Executive summary

	The focus of our audit
	Heavy vehicles are those that weigh 4.5 tonnes or more and include articulated trucks, trailers, rigid trucks and buses. There are around 120,000 heavy vehicles registered in NSW, but there are also many thousands of heavy vehicles registered elsewhere that travel on NSW roads.
	There were over three thousand crashes involving heavy vehicles on NSW roads in 2007. Heavy vehicles represent around two per cent of all vehicles registered in NSW. And together with those registered interstate, were involved in nearly seven per cent of all crashes and in nearly 22 per cent of crashes where someone is killed.
	Improving road safety and the regulation of heavy vehicles in NSW is the responsibility of the Roads and Traffic Authority of NSW (RTA). The RTA uses annual vehicle inspections, on-road compliance checks, Safe‑T‑Cam cameras and fixed speed cameras to test compliance with heavy vehicle safety regulations.
	The RTA's on-road enforcement program for heavy vehicles focuses on three main causes of crashes: speed, fatigue and vehicle roadworthiness including load restraint. These factors are present in around a quarter of crashes involving heavy vehicles, and a third of crashes involving heavy vehicles where someone dies. This is one of many programs run by the RTA and the NSW Police Force to reduce heavy vehicle crashes.
	This audit aimed to assess how well the RTA manages on-road enforcement to reduce the number and severity of crashes involving heavy vehicles. Specifically we wanted to find out how well the RTA: § deters and detects breaches of heavy vehicle safety regulations § enforces heavy vehicle safety regulations.
	We also examined the RTA's response to the crash that occurred on the F3 freeway at Mooney Mooney. On 22 October 2004 an unregistered semi-trailer loaded with 18 tonnes of building material crashed into 34 vehicles travelling north on the F3 freeway. One woman died and two people were seriously injured.
	Audit opinion
	The RTA's approach to detecting and enforcing heavy vehicle safety has produced mixed results.
	There have been overall decreases in the number of crashes and people killed and injured in crashes involving heavy vehicles between 2002 and 2007. However, the number of crashes and the number of people injured have increased between 2006 and 2007.
	The number of people killed in crashes involving heavy vehicles has fallen by nearly 29 per cent between 2002 and 2007 compared to 21 per cent for other crashes.
	Yet, when compared to all fatal road crashes, the percentage involving heavy vehicles has increased. In 2007, heavy vehicles were involved in nearly 22 per cent of all motor vehicle crashes where someone was killed. This has increased from around 16 per cent in 2003.
	The RTA has been most successful in reducing the number of crashes due to the vehicle's condition. It has also been successful in reducing the number of crashes and deaths due to fatigue.
	In contrast, there has been a recent increase in the number of crashes involving speed. And nearly half of all fatal crashes involving heavy vehicles occur in high speed zones.
	The RTA regularly surveys the speed of heavy vehicles travelling on major roads. Its 2008 survey shows that around 47 per cent of heavy vehicles exceed the 100 km per hour heavy vehicle speed limit, down from 52 per cent in 2006. The RTA's survey of all vehicles shows that around half exceed posted speed limits. Yet, the rate of infringements for speeding offences by heavy vehicles is three times lower than the rate for other vehicles.
	There are possibly many reasons for this lower rate of speed infringements for heavy vehicles. One is that the RTA's fixed speed cameras located in 110 km per hour zones cannot distinguish a heavy vehicle from other vehicles and, therefore cannot differentiate those exceeding the heavy vehicle speed limit of 100 km per hour.
	And while Safe-T-Cam is supposed to manage both speed and fatigue, we found that while it can detect speeding offences it is not used to enforce them.
	There are other areas where we think that the RTA can improve its approach. While it would be impossible for the RTA to detect all instances where the vehicle or driver fails to comply with regulations, we do expect the RTA to maximise detection, especially where it targets high risk vehicles.
	Yet we found the rate of detection varied in different locations across the state with no apparent reason. In one location, every second vehicle inspected was given an infringement notice whereas in another location, a breach was detected in only one in every ten vehicles inspected.
	Just prior to the fatal crash at Mooney Mooney in 2004, the RTA had failed to detect and stop the unregistered semi-trailer that caused the crash. The RTA has since made a number of changes to improve how it detects and stops an unregistered heavy vehicle.
	We recognise that the RTA is unable to prevent all crashes. However, we consider that the RTA could do more to improve its ability to detect and respond to high risk heavy vehicles travelling on our roads.
	Key audit findings
Chapter 1 The RTA's role in heavy vehicle safety	The RTA regulates the use of NSW roads by all heavy vehicles in order to minimise the number and severity of crashes due to speed, fatigue and vehicle roadworthiness. To do this, the RTA uses annual vehicle inspections, on-road compliance checks, Safe-T-Cam cameras and fixed speed cameras to test compliance with heavy vehicle safety regulations.
	As well as the general road rules, there are specific rules for heavy vehicles due to their higher impact on road safety and the condition of our roads. If the regulations are breached, the RTA can take enforcement action against the driver as well as the owner or operator.
	Many of the rules for heavy vehicles are part of the national heavy vehicle compliance and enforcement framework, which includes Chain of Responsibility powers. This means that the RTA can take action against parties in the supply chain for breaches of heavy vehicle safety regulations.
	These national reforms are being progressively implemented by the RTA in NSW and its counterparts in other states. The RTA will continue to complement the national framework with its own regulatory and compliance policies for heavy vehicles. The RTA's on-road enforcement program underpins these policies.
Chapter 2 How well does the RTA deter and detect breaches?	The RTA's on-road enforcement program is used to deter and detect breaches of heavy vehicle safety regulations. While it would be impossible for the RTA to detect all breaches across the state, we expect the RTA to maximise detection.
	The RTA uses a range of methods to manage on-road enforcement. It has developed a risk-based approach to target on-road inspections to occur when and where heavy vehicle movements are at their highest.
