Operator Compliance Risk Score FAQs for Operators

Introduction of OCRS

Q. What is OCRS and why was OCRS introduced by VOSA?

A. OCRS is a mechanism used to calculate the likelihood of an operator being non-compliant. OCRS is not a rating system; OCRS informs VOSA examiners of the probability of an Operator Being Compliant or Non-Compliant. OCRS was introduced to try to ensure that effective targeting is carried out, by targeting non-compliant operators more effectively as well as reducing the number of compliant vehicles that are stopped.


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Q. How will OCRS be used by VOSA?

A. OCRS will be used at the roadside by VOSA examiners to identify which vehicles should be checked. VOSA examiners will have a small device known as the MCD or mobile compliance device into which they will key a registration number or operator licence information. OCRS will display information about the relevant operator, including OCRS scores. The scores will be shown as R (red), A (amber) or G (green) and as a numeric value of 0 to 10. VOSA may also use the data to prioritise investigations of those operators most likely to be operating outside the law.


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Q. What are the benefits of OCRS to me as an operator?

A. OCRS is a fair system as 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 who have a red or amber score are more likely to be targeted than those with a green score. However, this does not mean that operators with a green score will never be subject to checks. It does mean, though, that these operators will not be targeted on the basis of their OCRS score. Therefore operators that achieve a good standard are likely to be stopped less often.


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Information available

Q. How can operators find out their score?

A. You can find out your OCRS score by requesting it by email, quoting your Operator's Licence number. An email can be sent to top.registrations@vosa.gov.uk . The score will only be given when VOSA is satisfied that you, the applicant, have a right to view the data

You can also find out your OCRS score by using an on-line facility. To use this service you must first register using the link below or you can contact VOSA on 0300 123 9000.
http://www.businesslink.gov.uk/Transport_Theme_files/VOSA_Online_report_services_application_form_v1__1.pdf

Vehicle Encounter Reports and Vehicle test History (maintenance) reports are also available via this service. PSV operators can only see their maintenance history reports if they have a PFA (pre funded account)


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Q. What date is the OCRS report run for?

A. A rolling two year period to the end of the previous calendar month. The scoring process is run weekly but summarised monthly, allowing newly registered operators to be scored and to take into account any new vehicle encounters.


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Q. Are any other reports available to coincide with an OCRS report?

A. There are two reports available that support the OCRS scores. The Vehicle Test Maintenance statement, which details test results and points attributed to Failure items and a Vehicle Encounter report that details performance at the roadside and at Fleet checks, showing points attributed to unsatisfactory checks.


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Data Protection and Freedom of Information

Q. Can I receive an OCRS score on behalf of a company that I am not employed by?

A. OCRS is governed by Data Protection legislation and authorisation is required from someone in authority from that company via a letter on headed paper. OCRS scores will not be disclosed to a driver at the roadside, unless the driver can prove that they are the sole proprietor or the operator of the vehicle.


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Scoring mechanism overview

Q. What is the basis of OCRS?

A. OCRS is separated into two categories. One category is Roadworthiness, which is concerned with the condition of a vehicle. The second category is Traffic Enforcement, which is mainly concerned with drivers hours and weighing checks. The scoring for both of these categories can be Historic, Predictive (or Low Incidence for HGV Roadworthiness only). Historic OCRS is based on data taken from the VOSA data warehouse and Predictive OCRS is based on statistical data.


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Specific scoring details

Q. What is the Roadworthiness score made up of?

A. The Roadworthiness score is based on the condition of vehicles. There are two distinct areas that contribute to the score vehicle tests and vehicle encounters. The vehicle tests only include the First Tests and subsequent Annual Tests. Other types of testing such as Retests and Voluntary Checks are excluded. Vehicle encounters consist of Fleet Check Inspections carried out at operator premises and Roadside Inspections carried out at various check sites. PSV Testing data is not included when calculating a PSV Roadworthiness OCRS.


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Q. What is the Overall Traffic score made up of?

A. The Overall Traffic Score includes Roadside Inspections and Prosecution & Legal Services prosecutions. There are two further sub categories consisting of Drivers Hours and Other Traffic details. Drivers Hours offences include such things as insufficient rest taken by the driver, and any tachograph related checks. Other Traffic offences are in the main due to weighing offences.

This is simply to provide extra information to the examiners.


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Q. What are Historic, Predictive and Low Incidence Scores?

