Case Studies
Case Study #1
Full Circle
The best time to plant a tree was 20 years ago. The next best time is now." Chinese Proverb
One routine vehicle stop in London started a chain of events for a small family run haulage operator which had the potential to put them out of business indefinitely. It transpired that due to business pressures the driver had made a significant number of false records on his tachograph. This driver happened to be the business owner. Realising the risk to the business, Sense TMR Ltd were called.
Knowingly making a false record is a very serious charge which carries the potential for a custodial sentence (that means prison!). From the start, John Brooks contacted the Police and managed the process for the inevitable prosecution. A specialist transport solicitor was appointed and with careful and skilful management the outcome was as good as could be expected. However, this was not the end of it.
After conducting a systems audit it was clear to John that a full DVSA investigation (which he correctly predicted would be imminent) would not result in a favourable outcome, and nor was it. It was now about planning for the future of the family business.
The following recommendation was made:
· Expect a Public Inquiry
· Do not defend the licence
· Prepare for a new licence application with full disclosure (new Limited Company, new management, new systems etc)
· Provide training and coaching for the drivers and management
· Manage the drivers through their DVSA interviews
· Prepare for the Public Inquiry and request consideration of the new licence at the same time using the above improvements as a basis for the submission
Outcome:
The old licence was revoked. The drivers were sanctioned. The Traffic Commissioner was however, willing to consider the application for a new licence for the new business provided it was managed by the new team and on a compliant basis. The new licence was subsequently granted, audited and has since been upgraded to an International. One of the drivers who was sanctioned at the Public Inquiry for his conduct has now been accepted as a Transport Manager. At a recent DVSA roadside inspection the vehicle and driver were found to be fully compliant. “Keep up the very good work” was the officer’s parting comment.
On reflection John Brooks commented that…
“This case demonstrates a number of key points.
Firstly, The Traffic Commissioner would much rather have an Operator put things right and be compliant than put them out of business. Although, they will put you out of business if they are not convinced that you will!
Secondly, if you do have problems or have ‘fallen short’, even knowingly, everyone gets a chance to make it right. The question is - do you want to make it right, and will you?
Finally, regulatory action is an uncomfortable situation to be in and it is unfamiliar territory for most Operators. Get a consultant onboard as soon as possible, the minute you detect that you may have a problem, don’t wait until the last minute. And then get a good transport solicitor.”
When would be a good time to get it right and be compliant? 20 years ago, but failing that, do it now!” Sense TMR Ltd will always recommend the use of a Transport Solicitor. There is a reason why the “call up papers” recommend you appoint and attend with a Solicitor. As John Brooks puts it, “the Solicitor is the one that will say the right things on your behalf at a Public Inquiry. The Consultant will work with you to deliver on the right things.”
Case Study #2
Plan Do Check Act
Sense TMR Ltd were introduced to a large haulage operator by a trade association. The company had been called to Public Inquiry by the Traffic Commissioner to consider certain identified failings within the maintenance systems. The Licence was curtailed along with certain other sanctions and undertakings given.
John Brooks of Sense TMR Ltd was initially invited to develop a plan to resolve the immediate issues identified in an independent audit undertaken by the operator and to draft a letter of response to the Traffic Commissioner. He then worked with the company over the next 3 months to implement the systems to resolve the maintenance failings, to meet the undertakings given, and to prepare for a second independent audit to verify the improvements and ensure they were sustainable. A Plan, Do, Check, Act (PDCA) routine was developed and installed. Once the team were confident that the required sustainable improvements had been made the second audit was called. John Brooks assisted with preparing for the second audit and attended on the day.
The sanctions have now been removed and the company is no longer required to provide compliance reports. It is not over though, Sense TMR Ltd still works alongside the operator on compliance and other projects even though the company are self-sufficient in terms of compliance and managing the PDCA cycle.
Case Study #3
Root Cause
An articulated vehicle was involved in a major incident outside of a large quarry that had the potential for numerous fatalities. No one was harmed in the event, but the quarry was closed for a number of hours as a result.
The haulage operator was subcontracted to collect materials from the quarry operator by a third party. The quarry operator is an international corporation with very high health and safety standards and initiated a major investigation. The haulage operator was asked to provide their own detailed report into the incident and provide details of their findings in terms of immediate, underlying and root causes. They were then invited along with the other parties involved to a meeting at the headquarters of the quarry operator to present the findings and to suggest and agree remedial actions with the quarry operator’s Managing Director, Health and Safety Director and Management Team. Naturally, the haulage operator was keen to ensure that this incident could not happen again and also believed that their future business interests were at risk - they needed support.
The haulier’s investigation was led by Sense TMR Ltd using reports, video and eyewitness evidence. This even involved John Brooks, the investigator, replicating the day’s events by driving a lorry to the quarry as a driver, loading and repeating the sequence of events leading up the incident. As a result of this investigation and root cause analysis a number of recommendations were made including some areas for improvement for the quarry operator!
Sense TMR Ltd not only attended the meeting but made the presentation of findings on behalf of all three parties. His recommendations were adopted and implemented. The haulier, third party and quarry operator remain business partners to this day. More importantly, there has been no repeat of the incident since.
Root cause: an initiating event or failing from which all other causes or failings spring. Root causes are generally management, planning or organisational failings. Courtesy of HSE HSG245
Case Study #4
Collaboration
A very large haulage operator running flatbed vehicles had one of their vehicles stopped by the Police and issued with a prohibition notice for insufficient load security. This was not the first stop. In fact, there had been a few, this was now going to affect the Operator Compliance Risk Score (OCRS). The company had become rather frustrated because only a few months earlier one of their vehicles, secured in exactly the same way, had been stopped by another enforcement body and the driver commended on the load security.
What was needed was a system of security that would ensure safe load security, that would not be excessive to the requirements and therefore costly and time consuming and that, frankly, would satisfy all enforcement bodies. John Brooks pulled together a team comprised of a trade association engineer and representatives of the Police and the DVSA. Trials were arranged at one of the company's Operating Centres and physical testing was conducted.
The resulting solution was agreed by all parties and circulated to all enforcement teams. There has been no further enforcement action against the operator. Since then, John Brooks of Sense TMR Ltd has assisted in this matter on the production of an official training resource and contributed to one wide circulation industry Drivers’ Handbook.