	However, we found that the RTA is not always in the right place at the right time to maximise deterrence and detection. This is because the risk-based approach is not used effectively in all regions.
	We found that where the risk-based approach worked well, on-road enforcement was matched to the time and place of peak heavy vehicle traffic and crash risks. In contrast, one region had not changed its schedule of on-road enforcement in two years to correspond with changes in traffic flow or crash risks.
	Another dimension to managing on-road enforcement is balancing the amount of resources allocated to the various components. The RTA's on-road enforcement program is delivered by Inspectors, who also work on annual registration inspections, as well as attending crashes and other activities. Priority is given to annual inspections, followed by on-road enforcement.
	Around one-third of an Inspector's time is spent on annual registration inspections. While annual inspections have led to improvements in vehicle condition, there are opportunities for the RTA to better use Inspectors. In other states, such as Victoria, a risk-based approach is used for these inspections by accredited third parties. This is similar to the approach used for other vehicles registered in NSW.
	We also found that the resources available for on-road enforcement over the last two years have remained the same despite increases in heavy vehicle registrations and the opening of a new checking station. The result has been less road-side inspections.
	There are a number of other ways in which the RTA can improve its effectiveness. One is to ensure that minimum standards for vehicle compliance inspections include critical safety checks and that these checks are completed. Another is to ensure that checking stations use the same criteria to identify heavy vehicles that must be inspected.
	The RTA only uses overt methods to detect breaches which may limit effectiveness. All fixed cameras and heavy vehicle checking stations are sign-posted and its inspection patrol vehicles are marked making avoidance easy. Other states use a mix of overt and covert methods to detect breaches.
	In regard to detecting speeding offences, we found a low rate of infringements for heavy vehicles compared to the rest of the population. This has highlighted weaknesses in the RTA's current approach to the detection of speeding offences by heavy vehicle drivers.
Chapter 3 How well does the RTA enforce heavy vehicle safety regulations?	The aim of enforcing heavy vehicle safety regulations is to change behaviour in order to reduce the number and severity of crashes. The RTA enforces the regulations by penalising the driver, the owner of the vehicle, and where appropriate, the operator, when it detects a breach.
	We found that on-road enforcement can be effective in reducing the number and severity of crashes involving heavy vehicles, although the RTA has achieved mixed results.
	For example, the number of crashes involving heavy vehicles has decreased by 11 per cent from 2002 to 2006, but increased by more than five per cent from 2006 to 2007. The number of people killed has fallen by nearly 29 per cent since 2002. However, when compared to all fatal road crashes, the percentage involving heavy vehicles has increased from 16 per cent in 2003 to nearly 22 per cent in 2007.
	The RTA's focus on annual registration inspections has resulted in a low rate of crashes due to vehicle condition. In addition, a tripling of infringements for fatigue offences since 2002-03 has led to reductions in the number of crashes and deaths due to fatigue.
	Other factors that may have contributed to these results include changes to the way enforcement action is taken over the last ten years. Rather than targeting only the driver, regulations now hold owners and operators responsible for ensuring both their drivers and vehicles comply.
	There has been a recent increase in the number of crashes involving speed, which we found corresponded to a decline in the number of infringements issued for speeding.
	The decline in speed infringements may be due to either increased compliance by drivers or decreased detection. The RTA's role in detecting speed offences is discussed in more detail in Section 2.6.
	Enforcement is most likely to change behaviour if it is consistent and matches the severity of the offence. The RTA has a range of enforcement options available and in some cases it can apply further penalties where the offence is repeated.
	We found that the RTA does not apply enforcement action consistently. And some minor breaches may be better dealt with using formal warnings which are currently not available.
	Recommendations
Better detect and enforce speeding offences	We recommend that the RTA focus on improving the detection and enforcement of speeding offences by heavy vehicle drivers by: 1. using Safe-T-Cam or better technology to enforce point to point speed offences against heavy vehicle drivers by July 2009 (page 31) 2. routinely checking the operation of all Safe-T-Cam cameras to maximise accuracy (page 31) 3.  ensuring that its fixed speed cameras detect all speeding offences by heavy vehicle drivers by December 2009 (page 32).
Better response to high risk heavy vehicles	We recommend that the RTA sharpen its response to high risk heavy vehicles travelling on our roads by: 4. clearly defining what is meant by visual mechanical check by July 2009 (page 27) 5. standardising the weightings for serious road-safety criteria used in checking station screening lane templates by July 2009 (page 29) 6. increasing the risk rating of any heavy vehicle that is identified as high risk but not inspected to make sure that it will be inspected at the next available opportunity by July 2009 (page 29) 7. introducing formal warnings for some minor breaches of regulations, including escalation options for repeating the same offence, by December 2009 (page 39) 8. ensuring that it can identify all heavy vehicles travelling on NSW roads regardless of registration status by December 2009 (page 43) 9. taking immediate action to identify drivers or operators who may have committed a safety breach (page 43).
Better use of resources	We recommend that the RTA more effectively target its resources to be in the right place at the right time by: 10. ensuring that risk assessments are consistently used to determine where and when on-road inspections operate and that risks are regularly reviewed by December 2009 (page 24) 11. introducing a risk-based approach to the annual inspection scheme for heavy vehicles by July 2010 (page 26) 12. introducing a mix of overt and covert methods to detect breaches of heavy vehicle safety laws by July 2009 (page 26).

