence121

Enforcement powers Driver conduct hearings Traffic commissioners can also can call individual drivers to a driver conduct hearing, and have the powers to take action by suspending a driver’s vocational licence. They could also require that a driver retake their test. Other risks and consequences There are other consequences of being found to be driving an unroadworthy vehicle or carrying an unsafe load: • Financial (material damages charges) – • FORS obligations – The terms and conditions Charges may be incurred for bridge strikes or of FORS set out that you must comply with the damage to road or rail infrastructure due to requirement of the FORS Standards at all times. breakdowns or shed loads. Highways England With regard to HGV safety, the requirement is is looking at potential fines for companies that to ensure that vehicles, trailers, equipment and block roads through breakdowns and cannot related machinery have planned and proactive demonstrate that they have maintained their maintenance systems in place so they operate vehicles properly. FORS accreditation would safely, legally and efficiently show a commitment to a roadworthiness system – which would reduce the operator’s risk of • Contractual consequences – Customers and being charged clients may find missed deliveries are a breach of contract, or may be reluctant to work with • Driver liability – Drivers may be individually operators that are not legally compliant referral to the traffic commissioner if they are found to be driving a vehicle with defects or • Reputational risk – Broken-down trucks or an unsafe load shedding a load at the roadside can damage your company’s brand reputation122

Enforcement powersTMCeoacmnhanpgolielaomngceyentOutline of what section covers: • Introduction to compliance management technology • Fleet management systems • Driver personal digital assistants (PDAs) • Telematics and in-vehicle technology • Axle-load indicators • On-board weighing systems7• WIMS123

Compliance management technologyIntroduction to compliance technology systems There are numerous commercial products available on the market to assist fleet managers with fleet management, vehicle maintenance and staying compliant with the law. These systems are designed to reduce and control fleet costs, manage compliance and improve operational efficiency. Using technology can have several benefits. The information can be stored in a database system, and reports generated to inform management practices, spot trends and identify weaknesses in the process. Fleet management systems FORS promotes efficiency, but keeping control of fleet costs is a constant challenge. Fleet management software helps improve fleet management, operational efficiency and the quality of services delivered. There are many different variations of fleet management software products available. They offer benefits such as: • Increased workshop productivity • Managing third-party maintenance suppliers, reduce maintenance costs • Minimising vehicle downtime, reducing pool vehicle size and hire budgets • Improving vehicle utilisation, reducing capital spend and hire budgets • Reducing collisions and fuel usage124

Compliance management technology Driver personal digital • Mean drivers a long way from the depot have assistants (PDA) instant communication with the transport office One emerging electronic device available is the • Record the GPS location of the driver when driver’s PDA or smartphone app, used for walk check is performed around checks and defect reporting. Driver’s safety checks are completed electronically and can be • Record the time taken to perform the check recorded by scanning QR codes placed around the vehicle. • Identify patterns of driver behaviour The benefits of these devices are that they: • Identify the frequency and pattern of vehicle defects • Automatically notify defects to transport office in real time • Store records electronically • Automatically notify defects to workshop to • Mean audit checks of information are available expedite repairs 24/7 online • Include photographs of defects that can be • Can be linked to an engine immobiliser to useful to assess how serious a defect is ensure the correct checks are completed before a vehicle is used • Provide a digital audit trail as evidence of checks and severity of defects • Mean the walk around check report can be bespoke to each vehicle to ensure that ancillary equipment is included and that prompts can be made for a thorough and systematic check125

Compliance management technology Telematics and in-vehicle • A vehicle’s tachograph is also a passive technology monitoring system that, together with the driver’s shift activity, provides valuable Telematics systems use GPS tracking to monitor information to fleet managers on vehicle the location of vehicles and the way they are being speed and distance driven to deliver essential real-time operational information to fleet managers. This can help you • Camera monitoring systems perform both to take action to improve business efficiency, an active and passive role. They provide the ensure legislative compliance and streamline driver with continuous visual information and vehicle maintenance. continually record events that can be used for review, feedback and training There are different types of in-vehicle technology: There are also other active features that help ensure the vehicle does not exceed a prescribed • Active information systems immediately alert the performance range. Typically, these include the driver if the vehicle’s performance is outside an vehicle’s speed limiter, cruise control and active acceptable range, such as harsh acceleration, braking systems. braking or steering. Active information systems provide continuous automated feedback through an in-cab display. They give real-time feedback whenever an unsafe or inefficient driving event occurs • Passive monitoring systems store performance information for later retrieval and review to inform driver feedback. Passive monitoring systems started out by merely tracking the location of vehicles and sending that information back to the transport office, but now they are increasingly cloud-based, sharing vehicle data and insight about the vehicle such as movement, location, speed and mileage, as well as driver behaviour126