A. The scoring for both OCRS categories can be Historic, Low Incidence or Predictive. Historic OCRS is based on data taken from the VOSA data warehouse on operators that VOSA has encountered in a past 2 year rolling period either at test, roadside or at an operators premise. Predictive OCRS is based on statistical data of operators with similar characteristics where VOSA has no historic data on an operator. Low Incidence scores are used for HGV operators only where VOSA has only testing data but no roadside encounters during the OCRS calculation period.


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Q. How does Historic Scoring Work?

A. Historic OCRS is based on actual data from events or tests that VOSA holds on an operator. OCRS Points are attributed when a vehicle test or an enforcement encounter results in a defect or infringement being identified. The more serious the defect or infringement, the greater the point allocation.


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Q. How does Predictive scoring work?

A. Predictive OCRS is used to calculate an index score when we have no information; it uses the historic data of operators with similar Operator Licence characteristics to calculate the likelihood of non-compliance. Predictive scores will only be displayed if no Historic score exists. The score will be historic, while there are events that took place during the previous two year period. Once the two years has rolled to a position where no events are shown, the OCRS will revert to a predictive score. This will remain until vehicles on the licence are inspected or tested, when a historic score will become effective again.


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Q. What is an Index Score?

A. All events with no defects or offences are treated as a clear encounter and carry zero points. Each encounter is counted as one event. Each defect, or offence, is given a points rating based on the severity of the defect, or offence.

The scoring mechanism calculates the average number of points per event and this score is termed the ‘Index score’. Similar operators, e.g. GB HGV, have their Index scores compared with each other and a league table of the operators is compiled giving a ‘Relative Score’.


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Q. What is a Relative Score?

A. The Relative Score is allocated based on the league position of operators index scores operators with all clear encounters, a zero Index score, will have a Relative score of zero The worst 10 per cent of operators with an Index score above zero will have a Relative score of 10. The next 10 per cent of operators will have a score of nine.

This is repeated with every 10 per cent until the 'best' 10 per cent with an Index score above zero will have a Relative score of one.

The relative score groups are then allocated a colour status of green, amber or red. See table below:


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Percentile

Group

OCRS - roadworthiness

(mechanical)

OCRS - traffic enforcement

(non-mechanical)

0 (points)

0

Green

Green

1-10%

1

Green

Green

11-20%

2

Green

Green

21-30%

3

Green

Green

31-40%

4

Amber

Amber

41-50%

5

Amber

Amber

51-60%

6

Amber

Amber

61-70%

7

Amber

Amber

71-80%

8

Red

Red

81-90%

9

Red

Red

91-100%

10

Red

Red

Q. How are the Red, Amber or Green ratings dependent on the numerical values assigned to them? (E.g. is the next step from a Green 10 an Amber 1?)

A. There is a logical progression in that the scores go from 0 to 10. The Roadworthiness scoring does differ from the Traffic scoring because more data is available on the Roadworthiness side, mainly due to annual vehicle testing. An operator will score 0 on the Roadworthiness side if all events are clear, with no failure items at annual test and no prohibitions issued at a roadside or fleet check. The remaining operators are then divided into 10 groups with the best 10% (i.e. those with lowest risk scores) together in group 1, the next 10% in group 2 and so on. Therefore it is not possible to have a green 10 and an amber 1. The lowest groups will be green and the highest groups will be red.

Parameters are set but these could be changed in future depending on results. For example, if the parameters are set that red operators will be those within the highest 10% scored there would only be a red band 10, and anything else would be rated as amber or green. If it is decided that red operators would include the highest 20% then the red bands would be 9 and 10. Currently the bands for Roadworthiness are set as 0-3 for green, 4-7 for amber and 8-10 for red. However, as mentioned this might change.

The same principle applies to the Traffic side but as this is based on encounters only a large percentage of operators are not seen. The scoring has been set as 0-3 for green, 4-7 for amber and 8-10 for red. This again is subject to change.


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Q. Can I get an OCRS score for an individual vehicle?

A. No the scoring system has been set up to distinguish between operators. It is the overall position that matters. Also as vehicles can change hands frequently the history of a vehicle could lead to a wrong impression being given about the current operator.


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Q. Will operators have an OCRS score for each operator’s licence that they hold.

