A celebratory event marking multiple anniversaries, including the IoTA’s 90^th, hosted a compliance masterclass.

Senior Traffic Commissioner, Richard Turfitt, took part in a two-way discussion on compliance with transport solicitor Laura Hadzik, Head of the Commercial Road Transport at legal firm JMW.

During the pair’s presentation, the Senior Traffic Commissioner said there are far too many public inquiries where operators and drivers are not keeping up to date with regulations. Laura then emphasised ‘knowledge really is power’, highlighting that staying up to date with these changes is important as there is usually an element of ‘out of date’ or ‘lack of knowledge’ when compliance problems arise.

A common area knowledge is lacked is around how periods of grace work. Laura said: “There are operators and Transport Managers that think it’s an automatic right. That’s not the case.”

A period of grace has to be applied for to the Traffic Commissioner, who then has to see tangible evidence that there will be a good outcome of it.

Laura said that if an operator loses its Transport Manager from its operator’s licence, then a licence revocation risk letter is sent out automatically, featuring a right to request a public inquiry. “The letter is scary,” Laura said. “But they’re setting out the legal rights.”

Richard said: “It’s designed to be uncomfortable. It’s not personal, but it’s designed to wake the recipient up.”

The period of grace is a limited amount of time to give the Traffic Commissioner very specific plans of how the operation will meet the criteria, according to Laura. The typical period is three months.

Laura said that if an extension to a period of grace is needed, then the reason for it must be reported to the TC as soon in the process as possible. She suggests putting your best foot forward with periods of grace, giving ‘chapter and verse’ about plans to improve the situation.

Transport Managers

Transport Managers were the next topic. Laura said: “If a Transport Manager has left, then who is running the fleet? The Traffic Commissioner will want to be satisfied it is running safely and compliantly.”

“And why did the last one leave?” Richard said, eyebrows raised.

“I am here to help. It may not feel like that. But when I revoke a licence, I see it as a bit of a failure because I probably granted them that licence” – Senior Traffic Commissioner, Richard Turfitt

Richard continued: “I am here to help. It may not feel like that. But when I revoke a licence, I see it as a bit of a failure because I probably granted them that licence.”

The pair highlight the importance of knowing all of the responsibilities of a Transport Manager, as outlined in paragraph 60 of the Senior Traffic Commissioner’s Statutory Document Number 3. Richard said: “That’s for you to scoop up and turn into a contract; it’s not to be ignored. It also forms KPIs to check what the Transport Manager is delivering.”

The topic then shifted to whether a Transport Manager is ready to hit the ground running as soon as they are qualified. It was suggested they work under the tutelage of existing Transport Managers if possible if they are newly qualified and lacking experience. Also, qualifications alone do not make a Transport Manager, they must have the character and personality required. Could they discipline drivers if they need to?

Too remote?

Laura introduces the issue of remote working: “Where does it become too remote versus on the ground visits to the operating centre?”

Richard said there is ‘not one size fits all’ in answer to that. He questions whether a Transport Manager working remotely can effectively manage issues like driver fatigue: “How do you spot that on the telephone or via a video call? There needs to be enough physical contact to see that.”

“I have seen too many examples at a public inquiry where the Transport Manager has become too remote” – Richard Turfitt

He continued: “I have seen too many examples at a public inquiry where the Transport Manager has become too remote.”

An upcoming development from the Office of the Traffic Commissioners (OTC) is the introduction of more letters making operators aware of legal obligations, similar to the suite of post new operators receive from the OTC on this topic.

Good maintenance

As well as the role of Transport Managers, the requirement of good maintenance was also highlighted. Laura said 80% of public inquiries come about as a result of maintenance infringements. Richard said brake testing requirements are often a stumbling block for operators. He said that if called to a public inquiry with issues surrounding maintenance, then have extensive plans to present at the inquiry on how you will improve: “Is it the most concrete of foundations to say you’re going to do the bare minimum?”

A question from the audience was how does the industry get maintenance providers onboard with ensuring its practices meet the OTC’s requirements? Contractors should know the requirements, Richard said. He is not above running them in for inquiries.

On being told some maintenance providers see the regulations as ‘only guidance’, Richard responded that he would like anyone who believes it is just guidance to argue with him it is not practical to follow state sponsored guidance prepared by experts and stakeholders in the sector. He believes the best way this can be addressed is through the market, by not using those that do fall short of requirements. He is aware there is a shortage of fitters, a problem he has told the Secretary of State about.

Self-employed drivers

The next topic explored self-employed drivers. Richard said: “How, as a Transport Manager, do you control self-employed drivers? How do you discipline a non-employee?”

He says there are ‘perfectly legitimate conditions’ to bring in temporary staff. He advised not treating agency drivers as the agency’s responsibility. “It’s your licence,” he reminds operators.

Laura said that it can often be the case that so-called self-employed drivers are not self-employed, which all feeds into the operator’s repute if it comes into question as they may not be getting all of the rights or protections of being an employee.

A question from the audience asked how they can get employees to be aware of the guidance. Laura suggested pointing out the risk to them personally, using the Senior Traffic Commissioner’s statutory document 6 as guidance. Richard said: “The good operators we see act on the advice of our colleagues at the DVSA. In between formal training they have plenty of toolbox talks with staff too.”

Laura said: “Sometimes when there is an issue, operators can be reluctant to say they are going to a hearing. But this can be an opportunity to drivers. Use it as an education piece for drivers.”

Despite the focus on Transport Managers during the talk, the pair also emphasised the responsibilities of Directors. “It’s the Director’s fitness to run the operation that forms the repute,” said Laura. “Every Director listed at Companies House carries the can.”

The attitude of ‘my door is always open’ is not good enough, she says. “What are you practically doing to monitor compliance?”

Trigger points

An invitation to a public inquiry rarely comes from nowhere, Laura emphasised, there is often a trigger event: hitting a bridge, a wheel loss. One of the most common is with tyres, an ‘S’ marked prohibition, for instance. This would see DVSA begin monitoring the operation.

“The key is recognising those triggers and taking action to address the problem,” Laura said. “It wouldn’t just be about changing the tyre and getting back out on the road. Don’t just look at the problem in isolation, review the systems and take steps to close any gaps.”

“Use these warning signs and triggers to revise your maintenance regime” – Laura Hadzick

If it comes to being put in front of the Traffic Commissioner for such issues, then she suggests not just saying what you are going to do in response to the issue, but make sure it is actioned. “Use these warning signs and triggers to revise your maintenance regime.

“I see operators that don’t do any of that and they get a letter for a public inquiry and they think they can just turn up and see how it goes. They might have a little think about what they might say. The moment you don’t do what you promise to do, then you will be back to another PI.”

Richard said: “I’m not here to punish. If there is hope, I’ll hold back from revocation. If you tell me you can get it under control I will give you the time.”