Compliance management technology Benefits of in-vehicle technology On-board weighing systems One of the biggest challenges in utilising in-vehicle On-board weighing systems give a more accurate technology effectively is what is it capable of. measure by using load cells to measure the weight In-vehicle technology is a bit like a smartphone; of the vehicle payload. On-board systems are it offers extensive functionality, but we only use usually installed by body shops and are fitted a fraction of it. directly into the subframe of the vehicle. The benefits of using in-vehicle technology include: Weigh-in-motion systems (WIMS) • Automatic mileage updates to enable proactive servicing and timely vehicle replacement WIMS are designed to capture and record axle weights and gross vehicle weights as vehicles • Increased utilisation of vehicles and a reduction drive over a measurement site. Unlike static scales, in operating costs WIMS are capable of measuring vehicles traveling at a normal traffic speed and do not require the • Early warning system for vehicle maintenance vehicle to come to a stop. This makes the weighing issues, such as braking or steering process more efficient, and these systems are used by roadside enforcement officers to • Tracking driver behaviour and driving style identify overloaded vehicles in certain areas. can lead to less wear and tear on vehicles • Managers can spot trends and issues for both individual vehicles and across the whole fleet • Information is accessible and software can produce easy-to-read charts to help fleet managers interpret the data Axle load indicators Axle load indication systems are designed to give a warning when the individual axles are close to, or exceed, their legal limits. The indicators use spring detection and are not 100 per cent accurate, but meet the DVSA’s enforcement guidelines of overload prosecutions and are suitable for commercial vehicles. (HGVs). Axle load indication systems can be retrofitted to a vehicle and require regular maintenance and calibration to ensure accuracy.127

Introduction to compliance technology systemsCStausdeiesOutline of what section covers: • Fatal Bath tipper crash • O licence suspension • O licence removal • Not fit to hold an O licence • Good luck alone prevents collisions • Transport manager reduces prohibitions • Worker crushed • Fuel spill in Blackwall Tunnel • Shed load8• Paintspill128

Fatal Bath tipper crash Fatal Bath tipper crash Background Penalties and consequences In February 2015, a tipper truck carrying a 30-tonne The driver, the company’s owner and its mechanic load from a Wiltshire quarry crashed in Bath after were held criminally responsible and each faced its brakes failed on a steep hill. The HGV driver, several charges. the haulage company owner and a mechanic were charged with a number of offences, including The driver faced 10 charges, including dangerous dangerous and careless driving and manslaughter. driving, but was cleared of all charges in December 2016. The driver expressed how sorry he was to Incident or infringements the families of those who had died. The inexperienced driver, Phillip Potter, was Matthew Gordon, Grittenham Haulage’s owner, travelling in a convoy of two heavily loaded trucks. and Peter Wood, the company’s mechanic, were When the first truck, driven by the company owner, both convicted of four counts of manslaughter. In stopped on a steep hill, the second truck’s brakes January 2017, they were sentenced at Bristol Crown failed. Witnesses saw smoke coming from the lorry Court to seven and a half years and five years, and smelled the brakes burning as Mr Potter drove three months in prison respectively. down the hill. He swerved, causing him to lose control of the vehicle and resulting in a collision The judge accepted that the pair never meant that killed four people and seriously injured to hurt anyone, but said that Gordon and Wood two others. The ABS dashboard warning had a “cavalier” attitude to maintaining the firm’s light – indicating problems with the braking vehicles, adding that “the fact is that a lorry as system – was on. heavy as this is likely to cause serious injury and death to members of the public unless properly Outcome maintained.” The truck hit several pedestrians and a car. In December 2015, Grittenham Haulage Ltd had Four people were killed, including a four-year its licence revoked and the traffic commissioner old girl who was walking with her grandmother disqualified the firm and Mr Gordon from holding and three men travelling in a car. The little girl or obtaining an operator’s licence. Sarah Bell, was killed instantly. Several others, including Traffic Commissioner for the West of England, the girl’s grandmother, were seriously hurt, said this was due to “wholesale non-compliance” with life-changing injuries. and “a grave breach of trust”.129