A.OCRS scores are calculated per operators licence, therefore you will have 2 scores (OCRS Roadworthiness and OCRS Traffic) for each individual current operators licence that you hold. This will enable you to identify if there are specific problems with one licence that you hold.


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Q. I hold several operator licences with Historic scores. Are these taken into account when a Predictive score is being allocated to my new operator licence?

A. The Predictive score will be based on a comparison made against all current operator licences. Each operator licence is treated independently and will not be linked to any other licences held by the operator.


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Q. Are trailers counted towards my OCRS Score?

A. Trailer details are not allocated to operators at the annual test because of the difficulty in allocating trailers to operators. However, any prohibitions that are issued at the roadside are included and allocated to the vehicle drawing the trailer.


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Q. Are Sifted encounters included in the OCRS score?

A. At present all encounters that have been sifted by VOSA examiners are not included as part of the OCRS scoring mechanism, however VOSA will be investigating this as part of future developments for OCRS


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Q. Will vehicle defects/offences in relation to my light goods vehicles or those vehicles exempt from operator licensing be included in my OCRS score?

A. No the Score is based only on vehicles specified on an operators licence.


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Q. Why is PSV test data excluded from an OCRS Score?

A. PSV OCRS does not include test results as licence discs are not operator specific therefore we cannot tie a test result to a specific operator.


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How to be compliant

Q. How do I achieve and then maintain a green OCRS Score?

A. The bottom line is that the onus is on an operator to maintain suitable systems to ensure that vehicles are always maintained to a high standard, and that any relevant legislation in force is adhered to. You need to ensure that any failures at test and prohibitions issued are investigated.

VOSA is willing to assist you by providing advice and information that will help to identify potential problem areas. Knowledge is a key weapon in the drive to improve standards and if you know what you are being assessed on, then you will find it easier to improve your position. Below are some suggestions that you might find useful:

- Obtain your OCRS scores

- Track progress of your scores and obtain supporting reports

- Set performance improvement targets


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Q. I have been told that my score could change constantly so how do I keep an eye on my score?

A. OCRS scoring is based on a rolling 24 month period so there is potential for your scores to change frequently. To keep an eye on your scores various reports are available to you. Large operators will tend to need regular reports due to a high volume of encounters, and can compare performance between one period and the next. You can make improvements to your scores by having less test failures and prohibitions. Things can change quickly for small operators but potentially any operator with a red score can in time move to a green score. Although you can influence your score it also depends on the behaviour of other operators, as you are being compared.


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Q. What are the reasons why my OCRS score might change?

New Events included

VOSA calculates individual OCRS scores on a rolling 2 year period to the end of the previous calendar month, therefore your score will change as new encounters are included in the OCRS calculation period. These events can include Roadside, Test or Fleet Encounters, as well as VOSA Prosecution & Legal Services (PLS) cases against you, PLS cases are only included from the result date of the case, not the offence date.

If you acquire new OCRS offence and defect points from events this may have a negative impact on your OCRS Score, however if you have clear encounters this may have a positive effect on your score.

Old Events Excluded

As per new events as your OCRS score is calculated on a rolling 2 year period to the end of the previous month, your score will change as old encounters that have previously been included, are now excluded as they are no longer within the OCRS calculation period.

If you previously had clear encounters included in your score, and those have now dropped off, then this may cause your score to go up as your index score may rise, but if you have had prohibited encounters that have now dropped out of the calculation period then this may have a positive effect on your OCRS.

Operators improve around you

Although you can influence your score it also depends on the behaviour of other operators, as you are being compared.

As OCRS scores are based on a league format of operators average points per events (index Score), and OCRS scores being rated on a percentage basis of 10% groups (Relative Score) to identify if an operator is Green, Amber or Red.

If operators in your group improve around you then you could move further down the league table which could result in you moving between OCRS Bands.

e.g. An index score of 1.57 could put you currently in OCRS group Amber 7, however if operators improve around you and their index score decreases, then you could move into a higher group (Red 8), as you may now fall into a different 10% group.

This situation could occur especially if your index score lies near to the boundary between two OCRS scores.

OCRS Score Type changes

The scoring for OCRS categories can be either Historic, Low Incidence or Predictive. Historic OCRS is based on data taken from the VOSA data warehouse on operators that VOSA has encountered in a past 2 year rolling period. Predictive OCRS is based on statistical data of operators with similar characteristics where VOSA has no historic data on an operator. Low Incidence scores are used for HGV operators only where VOSA has only testing data but no roadside encounters during the OCRS calculation period.

