Decision

Decision for Dolphin Autos (Norwich) Ltd (PF0000185) and Danny Eastland (Transport Manager) and Megan Cooke (Former Transport Manager)

Published 3 November 2023

0.1 In the Eastern Traffic Area

1. Traffic Commissioner’s Confirmation of Written Decision

1.1 Dolphin Autos (Norwich) Ltd (PF0000185) and Danny Eastland (Transport Manager) and Megan Cooke (Former Transport Manager)

2. Background

Dolphin Autos (Norwich) Ltd holds a Standard National Public Service Vehicle Operator’s Licence authorising 56 vehicles. The operator lodged a request to reduce authority on 3 August 2023 (page 228), but that was for me to determine at this Public Inquiry. The Directors are Constance Maude Cooke, Melvyn Cooke, and Deborah Cooke. Danny Eastland has been named as the Transport Manager since 19 March 2021. Megan Cooke ceased to act as Transport Manager from 31 July 2023 and I refer to the underlying causes, below. The Examiner advised that the Companies House register does not reference to 49390 - Other Passenger Land Transport.

There is one Operating Centre at Swanton Road, Norwich NR2 4LR. Preventative Maintenance Inspections are said to be carried out by Michael Lemmon, Stuart Day, Nigel Cox, Martin Moore, Daniel Taylor-Hunt, Sebastian Larkowsky and Rhys Margitson. I directed that the record should, more accurately, refer to in-house at 6-weekly intervals. The Vehicle Examiner referred to in- house maintenance facilities, equipped with several bays and mobile column lifts. The operator invested in a roller brake tester, but it was not being used beyond annual test or occasional voluntary checks. An external auditor had apparently advised the operator that it had to be calibrated every month, instead of 6 monthly. That was confirmed in evidence.

The licence was granted subject to various restrictions regarding the size and type of vehicle to be operated. The operator appeared at a Preliminary Hearing on 5 May 2022 before Deputy Traffic Commissioner, Mr Baker. having accepted an undertaking that it would be subject of a compliance audit in October 2022. It subsequently undertook to arrange a further audit in May 2023.

3. Hearing

The Public Inquiry was listed for today, 23 October 2023, in Tribunal Room 1 of the Office of the Traffic Commissioner in Cambridge. was present in the form of Melvyn Cooke (Managing Director), accompanied by Geoffrey Martin (General Manager), with Danny Eastland, current Transport Manager. Megan Cooke did not attend. A letter dated 26 September 2023 was apparently sent to the Licensing Team, suggesting that Ms Cooke would not attend the hearing and that she no longer wished to be considered for a role as Transport Manager. That correspondence was not brought to my attention until the day of the Public Inquiry. Her decision was apparently a matter of contention within the family.

4. Issues

The public inquiry was called at the request of the operators and following notice that I was considering grounds to intervene in respect of this licence and specifically by reference to the following sections of the Public Passenger Vehicles Act 1981:

• 17(3)(a) – statement of expectation relating to Preventative Maintenance Inspections.

• 17(3)(aa) – undertakings (vehicle to be kept fit and serviceable, driver defect reporting, complete maintenance records).

• 17(3)(c) – prohibitions

• 17(3)(e) – material change:

• 17(1)(a) – repute, financial standing, and professional competence.

• 28 Transport Act 1985 – Disqualification.

Mr Eastland was called to consider whether he discharged the requirement to exercise effective and continuous management, and therefore whether I should prevent him from relying on his Certificate of Professional Competence under section 17(1)(b) by reference to Schedule 3.

Ms Cooke was called to consider whether she discharged the requirement to exercise effective and continuous management, and therefore whether I should prevent her from relying on her Certificate of Professional Competence under section 17(1)(b) by reference to Schedule 3.

The operator was directed to lodge evidence in support by 9 October 2023, including financial, maintenance and other compliance documentation. The average of the financial statements submitted was more than the prescribed sum for financial standing.

