Thursday, 11 September 2014

Use the Operator Compliance Risk Score (OCRS) system . . .


Use the Operator Compliance Risk Score (OCRS) systemCited at:

How the Operator Compliance Risk Score (OCRS) system works and how vehicle operators should use it.

Overview of OCRS
How OCRS works
Scoring and bands
Points for defects and offences
Events that put you into the 'RED' band
Access and use OCRS reports
Improve your OCRS
What do you do if you think your OCRS is incorrect
Data protection

Operator Compliance Risk Score (OCRS)

Overview of OCRSIf you’re a vehicle operator, your drivers might be stopped at the roadside by the Driver and Vehicle Standards Agency (DVSA) for vehicle inspections.

DVSA uses the Operator Compliance Risk Score (OCRS) system to decide which vehicles should be inspected.

OCRS is used to work out the risk of an operator not following the rules on roadworthiness (the condition of its vehicles) and traffic, eg drivers’ hours, weighing checks etc.

It’s more likely that your vehicles will be inspected if your OCRS is high.

How OCRS worksOCRS is based on data collected by DVSA over a 3-year rolling period to the end of the previous Friday.

Data is taken from:annual tests
roadside inspections
inspections at operators’ premises

Scoring is split into 2 areas:roadworthiness
CategoryWhere the data comes fromRoadworthiness Vehicle tests (first tests, subsequent annual tests), ‘vehicle encounters’ (fleet check inspections at operator premises, roadside inspections)
Traffic Roadside inspections and prosecutions (eg for drivers’ hours and tachograph offences, weighing checks)

When OCRS is updatedThe OCRS re-scoring process runs weekly and is updated on Saturday using the data up to the previous Friday. This allows:
newly registered operators to be scored
new events (eg vehicle encounters, annual tests) to be included in scores
new vehicles that you’ve added to your operator licence to be included
OCRS for an individual vehicle

An individual vehicle won’t have its own OCRS - you only have one as an operator.
OCRS for different operator licences
OCRS scores are worked out for each of your operator’s licences. So you’ll have 2 scores (roadworthiness and traffic) for each individual licence that you have.

This lets you identify any specific issues with a particular licence that you have.

It’s likely that any new operator licence you get will have no score until vehicles on that licence are encountered by DVSA, eg through vehicle tests or roadside encounters.
Passenger vehicle operators

The results from passenger vehicle annual tests will be included in your roadworthiness score if you’ve voluntarily put the vehicles on your operator licence.

You can voluntarily put vehicles on your licence by registering to use the operator licensing self service system.

Trailers and OCRSTrailer details from annual tests aren’t included in your OCRS. However, any prohibitions that are issued at the roadside are included and allocated to the vehicle drawing the trailer.

Sifted encounters and OCRS

Encounters that have been ‘sifted’ by DVSA examiners are not included as part of the scoring system.

A ‘sifted’ encounter is a roadworthiness inspection where a DVSA examiner decides that a full inspection is not needed, eg:
it’s a brand new vehicle
the vehicle has recently had an annual test
the vehicle has recently had a roadside inspection
Vehicles excluded from operator licensing

You won’t have an OCRS if you only operate vehicles exempt from operator licensing or light goods vehicles. The score is based only on vehicles on your operator’s licence.
Changes to your operator licence

When you add a new operating centre to an existing licence it will have no effect on yourOCRS.

When you apply for new operator licence in a different traffic area the new licence will be in the ‘GREY’ (no score) band until an annual test, roadside or other inspection has taken place.
OCRS for operators based outside Great Britain

An OCRS is worked out for operators who are based outside Great Britain. It’s only based on roadside encounters as DVSA has no access to annual test or prosecution data for these operators.

The OCRS is made available to DVSA enforcement staff allowing them to target high risk operators.
Changes DVSA makes to OCRS

DVSA can change how OCRS works (eg changing the points you can get for defects or offences) if it needs to.

You can sign up to get email alerts when DVSA plans to make changes.

Scoring and bands

The ‘base score’ decides which OCRS band you fall into.

Your ‘base score’ is worked out over a 3-year rolling period by dividing your total number offence or defect points by your total number of encounters.

You get more points for more serious defects or infringements.
OCRS bands
BandRisk type‘GREEN’ Low risk operator
‘AMBER’ Medium risk operator
‘RED’ High risk operator
‘GREY’ Unknown operator

You will have 2 scores for each individual operator licence that you have – a roadworthiness score, and a traffic score.

The limits for each band are different for the roadworthiness and traffic categories.
OCRSbandRoadworthinessTraffic‘GREEN’ 10 defect points or below 5 offence points or below
‘AMBER’ Between 11 and 25 defect points Between 6 and 30 offence points
‘RED’ 26 defect points or over 31 offence points or over
‘GREY’ No score No score

OCRS year weightings

As older offences or defects have less impact on road safety the points attributed to these reduce over the 3-year period OCRS uses to work out your ‘base score’. The 3-year period is split into 3 blocks of 1 year, with a different weighting for each block.

This means that your ‘base score’ changes as offences and defects move from year 1 through to year 3.
Year blockWeighting factorYear 1 1
Year 2 0.75
Year 3 0.5

How the base score is worked out

This diagram shows how the ‘base score’ is worked out and how the band you’re in is decided.

How DVSA works out which band you're in. (Diagram design by Freight Transport Association).