Therefore if you are currently a Predictive operator and have a roadside encounter with VOSA, your score will then instantly become Historic, which could mean you could have been a Predictive Amber 4 and could then become a Historic Green 2.

This will also mean if you have a current Historic OCRS, and you have had no further events within the 2 year OCRS calculation period, then your score will become a Predictive Score, so you could have been a Historic Green 2 and become a Predictive Amber 4.


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Q. I have obtained my scores but do not understand how to make best use of the reports available?

A. To identify potential problems supporting reports might be required. Roadworthiness historic scores are based mainly on annual tests (HGV only), roadside and fleet check encounters (HGV and PSV) and include defects found at these encounters, although any advisory items will not have an adverse affect on your score. Traffic historic scores will mainly be due to drivers hours, tachograph and overloading offences. Detailed reports are available which will enable you to assess whether there are any specific problem areas. Guidance notes with these reports will also enable you to understand what is included.


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Comparison to other operators

Q. Are HGV and PSV operators scored differently?

A. Yes, operators are compared to their peers. A lot of the scoring process is the same but there are differences between the two distinct groups.


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Q. How are operators compared with similar operators?

A. By similar operators it is meant that there is separation from the different categories e.g. HGV operators will only be compared to HGV operators not PSV operators. The groups are then rated on a percentage basis and if criteria are set that ensures that the 10% with the highest score receive a red rating, then operators will remain in this group until they fall outside the top 10%. Movement can occur when an operator’s score changes but an operator can also move from one band to another even if their score remains unchanged. This is because there is constant change to the scores of other operators that are in the same group for comparison.


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Complaints and appeals

Q. If I do not agree with the scores, is there a complaints procedure?

A. There is not a complaints procedure as such because it is considered that the system is fair, as all operators are treated in the same way. The system has been tested and as far as we are aware is working as expected. However, there is potential for incorrect details to be shown against your operator licence. It is recommended that you check the various reports that are available to you, and if you think that there are any discrepancies these should be reported to the Information Services team.


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Q. If a prohibition is rescinded after an appeal is it then ignored for the purposes of OCRS?

A. If a prohibition is rescinded after an appeal any defect items found will be removed and therefore excluded from the OCRS score. If the encounter is then classed as a clear encounter then this will have a positive effect on the total score.


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Q. Would mounting an appeal have a positive effect on OCRS or is it not considered?

A. An appeal is only likely to succeed if there is a good case for the decision to be reversed. A pending appeal will not have any effect until the appeal has been accepted. If operators think that incorrect details are shown in their Encounter reports they should contact the Information Services team in Swansea.


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Future developments

Q. Will fixed penalties count towards OCRS?

A. Fixed penalties will be included as part of the traffic score. At the moment prosecution data resulting from court cases presented by VOSA’s Prosecution & Legal Services is included in the Traffic scores. This will continue but it is expected that the majority of cases will be dealt with by fixed penalties, and prosecution cases will be a small percentage of the total.


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Q. Are non GB vehicles scored on OCRS?

A. OCRS is based on scores attributed to operator licence numbers. This is possible because the data that supports it is held by VOSA. However, VOSA does not have access to operator details belonging to operators outside Great Britain. As data is being captured from the growing number of encounters, that VOSA is having with operators that reside outside Great Britain, VOSA are currently running a trial of a Non GB OCRS system based on the same rules and scores as the GB system. If this trial proves successful then we will look at ways of rolling this out to VOSA examiners. At the moment prohibition rates are calculated for each country, and the likelihood of compliance can be compared between operators from various countries


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Q. Can operators have access to what standards VOSA are expecting?

A. At the moment OCRS is being used to determine which vehicles need to be stopped at the roadside. This is a new initiative and no doubt the system will evolve in the future. It is right that operators need to be compared to their peers and this is to be reviewed as part of our reporting processes. It seems feasible for comparisons to be made with operators of a similar size, but there needs to be clearer identification about the types of operations that exist. It is recognised that standards need to be provided because operators will then have a clearer idea about their performance and what they need to aim for.


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Q. Will I be able to access my OCRS information online?

A. VOSA has launched an on-line facility via the Business Link website for operators to access their OCRS details, this includes a summary of what data has been used to calculate an operators compliance risk score for each of their operators licenses.


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