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Page 69

FORS standards

Annex 6 Audit checklists

A1 Bronze checklist

Code Requirement Audit notes Outcome

FORS policies and procedures manual

Fleet operators shall document all policies

and processes covering all the mandatory

requirements of the FORS standard.

Responsibilities and accountabilities

Fleet operators shall have a description of the

responsibilities and accountabilities of, and

links between, senior management and daily

operations personnel

Responsible person

Fleet operators shall have a formally appointed

qualied, trained, and experienced person who

runs daily transport operations.

Regulatory licensing

Fleet operators shall hold all regulatory licences

necessary for their operation (where applicable).

These may be the same person

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FORS standards

Code Requirement Audit notes Outcome

Communication

Fleet operators shall demonstrate that company

policies and procedures are communicated to

all staff.

Review

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.

Change

Fleet operators shall demonstrate that senior

management reviews result in positive changes

to the business and such changes themselves

are reviewed.

Complaints

Fleet operators shall have a fully functioning

complaints system which feeds into decision

making and shall ensure that any legal and non-

legal action against the company is reviewed and

reacted to in order to prevent recurrence.

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FORS standards

Code Requirement Audit notes Outcome

Resourcing

Fleet operators shall ensure that sufcient

qualied, trained and experienced staff are in

place to run the operation.

M10

Updates

Fleet operators shall have a process for keeping

up to date with developments in the industry.

Inspection and maintenance plan

Fleet operators shall have an equipment

inspection and maintenance plan which is carried

out and recorded for all vehicles and specialist

equipment.

First use checks

Fleet operators shall ensure that vehicles are

checked before each shift.

Fuel and tyre usage

Fleet operators shall record, monitor, and

manage fuel and tyre usage.

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FORS standards

Code Requirement Audit notes Outcome

Insurance

Fleet operators shall hold a minimum of third

party insurance or self-insurance for the whole

eet. Requirements for other forms of insurance

including employers’ liability, public liability and

goods in transit insurance and any other relevant

insurance specic to the actual operation shall

be held where applicable.

Vehicle Excise Duty

Fleet operators shall ensure that the appropriate

Vehicle Excise Duty (VED) is paid for all

applicable vehicles.

Safe loading

Fleet operators shall ensure that vehicles

are safely loaded and that appropriate load

restraints are used.

Vulnerable road user safety

Fleet operators shall ensure that all vehicles over

3.5 tonnes gross vehicle weight are tted with

safety equipment to help protect vulnerable

road users.

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FORS standards

Code Requirement Audit notes Outcome

Working at height and the prevention of falls

from vehicles

Fleet operators shall risk-assess the potential for

persons to fall off vehicles and for unauthorised

access to vehicles and where appropriate take

mitigating action.

Vehicle manoeuvring

Fleet operators shall risk-assess, mitigate, and

control where appropriate risks from vehicle

manoeuvring including driving forward, reversing,

towing, uncoupling, and parking.

Licensingandqualications

Fleet operators shall ensure that the licences

and qualications of all drivers (including agency

drivers) are checked by a competent person prior

to driving, and then at least every six months.

Driving standards

Fleet operators shall require that anyone driving

on business shall drive within the Highway

Code and company policy at all times and pay

particular regard to vulnerable road users.

Staff training

Fleet operators shall ensure that drivers and line

managers undergo approved progressive training

and continued professional development with

particular attention to the safety of vulnerable

road users.

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FORS standards

Code Requirement Audit notes Outcome

In-vehicle technology

Fleet operators shall not cause or permit a driver

to use a mobile phone or other distractive in-

vehicle technology while driving.

Health and safety

Fleet operators shall ensure that road driving

risks and workplace transport safety are

controlled via a working health and safety policy

and that vehicle-specic driver health and safety

advice is given to drivers.

Drivertnessandhealth

Fleet operators shall ensure that driver tness

and health is managed.

Drivers’ hours and working time

Fleet operators shall have policies and

procedures to manage both drivers’ hours and

total working time for all (where applicable).

Monitoring driving

Fleet operators shall record and monitor all

driving infractions, and take remedial action to

minimise future recurrences.

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FORS standards

Code Requirement Audit notes Outcome

Routing and scheduling

Fleet operators shall ensure that the most

efcient, safe, and appropriate vehicles and

routes are used and that any vehicle routes to

sites or premises are adhered to unless directed

otherwise.

