Requirement

Fleet operators shall document policies and procedures covering all the mandatory requirements of the FORS Standard.

Demonstration

Fleet operators shall have evidence which either contains, or makes reference to, all mandatory requirements of the FORS Standard.

Where policies and procedures are held within other documents or manuals these shall be referred to and shall be easily accessible and retrievable. Senior managers shall review and / or update these documents at least annually.

Gather together any transport policies and health and safety policies, as well as procedures, risk assessments or safe systems of work that match the requirements of the Standard. Evidence of review by a senior manager shall be recorded.

Requirement

Fleet operators shall have a description of the responsibilities of, and links between, senior management and daily operations personnel.

Demonstration

Fleet operators shall have documentary evidence of the organisation structure and individual responsibilities, eg an organisational chart. The chart shall include the name of the person who has continuous and effective responsibility for transport operations.

This can be described verbally within small operators where the roles of senior management and daily operations personnel are understood by all.

Present a document (in hard copy or electronic format) that shows the relevant people in the transport operation, their job title and how they are linked or connected. Remember that the document shall show the names of the people as well as the job title or role.

The person with continuous and effective responsibility might be a transport manager, site supervisor or owner, depending on the sector and the business type.

Requirement

Fleet operators shall have a formally appointed, qualified (where necessary), trained and experienced person or team in place to run the transport operation and to maintain continuous and effective control.

Demonstration

Fleet operators shall evidence the responsible person’s formal appointment (through job title, letter of appointment or naming on the organisational chart), their responsibilities (through job description, duty list and procedures) and their competency (through relevant qualifications and training).

Fleet operators shall ensure there is sufficiently competent staff in place to cover the daily running of the operation.

Bring together the qualifications and certificates of the person or persons responsible for managing the vehicles and daily transport activity. You will also need to present a letter of appointment OR detailed job description if it demonstrates that the person is responsible for managing the fleet.

Those who hold a Standard National or International Operator Licence shall present the qualifications of their nominated Transport Manager. For those who operate a Restricted Licence you shall demonstrate the individuals’ experience and skills by producing their CV or their job description.

Fleet operators with a minibus fleet (under 16 seats) may need to apply for a minibus licence; see www.gov.uk/driving-a-minibus for more information.

Van operators shall demonstrate that the appointed person is experienced in running a van fleet and that they have daily responsibility for transport activities.

Requirement

Fleet operators shall hold all regulatory licenses necessary for their operation (where applicable).

Demonstration

Fleet operators shall demonstrate this requirement by displaying the appropriate licence for the type of operation, which the auditor will use to check items such as the fleet type and size. This shall include any vehicles under the control of the operating centre (such as vehicles hired, leased or loaned). Operators shall demonstrate evidence of regular internal compliance reviews according to the licence requirements, and that any such changes have been notified to the awarding authority.

Note that licensing differences may exist in the different countries of the United Kingdom and EU.

Present a copy of any licence that the company holds that relates to the transport operation. This might include the operator licence, a waste carriers’ licence, section 19 or 22 permits (not-for-profit passenger transport) or private hire licence. Ensure that the licence is valid and has a sufficient margin for the number of vehicles currently in operation. Be aware of any licence review dates and ensure that the information on the licence is correct and up to date.

Requirement

Fleet operators shall demonstrate that company policies and procedures are communicated to all staff

Demonstration

Fleet operators shall create and manage documented policies and procedures which are distributed through company or driver handbooks. Additionally toolbox talks, risk assessments, memos and / or policies shall be provided to staff in order to support the handbook content. Evidence of this shall be recorded.

Information should be distributed to staff in a manner and form which makes it clear to them (such as a verbal briefing, letter, toolbox talk or notice), and made readily available whenever necessary.

Communication shall also cover new policies and procedures and updates to existing policies and procedures.

If you’re a small operator it is acceptable to demonstrate how you verbally communicate updates and information.

Make sure you can demonstrate effective management of communication across the team. It is important to consider how you provide not just the day to day information, but also updates to company policies and working practices.

Requirement

Fleet operators shall have their policies and procedures for the transport operation reviewed by senior management at least every 12 months. This shall include the FORS Standard requirements.

Demonstration

Fleet operators shall ensure that documents forming part of the FORS Standard are reviewed annually or sooner if a situation requires it.

This includes the FORS policy and procedures manual, risk assessments, training plans and other related documents.

Dated minutes from review meetings should be used as evidence of this requirement.

Transport-specific policies and procedures shall be reviewed at least once every year (or sooner if there’s a change to working practices). Remember that it’s important to document this review process, and to use version control to ensure that only the latest policies are issued to and used by staff.