No scores on OCRSYou won’t have a score for the roadworthiness or traffic categories if there’s no data available for you in the 3-year rolling period. It’s possible to have:
a score for one category but not the other
no score for both categories
Points for defects and offences
Points for roadworthiness defects
DefectPointsCat 1 defect (immediate prohibition for tyres, brakes and steering defects) 200
Cat 2 defect (immediate prohibition for all other defects) 100
Cat 3 defect (delayed prohibition for tyres, brakes and steering defects) 50
Cat 4 defect (delayed prohibition for all other defects) 25
Cat 1 S marked defect (immediate prohibition for tyres, brakes and steering defects) 400
Cat 2 S marked defect (immediate prohibition for all other defects) 200
Cat 3 S marked defect (delayed prohibition for tyres, brakes and steering defects) 100
Cat 4 S marked defect (delayed prohibition for all other defects) 50
Annual test failure for tyres, brakes, steering defects 50
Annual test failure for all other defects 25

Points for traffic offencesParameter descriptionPointsBand 0 offence (least serious offence) 0
Band 1 offence 25
Band 2 offence 50
Band 3 offence 100
Band 4 offence 200
Band 5 offence 500

Points for DVSA prosecutionsParameter descriptionPointsDVSA prosecution case 500
DVSA operator prosecution points per offence 100
DVSA driver prosecution points per offence 50

Prohibitions for breaches of the ADR (carriage of dangerous goods) regulations
Risk categoryPointsRisk category 1 (highest risk) 50
Risk category 2 (medium risk) 25
Risk category 3 (lowest risk) 0

You can find further information in section 14 of the enforcement sanction policy document.
Events that put you into the ‘RED’ band

You’ll be put straight into the ‘RED’ band for 12 months if found guilty of an offence.

If an encounter with your vehicle results in a ‘most serious infringement (MSI)’, listed below, you will go straight into the ‘RED’ band for 6 months.
exceeding the maximum 6 day or fortnightly driving time limits by margins of 25% or more
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
using a fraudulent device able to modify the records of the recording equipment
not having speed limited although required by Community law
using a fraudulent device able to modify the speed limiter
falsifying record sheets of the tachograph
falsifying data downloaded from the tachograph and/or the driver card
driving with a driver card that has been falsified
driving with a driver card of which the driver is not the holder
transporting dangerous goods without identifying them on the vehicle as dangerous goods, thus endangering lives or the environment to such an extent it leads to a decision to immobilise the vehicle

You’ll return to your base score when the trigger period of time has ended, so long as no further trigger events have happened since.

Access and use OCRS reports

You can access your OCRS report if you have one or more Great Britain operator licences. You’ll need to have your operator licence number(s) to fill in the form.

Register to access your OCRS reports

DVSA will then send a membership letter and a confirmation letter by post with instructions on how to access your OCRS and how to allow other employees access these reports.

This process takes about 5 working days.
Request your report

When you’ve got access, log on to the reports suite and select the ‘OCRS Report’. Enter the date you want the report to run from.

You can only select an end date for your report rather than a range of dates because OCRS works on a 3-year rolling period.

The current scoring system came into effect on 28 September 2012 so you’re only able to select report dates on or after this date.

Your OCRS report will contain information from the date on which the scores were last worked out, before the date you have selected.

It can take up to 2 working days for your requests to be processed and emailed to you.
Understand your OCRS report

The first page of your OCRS report contains:
your operator details
summary information showing how your score was worked out
a summary of your prosecution points
details of the OCRS band limits

The report also has details of specific events that have had a negative and positive effect on your score.

At the end of the report you can see details of events which have been removed from your score. It also shows your scores for the past 90 days.

Sample OCRS report

This sample report contains explanations of the important areas. It doesn’t contain all of the data used to work out the example scores.

PDF, 32.4KB, 6 pages

This file may not be suitable for users of assistive technology. Request a different format.

If you use assistive technology and need a version of this document in a more accessible format, please email Please tell us what format you need. It will help us if you say what assistive technology you use.
Improve your OCRSYou’re responsible for making sure:
your vehicles are always maintained to a high standard
all relevant laws, regulations and rules are followed

You need to make sure that any failures at test and prohibitions issued are investigated.

DVSA recommends that you:get your OCRS on a regular basis
track progress of your OCRS and, if it changes, get your OCRS report to understand why it changed
set performance improvement targets to improve the score in the future

DVSA can give you advice and information to help you to identify potential problem areas. You can read guides on these subjects:
vehicle safety and maintenance guides
drivers hours: rules and guidance
Guide to maintaining roadworthiness

The standards DVSA expects of all operators are set out in a number of publications including the ‘Guide to maintaining roadworthiness’.

What do you do if you think your OCRS is incorrect

DVSA cannot answer specific questions about an operator’s score by phone because of data protection rules.

You should:
check that your vehicle registration is listed on your operator licence and correct any errors using the operator license self service system
run your service history reports so that you can see what events have just been added and which events have just been removed
Appeal a test outcome, prohibition or fixed penalty

You should contact your local DVSA office and appeal the outcome if you think it was issued to you incorrectly or issued for the wrong reason.

You should appeal as soon as possible after the event.

The appeal is only likely to succeed if you’ve a good cause for the decision to be reversed.

A pending appeal will not have an effect on OCRS until the appeal has been accepted. The event will be removed from your OCRS if your appeal is successful, and it will be worked out again.
Prohibition cancelled after an appeal

Any defect items found will be removed and excluded from your OCRS when a prohibition is cancelled after an appeal. The encounter, if then classed as a clear encounter, will have a positive effect on your OCRS.
If your appeal is unsuccessful

If you want to take matters further you should follow the DVSA complaints procedure.
Data protection

OCRS contains data that could be relevant to individuals, so it’s covered by data protection law.

OCRS bands are not given to a driver at the roadside, unless they can prove that they’re the sole proprietor or the operator of the vehicle.

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