5. Summary of Evidence

As above, the operator attended a Preliminary Hearing before Deputy Traffic Commissioner, Mr Baker, following the issue of an S marked prohibition. The Deputy Traffic Commissioner was referred to evidence that 3 roadworthiness prohibition notices were issued at the fleet check, that driver detectable defects were only identified at Preventative Maintenance Inspections, that vehicle CUE 70 was presented for annual test on 10 August 2021 and attracted an S marked prohibition notice for a long-standing safety defect. It had been the subject of a Preventative Maintenance Inspection on 27 July 2021. The Examiner also noted that there were minor discrepancies identified within the inspection records with some vehicles not being signed off, some tyre condition boxes had not been completed and, although brake efficiencies had been recorded, the type of brake test had not. The Deputy Traffic Commissioner was satisfied that the operator had taken sufficient steps to address those concerns that he could dispose of the case with a warning, having accepted undertakings for roller brake testing and for a compliance audit in October 2022. The transport managers Megan Cooke and Danny Eastland also received warnings.

The subsequent audit report (pages 108 to 189) suggested that Preventative Maintenance Inspection intervals had been exceeded and that inspection records continued to disclose a high level of driver detectable defects, which had not been recorded or rectified elsewhere. The operator agreed to a further compliance audit to be undertaken by April 2023 (page 190). A further DVSA maintenance investigation was triggered which was carried out in May 2023. The maintenance investigation visit report completed by Vehicle Examiner, William Penny, is at pages 68 to 95 of the bundle.

Mr Penny checked 6 vehicles. He issued 1 immediate prohibition, 2 delayed, and 2 inspection notices were issued. Only 1 vehicle was clear of defects. His findings can be summarised as follows:

• Facilities – the Examiner noted the reference to torque wrenches although the particular wrench was not identified on the wheel retorque record. The operator was said to utilise plastic wheel nut indicators, with external tyre contractors. The Examiner was concerned by the approach to brake performance testing and the occasions when it was suggested that it was “too wet” to check the brakes. The operator was monitoring fuel usage but not the percentage of vehicles relying on Adblue. The fleet is mainly older second-hand buses and coaches over 12 years old or 8 and 16 seat minibuses. Drivers were said to be trained on accessibility, but no record had been retained. 5 or 6 vehicles were used for specific contracts. The operator claimed to be operating under an exemption.

• Inspection/maintenance records - 3 of the 64 records checked showed instances where the 42-day period had been exceeded, despite a joint diary system using Microsoft Outlook. The Examiner noted off-road system but no evidence of safety recall arrangements. It was apparent to the Examiner that the fitters were failing to complete all sections of the record, including vehicle make, model, seating capacity, mileage, tachograph details, tyre tread depths and some brake tests had no vehicle or tester details completed, or there was no accompanying printout. The operator appeared to be relying on decelerometer brake tests but with no temperature readings (as set out in the Guide to Maintaining Roadworthiness). There were instances where no brake check had been carried out and the record was annotated “too wet”. On several inspections there were no wheel retorque records or they were dated prior to or long after the inspection date. There were also instances where there was no fitter’s name or signatures and at least one had not been signed off.

• Driver defect reporting – the operator uses an App based system on personal or supplied mobile phones. The Transport Manager or engineering staff take drivers through the App, with a physical walk round demonstration and handbook.  A report is sent directly to the Engineering Manager/Transport Manager. Paper reports are available for drivers who feel unable to use the App and as a fall-back system. The workshop staff then make a decision on vehicle use, to prioritise but these appear to be assessment of safety: 1 = serviceable and can be used, 2 = rectify ASAP, 3 = VOR. Rectification reports are uploaded with an electronic date/time stamp to sign off the defects. The Transport Manager was said to carry out random audits and gate checks. However, the Examiner recorded numerous driver related defects being recorded on inspection and following a NIL report. AU59 XSJ (16-seat minibus) was issued with an immediate prohibition for a tyre below the legal limit, but NIL driver report from Megan Cooke.