A senior person at the company must authorise and sign any updates, and they should be actively involved in the transport side of the business.

Requirement

Fleet operators shall have a fully functioning complaints system that feeds into decision making and shall ensure that any complaint made against the company is reviewed and acted upon appropriately in order to prevent recurrence.

Demonstration

Fleet operators shall keep a record of all customer or public complaints made against them or their drivers. These records shall be kept together with records from the review process (as detailed in M6).

Evidence of the actions taken following these complaints shall be recorded, together with evidence that they have been appropriately managed to limit recurrence. A complaints system should follow the procedures detailed in any existing robust quality management system.

Examples of complaints include those made by members of the public, customers, stakeholders or the FORS Community Partnership.

It’s important to keep and maintain any complaints made against the company or your drivers, and to ensure that you maintain a central database or record which can be easily retrieved.

Remember that complaints also include any notice of Public Inquiry, HSE notice of action or County Court Judgments.

Requirement

Fleet operators shall have a policy in place to investigate and analyse all transport related fines and charges received.

Demonstration

Fleet operators shall maintain a record of all transport related fines and non-payment of charges. This includes:

• Roadworthiness Prohibition PG9

• Fines relating to traffic related summons

• Graduated Fixed Penalty Notice

• Fixed Penalty Notice

• Penalty Charge Notice

• Congestion Charge

• Low Emission Zone

• Safer Lorry Scheme

• London Lorry Control Scheme

For instances where no fines have been recorded, the system and procedure for recording fines and charges shall be demonstrated at audit.

Drivers shall be instructed to report the details of all transport related fines, which should include Penalty Charge Notices and Fixed Penalties. This instruction shall be clearly communicated within the driver handbook.

The authority and compentency should be outlined of any person investigating the circumstances that led to a fine or charge. A record of the investigation outcomes shall be maintained, which shall include recommendations and remedial actions for drivers and the fleet operator.

Measures such as driver training shall be considered to reduce trends.

You shall demonstrate that drivers have been asked to report details of any fines incurred, and that this information is documented. Evidence will also include a database or spreadsheet that is used to record information about fines and charges, and you shall demonstrate what measures you’ve taken to reduce the amount of fines received.

Requirement

Fleet operators shall have a process for keeping up to date with developments in the fleet and road transport industry

Demonstration

Fleet operators shall demonstrate this requirement by evidencing a way of keeping up with regulatory change and industry best practice.

Updates shall be specific to the fleet operation and should include information relating to the car fleet, commercial vehicles or road-going plant and / or the drivers.

Information received through membership of a relevant trade body may also be used as evidence.

Remember that updates need to be specific to the fleet and must be issued to the drivers and transport staff where relevant. It’s also important to keep a copy of any information for future reference.

Requirement

Fleet operators shall ensure that all legal and operational fleet information is adequately maintained and managed, particularly around driving standards.

Demonstration

Fleet operators shall maintain a system that retains documents or electronic data in an accessible format which is both legible and easily retrieved.

When records are kept centrally they shall be available and accessible to satellite sites either in hard copy or through an IT-based system / intranet portal.

The system shall contain all documents required by this FORS Standard for the necessary duration. The control of documents should be managed through the use of version numbering or referencing so that superseded versions are not used again.

If you have more than one operational site the auditor will need to understand how the documents are issued to those sites and how the information is managed at each location.

Requirement

Fleet operators shall record and manage tyre wear, condition and disposal, and monitor and manage fuel consumption.

Demonstration

Fleet operators shall have a robust tyre and fuel management policy and programme that records tyre condition and use, and fuel consumption by driver or vehicle.

Evidence of a review of this information shall be demonstrated, as well as the steps taken to reduce, monitor and record tyre wear and fuel consumption.

This should consist of a range of measures including:

• Training drivers in fuel efficient driving techniques

• Training drivers to identify tyre wear

• Changing vehicles used or operating practices

• Setting targets for monitoring various KPIs

• Using data to minimise empty running, maximising vehicle fill and highlighting wasted mileage

Tyres shall be maintained and records kept in order to demonstrate that there are effective procedures in place to maintain correct pressures. The pressures should be stated on the vehicle.

A documented system for tyre disposal and recycling should be in place, which may involve disposal and recycling via an appropriate third party.

Remember to document any training given to drivers and to ensure that tyre checks form part of a vehicle check (as in V2). It is also important to document fuel consumption in order to identify trends.

Operators who use a tyre contractor to manage tyre supply and replacement should explain the procedure for replacing tyres to the auditor.