Fatal Bath tipper crashLearning points • Phillip Potter, the driver, was inexperienced and new to the company • The company had been granted an operator licence in December 2013 and the owner had no previous experience of running this type of business • No transport manager was in place at the time of the crash • The last previous inspection on the truck was carried out weeks before, in January 2015, but was wholly inadequate • Recommended brake efficiency tests had not been carried out, and virtually no defects had been recorded in paperwork for the vehicle • At the date of the crash, the lorry had serious and longstanding defects with its braking system and had been dangerous for some time • The truck was 11 years old and had almost 450,000 miles on the clock • The court heard the accident was predictable and a result of poor management, a disregard for the rules and a failure to comply with routine guidelines130

O licence suspension O licence suspension Background Penalties and consequences A cash and carry firm was found by Traffic The company was suspended from operating for Commissioner Nick Denton to have a lack of 28 days. Its authorisation was also reduced to one systems in place to ensure vehicle and driver vehicle for an indefinite period, and the traffic safety standards. commissioner noted that the company came very close to losing its operator licence completely. Incident or infringements Learning points The DVSA provided evidence that the London- The company has been told that it needs to be based company, Ades, failed to give regular able to demonstrate to the traffic commissioner preventive maintenance inspections or ensure and the DVSA that it has the necessary knowledge their drivers conducted vehicle walk around checks. and practical understanding to run one vehicle The company also operated an overloaded truck compliantly, including: and had missed a tachograph calibration deadline. • Inspections every 12 weeks, as agreed when Outcome the operator licence was granted The company had previously been warned • Drivers conducting walk around checks by the DVSA that it was not fully meeting the operator licence undertakings, but it did not take • The vehicle should be loaded safely enough action to address the issues. The traffic and securely, and not overloaded commissioner therefore called it to a public inquiry.131

No improvement leads to O licence removal No improvement leads to O licence removal Background Penalties and consequences A scaffolding firm was put out of business after The operator licence of Knight Scaffolding, which a roadside stop in June 2016 found a number is based in London, was revoked on 28 October of offences and infringements. A public inquiry 2016 by Traffic Commissioner Nick Denton. The subsequently concluded that compliance had commissioner also ordered that Mr Knight must not improved. attend an operator licence management course and show that he has a contract with a transport Incident or infringements consultant before applying for permission to operate again. The roadside stop found a number of offences, Learning points including an out-of-date annual test certificate, three underinflated tyres, two inoperative indictors, Defect reports provided did not show any defects an inoperative front headlight dipped beam, or mileage, and were therefore discounted as inoperative windscreen washers, a missing rear evidence of inspections or walk around checks. wheel spray suspension device, and an insecure This demonstrates the importance of properly load. At the public inquiry, the owner and driver completed records and documentation and was only able to produce one preventive thorough and systematic checks. maintenance inspection sheet and accepted that no other safety inspections had taken place. Outcome The firm was fined a total of £4,000 for the offences by the City of London Magistrates’ Court and was called to a public inquiry in September.132

Food wholesaler “unfit to hold a restricted O licence” Food wholesaler “unfit to hold a restricted O licence” Background Penalties and consequences A Leeds-based food wholesaler was brought The Traffic Commissioner for the North East to a public inquiry after the issue of numerous decided that the company was unfit to hold a prohibitions for vehicle maintenance, tachograph restricted O licence and expressed no confidence and Driver CPC offences. that recent improvements to compliance would not deteriorate again following the inquiry. Incident or infringements Learning points The company operated old vehicles, and maintenance inspections revealed more A lack of correct documentation and proper than a dozen defects on each inspection by systems led to a complete lack of trust from enforcement bodies, including loose wheel enforcement bodies and the traffic commissioner. nuts, binding brakes, ABS defects, broken mirrors and damaged seatbelts. Prohibitions for overloading were blamed on driver and loader error by the director of the firm. Outcome The public inquiry heard that drivers reported very few defects, and when they did, they were not rectified promptly. The traffic commissioner said that things had got “about as bad as they could get”.133

“Good luck alone” prevented serious incident “Good luck alone” prevented serious incident Background Penalties and consequences A Croydon-based operator, Deadman Confidential, The company lost its operator licence in was called to a public inquiry following numerous October 2016. prohibitions. Learning points Incident or infringements Substantial failings over a long period of DVSA evidence showed at the inquiry that two time and a lack of action over serious concerns fixed penalty notices had been issued for insecure about compliance led to the removal of this loads and trucks had not received safety inspections company’s licence. on time. The firm also had a poor annual test pass rate and had received numerous prohibitions for vehicle defects. The operator had failed to notice that 10 out of 10 wheel nuts were loose on one its truck’s wheels. Outcome The traffic commissioner reported that he had no confidence in either the director or the transport manager being able to run a compliant operation.134