Response from the Roads and Traffic Authority

I refer to your letter of 31 March 2009 which provides the final report on how well the Roads and Traffic Authority (RTA) manages heavy vehicle safety.

I appreciate the professionalism your staff have demonstrated throughout the audit and the constructive comments made to the RTA during the process to improve road safety.

The challenge of regulating heavy vehicles requires a mix of technology, regulation and enforcement initiatives to provide the economic, environmental and safety outcomes the community expects. While on-road enforcement, the focus of this audit, is a critical compliance and enforcement tool in regulating heavy vehicles, it has to be complemented by other compliance assurance tools to meet the challenge of increasing freight tasks in NSW and increasing complexities in the road freight and logistics sector.

An integrated and more sophisticated heavy vehicle compliance and enforcement framework is required in addition to conventional on-road enforcement. This framework now includes chain of responsibility legislation, accreditation and incentive based schemes, industry consultation and education, a professional RTA Inspectorate, and better use of technology such as the Intelligent Access Program. The framework facilitates appropriate and timely regulatory responses to areas of non-compliance that pose high risks to road safety and road wear. The highest deterrent value is achieved by appropriate enforcement. For example, chain of responsibility investigations and prosecutions have produced significant improvement in the compliance of vehicle loading.

It is pleasing to note that the report has identified a number of road safety successes achieved in NSW:

• There have been overall decreases in the number of crashes and people killed and injured in crashes involving heavy vehicles between 2002 and 2007.

• The number of people killed in crashes involving heavy vehicles has fallen by nearly 29% between 2002 and 2007 compared to 21% for other crashes.

• The RTA has been successful in reducing the number of crashes from contributing factors such as vehicle’s condition and fatigue.

I also note the concerns in the report regarding heavy vehicle road safety results.

How well does the RTA deter and detect breaches

I further note the acknowledgement in the report that it would be impossible for the RTA to detect all instances where the vehicle or driver fails to comply with regulations.

The RTA agrees with the need to maximise detection and has invested significantly in the last few years in the development of risk based heavy vehicle compliance profiling tools to be deployed in the field to support intelligence driven enforcement and to drive desk top investigations and triggered audits to target recidivist offenders.

Enforcement resources are regularly reviewed and flexibly deployed in response to special operations, new initiatives and national reforms.

I note the various report recommendations to enhance fixed speed cameras and Safe-T-Cam network capabilities to better enforce heavy vehicle speeding. The RTA undertakes to explore their feasibility.

It is important to note that NSW is the only state so far to have implemented the national speed compliance chain of responsibility legislation. In addition to driver speeding offences, parties in the logistics supply chain that have caused speeding due to their commercial arrangements can now be prosecuted under the new legislation. The RTA has expanded its enforcement program to include this.