Specialist goods

Fleet operators shall ensure that specialist

goods such as waste, dangerous goods, and

abnormal loads are handled and transported in

compliance with the appropriate regulations.

Incidents and collisions

Fleet operators shall ensure that incidents,

trafc collisions and reported near-misses

are recorded, investigated and analysed,

implementing actions to address any lessons

learned and identied trends. They shall also

ensure that staff and vehicles are properly

assessed before returning to the road.

Insurance claims

Fleet operators shall ensure that insurance

claims are reviewed and reacted to.

Record control

Fleet operators shall ensure that all records are

adequately retained and controlled, specically

including driving events.

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FORS standards

A2 Silver checklist

Code Requirement Audit notes Outcome

S1 Maintain FORS bronze

Fleet operators shall maintain their FORS bronze

accreditation.

S2 Driver licensing

Fleet operators shall ensure that a verication

system is in place to provide condence that all

drivers hold a valid licence for the category of

vehicle they are tasked to drive.

S3 Vehicle warning equipment

Fleet operators shall ensure that all vehicles over

3.5 tonnes gross vehicle weight are equipped

with audible means to warn other road users of a

vehicle’s left manoeuvre.

S4 Blind-spot minimisation

Fleet operators shall ensure all vehicles over

3.5 tonnes gross vehicle weight have front, side

and rear blind-spots completely eliminated or

minimised as far as is practical and possible

through a combination of fully operational direct

and indirect vision aids and driver audible alerts.

Page 77

FORS standards

A2 Silver checklist

Code Requirement Audit notes Outcome

S1 Maintain FORS bronze

Fleet operators shall maintain their FORS bronze

accreditation.

S2 Driver licensing

Fleet operators shall ensure that a verication

system is in place to provide condence that all

drivers hold a valid licence for the category of

vehicle they are tasked to drive.

S3 Vehicle warning equipment

Fleet operators shall ensure that all vehicles over

3.5 tonnes gross vehicle weight are equipped

with audible means to warn other road users of a

vehicle’s left manoeuvre.

S4 Blind-spot minimisation

Fleet operators shall ensure all vehicles over

3.5 tonnes gross vehicle weight have front, side

and rear blind-spots completely eliminated or

minimised as far as is practical and possible

through a combination of fully operational direct

and indirect vision aids and driver audible alerts.

Code Requirement Audit notes Outcome

S5 Driver training

Fleet operators shall ensure that all drivers

(including those exempt or not in scope of Driver

Certicate of Professional Competence) undergo

approved progressive training specically

covering the safety of vulnerable road users.

S6 Transportrelatednesandcharges

Fleet operators shall have policy in place to

investigate and analyse all transport related nes

and charges and implement intervention(s) to

reduce the amount received.

S7 Performance measurement

Fleet operators shall baseline data and initiate

active monitoring of the following performance

indicators:

♦ Total fuel usage and by distances travelled

♦ Transport related CO

output and by

distance travelled

♦ Total incident and collision data and

costs involving personal injury, vehicle or

property damage

♦ Total transport related nes and charges

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FORS standards

A3 Gold checklist

Code Requirement Audit notes Outcome

Maintain FORS silver

Fleet operators shall maintain both their FORS

bronze and silver accrediation.

Promoting FORS standards

Fleet operators shall provide evidence of

actively promoting the FORS standards to their

supply chain.

Published case study

Fleet operators shall produce and publish a

case study that describes the progression from

FORS registration to the attainment of gold and

demonstrates the improvements against all

performance indicators.

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FORS standards

Code Requirement Audit notes Outcome

Performance measurement

Fleet operators shall make meaningful

improvements against the FORS silver baseline

data in the following performance indicators:

♦ Total fuel usage and by distances travelled

♦ Transport related CO

output and by

distance travelled

♦ Total incident and collision data and

costs involving personal injury, vehicle or

property damage

♦ Total transport related nes and charges

Staff training

Fleet operators shall ensure that all operational

staff within the organisation undergo approved

progressive training and continued professional

development. This shall be linked with G4 and

S5 in order to determine how this training has

improved operations for the better and how this

training could be improved on / changed in order

to achieve the desired outcomes.

Fuel and emissions champion

Fleet Operators shall appoint individuals who

are responsible for both the economic and

environmental sustainability of the business.

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