Mr Eastland and the Operations Manager, Geoffrey Martin (Harry), suggested that the operator was adversely impacted by damage and vandalism caused by students. They referred to seat belts being cut, burnt, twisted, and otherwise damaged, after they had been checked before departure; seats were said to have been slashed, broken or otherwise damaged. They referred to the involvement of police and efforts to recoup costs from schools and parents. There was a suggestion that the operator might surrender contracts because of the cost of the damage and the risk of prohibition notices. The operator was the subject of 17 encounters from 3 November 2021 to 11 May 2023, resulting in 3 immediate and 6 delayed prohibition notices (a mechanical prohibition rate of 52.94%):

• 8 December 2022 to C14 PCL, tyre cords exposed – immediate.

• 11 October 2022 to R466 GUA, tyre cords exposed – immediate.

• 29 June 2022 to Y619 NYD, seat belts x 2 – delayed.

• 14 June 2022 to 4754 RU, seat belt – delayed.

• 14 June 2022 to YJ05 XXC, seat belts x 2 – delayed.

• 23 March 2021 to KIG 2473, stop lamps – immediate.

• 3 November 2021 to CL77, seat belt – delayed.

• 3 November 2021 to AU59 XSJ, driver’s seat insecure – delayed.

• 3 November 2021 to P8 BWT, EBS – delayed.

The inspection on 11 May 2023 resulted in the following notices: 

• AU59 XSJ, tyre below legal limit - immediate. This was fitted to axle 2 nearside inner. The tyre condition was evident, but the vehicle had been signed off with Nil defects that morning by Driver Megan Cooke. The vehicle was inspected on 21 April 2023 with numerous defects. This vehicle was allocated to Ms Cooke.

• AF58 OBE, seat belts x 2 - delayed plus no plate lamp inoperative, First Aid kit out of date (12/2021), lower offside front anti roll bar gaiter split, and 2nd prop shaft centre bearing rubber deteriorated. The last inspection was on 10 April 2023.

• YZJ 2787, oil leaks from engine – delayed plus gearbox cooler assembly bolts loose. The last inspection was on 2 April 2023.

The operator responded to the Examiner. Regarding the notice issued to AU58 XSJ, it was said that Megan Cooke had not noticed that part of the tyre was worn. She was aware that all the circumference of the tyres must be checked not just the part that can be seen, and that the vehicle must be moved forward to be able to view all of the tyre. In reference to AF58 OBE, the operator referred again to experiences with pupils. Drivers were said to check seatbelts during walk round checks. The response appeared to question the fairness of those prohibitions but there was no reference to other checks being implemented to address the risks. The gaiter and seal have been replaced and a new bulb in the number plate. This was raised again in respect of Y619 NYD, 4754 RU, YJ05 XXC, CL 77. The response went through each of the notices.

The operator referred to a new procedure for monitoring inspection records. The operator also referred to a new wheel torque form to identify which torque wrench is used at each stage of tightening. The operator accepted that there had been recurring issues with the standard of record keeping. Reference was made to the new rolling road facility and contingency arrangements if it was out of commission. The operator had also engaged a training company to attend at the depot and put drivers through their DCPC modules.

The operator referred to a challenging past 2 years with the shortage of drivers, the high cost of fuel, and inflation and the fact that 80% of bookings are through a school transport contract with Norfolk County Council lasting 5 years plus extensions, with no increase. The operator was felt it had to hand back school contract with effect from 21 July 2023. Mr Martin had retained Danny Eastland in a senior role and as Transport Manager but with the intention of voluntarily reducing authority to 40 vehicles, leading to the decision to remove Megan Cooke as a Transport Manager, from 31 July 2023. 