How well does the RTA enforce heavy vehicle safety regulations

The audit report notes that on-road enforcement can be effective in reducing the number and severity of crashes involving heavy vehicles, and in particular, the positive road safety outcomes associated with the annual heavy vehicle inspection program and high level of fatigue related infringements.

The RTA agrees with the audit opinion that enforcement action needs to be applied consistently and needs to match the severity of the offence. We will continue to review our risk based approach to enforcement and our sanction regime to ensure they are relevant and produce the best compliance and road safety outcomes.

In comparison to other states in Australia, NSW has the largest road transport enforcement workforce, the greatest number of checking stations, a Safe‑T‑Cam network across the state, and the highest level of investment and usage of technology in heavy vehicle compliance and enforcement.

The RTA will continue to develop an integrated approach to heavy vehicle compliance and enforcement and has commenced action in implementing the audit recommendations.

(signed)

Michael Bushby

Acting Chief Executive

Dated: 4 May 2009

Audit Recommendation	RTA Response
Better detect and enforce speeding offences. Recommended RTA focus on improving the detection and enforcement of speeding offences by heavy vehicle drivers by:
1. Use Safe-T-Cam or better technology to enforce point to point speed offences against heavy vehicle drivers by July 2009.	Agreed. The NSW Government is considering a point to point speed enforcement program for heavy vehicles in NSW. If approved, the program will be spread over a number of years to allow for the complexity of state-wide implementation.
2. Routinely check the operation of all Safe-T-Cam cameras to maximise accuracy.	Agreed. There is an existing maintenance and component replacement program for STC cameras. The RTA will undertake a review of the current maintenance program and will improve where required.
3. Ensure that its fixed speed cameras detect all speeding offences by heavy vehicle drivers by December 2009.	While the RTA agrees that this is a desirable outcome, there are technical and regulatory issues that need to be explored. The RTA will undertake an investigation into the feasibility of using fixed speed cameras to detect all heavy vehicle speeding offences.
Better response to high risk heavy vehicles. Recommended RTA sharpen its response to high risk heavy vehicles travelling on our roads by:
4. Clearly define what is meant by visual mechanical check by July 2009.	Agreed. Procedures for visual mechanical checks already exist for RTA Inspectors for on-road enforcement. RTA will undertake a review of these procedures and provide refresher training for RTA Inspectors as required.
5. Standardise the weightings for serious road-safety criteria used in checking station screening lane templates by July 2009.	Agreed. The RTA will undertake a review of screening lane templates and the procedure for their consistent use, and will update where required.
6. Increasing the risk rating of any heavy vehicle that is identified as high risk but not inspected to make sure that it will be inspected at the next available opportunity by July 2009.	Agreed. The RTA will investigate the feasibility of system enhancement to ensure such vehicles will be intercepted at the next available opportunity.
7. Introduce formal warnings for some minor breaches of regulations, including escalation options for repeating the same offence by December 2009.	Agreed. A formal warning policy has been developed by the RTA for implementation.
8. Ensure that it can identify all heavy vehicles travelling on NSW roads regardless of registration status by December 2009.	Due to technical system capacity issues, RTA has adopted a risk based approach to the identification of registration status of heavy vehicles travelling on NSW roads. RTA will investigate the feasibility of a technical or other solution under known constraints to support the identification of all heavy vehicles travelling on NSW roads regardless of registration status.
9. Take immediate action to identify drivers or operators who may have committed a safety breach.	Agreed. RTA will review existing enforcement procedure in line with regulatory requirements and update where required.
Better use of limited resources. Recommended RTA more effectively target its limited resources to be in the right place at the right time by:
10. Ensure that risk assessments are consistently used to determine where and when on-road inspections operate and that risks are regularly reviewed by December 2009.	Agreed. RTA will continue to fine tune risk based profiling tools to support tactical enforcement plans. RTA has already introduced the development of enforcement strategies based on risk assessment and will continue to implement these across the State.
11. Introduce a risk – based approach to the annual inspection scheme for heavy vehicles by July 2010.	Agreed. A review of the annual inspection scheme for heavy vehicles has already been initiated. An implementation date of July 2010 may not be feasible due to the lead time for implementation, community consultation and communication for any regulatory change.
12. Introduce a mix of overt and covert methods to detect breaches of heavy vehicle safety laws by July 2009.	The RTA works collaboratively with the NSW Police Force in a variety of covert and overt operations for heavy vehicle enforcement. The RTA already conducts a range of covert investigations to detect breaches of heavy vehicle safety laws through chain of responsibility investigations. Other covert investigations are triggered by reports from risk based profiling tools and intelligence reports.