Transport manager reduces prohibitions Transport manager reduces prohibitions Background Penalties and consequences UK-Net Transport appeared at a public inquiry The traffic commissioner praised the new transport due to unsatisfactory vehicle maintenance systems, manager for reducing prohibitions and allowed but managed to keep its licence due to the efforts the firm to keep its operator licence. of its new transport manager. Learning points Incident or infringements The new transport manager was able to DVSA officers had carried out two investigations demonstrate robust processes and provide the that found out-of-date inspection records, correct documentation to enforcement bodies. prohibitions for the use of a trailer that had not This has given reassurance to the traffic had an annual test, and defects that should have commissioner that the company can be been noticed by drivers during their walk around trusted to safely operate its vehicles. checks, or while driving the vehicle. A truck without a valid annual test certificate was also pulled over for a roadside check earlier this year. Outcome The company hired a new transport manager who gave the company advice and set out the actions the operator intended to take to improve compliance.135

Worker crushed while loading HGV Worker crushed while loading HGV Background Penalties and consequences Paul Williamson was crushed when a mobile The company director was sentenced to 12 months elevated working platform (MEWP) fell from in prison and received a fine, while the company a set of ramps and toppled onto him. was fined and is since due to be dissolved. Incident or infringements Learning points No risk assessment procedures had been carried The importance of safe loading and having out and there was no safe system of work created proper procedures and processes in place, for the equipment. Mr Williamson had not been including training and risk assessments. adequately trained on the use of ramps, the truck or the MEWP. Outcome Mr Williamson was tragically killed and the company director faced criminal charges.136

Fuel spill in Blackwall Tunnel Fuel spill in Blackwall Tunnel Background Penalties and consequences In 2016, a fuel spill in the Blackwall Tunnel in TfL will look to recover the costs of closing London caused traffic chaos, with the route and resurfacing the road from the operator. being closed for more than 20 hours while TfL contractors resurfaced the road. Learning points Incident or infringements There are wider consequences of poor vehicle maintenance and a lack of procedures for vehicle A mobile crane was seen spilling a foot-wide breakdown. This incident caused traffic chaos trail of hydraulic fuel along three-quarters of for many motorists using a busy main route the length of the tunnel. around London. Outcome The spillage caused severe traffic tailbacks for several hours in morning rush hour, with the road being closed for 20 hours. The drivers of cars and mopeds behind the crane struggled to keep control of their vehicles.137

Shed load in Hull Shed load in Hull Background Penalties and consequences A lorry carrying a container was not properly The judge found that the driver was negligent. secured and caused a tragic accident. The driver He was jailed for 27 months, banned from driving had travelled more than 50 miles with the 8.2-tonne for four years, and ordered to retake his test before cabin hanging precariously off the trailer. regaining his licence. The driver claimed at his trial that he was “riddled with guilt” and suffers Incident or infringements flashbacks about the incident. The load was secured with only two straps, and one Learning points of the straps was not properly fastened. No matting was used to prevent the load from slipping, without The judge said the driver must have seen that the which 40 straps would have been required to keep load was overhanging. He should have inspected it securely in place. The trailer was overhanging, the load, used more straps, stopped when the which would have been visible to the driver. load moved, and called for help. Outcome The container fell from the lorry at a roundabout on the A63 in Hull and killed a grandmother instantly. The driver was charged with dangerous driving and pleaded guilty.138

Paint spillage in Bradford following HGV crash Paint spillage in Bradford following HGV crash Background Penalties and consequences A lorry carrying containers of paint shed its load on The driver was given a fixed penalty notice at the the M606 motorway in Bradford following a minor scene of the crash for having an insecure load. crash with a car. 12 containers fell off the lorry and Highways England and the Environment Agency caused a large paint spillage. may pursue the company to recover the cost of road resurfacing and water contamination. If a load Incident or infringements falls into water and causes pollution, this could be an offence under the Water Resources Act 1991 and There is an ongoing investigation to establish could attract a maximum fine of £20,000, in addition the cause of the crash and the spillage. to the cost of cleaning up the affected water. Outcome Learning points The lorry was carrying 10,000 litres of paint, which Loads must be restrained correctly to ensure is a pollutant, and around 4,000 litres spilled on the that they will remain secure even if subject to carriageway. The spillage caused major disruption minor collisions. This is particularly important if on the roads around Bradford and required a large the load is dangerous or would be damaging clear-up operation. The southbound carriageway to the road or environment. of the motorway was closed for more than 24 hours as Highways England, the police, fire services and the Environmental Agency tried to contain the spill. The motorway needed to be resurfaced before reopening. The paint spillage contaminated the water of the local River Calder, and there were reports of contamination as far away as Dewsbury.139