As suggested above, since the Preliminary Hearing in May, the operator attracted 4 x immediate prohibition notices, 5 x delayed. The items identified included worn tyres, stop lamp inoperative, oil leak from engine onto road surface, seat belt retractor defective, and seat belts insecure. My colleague was concerned by the issues raised in the further audit (pages 193 to 218) and the DVSA maintenance investigation. He indicated that the licence and its management should be considered at this Public Inquiry.

The operator’s letter of 5 October 2023 referred to the Check Master facility being used for licence checks. The Distinctive Systems Coachman software is used to record daily driver duties with a ‘Calculation’ report generated, split by driving and yard staff (including mechanics). The Tachomaster system was used to generate driver infringement reports, with accompanying disciplinary action. Missing mileage reports are now being produced. The operator had found this to be a challenge. The letter described the change to a proactive approach by adding start and finish odometer readings on top of the tachograph mileage entry as part of the driver work sheet. I also noted the efforts to ensure the recording of other work such as walk round checks, which needs to be embedded.  

I was assisted by the updated assessment from Mr Penny, based on the documentation supplied as per my Directions (paragraph 8, above).  The operator had apparently contacted the Examiner since the visit of 11 May 2023, seeking advice on compliance. It was suggested that minor amendments should be made to the VOR record to note the reason or relevant defect. Examples were provided: C14 PCL - 28 July 2023 and 29 August 2023, SN56 SYK – 16 May 2023.

Mr Penny’s examination of the up-to-date maintenance records disclosed the following:

• SN56 AYK – all inspections within declared intervals but decelerometer tests of brakes with no temperature checks, on 26 April 2023 the brake test and efficiencies have been incorrectly records on all the inspection sheets, tachograph test date and tyre pressures not completed, with no torque details provided for wheel security. He identified that no walk round checks were recorded on the summary between 26 May and 7 June 2023. There were no walk round checks between 8 and 25 August 2023, with an inspection on 25 August 2023, but I noted term dates. There were no driver defects reported prior to the inspection on 26 September 2023 but the vehicle was shown in use.

• C14 PCL - all inspections within declared intervals except for the inspection in ISO week 31, carried out week 35, the vehicle was off-road 28 July to 29 August 2023 (no reason recorded). It was inspected on 29 August but immediately declared VOR (no reason recorded). Inspection on 9 May 2023 suggested a decelerometer test but no temperature reading was recorded. Efficiencies were incorrectly recorded across the inspection records. The inspection on 19 June 2023 shows wheel nuts checked but no torque details recorded, the last 2-year tachograph test date and tyre pressures not were not recorded.

• SP55 EEF - all inspections within declared intervals but no torque details recorded, and last 2-year tachograph test date and tyre pressure sections not completed. From the mileage, the vehicle appeared to have had a new tachograph fitted, but no details recorded. The inspection on 13 July 2023 has a decelerometer print out attached, dated 17 August 2023. The Examiner identified that decelerometer tests had no temperature readings recorded and that efficiencies were incorrectly recorded across the inspection records. He identified various weaknesses in the driver defect reporting.

• FE5 HFJ - all inspections within declared intervals but no torque details recorded, and last 2-year tachograph test date and tyre pressure sections not completed. The Examiner again identified that decelerometer tests had no temperature readings recorded and that efficiencies were incorrectly recorded across the inspection records. PMI sheets state wheel nuts checked - No torque details recorded. He identified various weaknesses in the driver defect reporting.

In summary, the operator had improved the completion of inspection records, but there were still issues, as not all fields were being completed. He noted that the operator was still relying on decelerometer tests with no accompanying brake temperature checks, despite this being identified in his report. Incorrect readings were transposed on to the inspection records, recording peaks but not the efficiency readings. Inspections were being carried out to time, but driver detectable defects were still being identified at inspection rather than during a driver walk round. The operator advised the Examiner that random audit checks were being undertaken. One driver had been dismissed for failing to carry out his first use check. The inspection records also failed to disclose wheel checks and torque details. Whilst the operator was described as cooperative, further improvements were required.

R Turfitt
Traffic Commissioner

23 October 2023