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Transport for London

Transport for LondonTransport for LondonMAYOR OF LONDON

Fleet Operator Recognition Scheme

requirements

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Transport for London 2012Page ii

FORS requirements

Version 2.2

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FORS requirements

Contents

1 Introduction 11.1 Scheme administrator 1

2 Guidanceforeetoperators 22.1 Eligibilityandscope 2

2.2 Overviewofattainingcertication 2

2.3 Assessmentprocedures 3

2.4 Certicationprocessoverview 5

2.5 Changingyourdetails 6

2.6 UseoftheFORSlogo 7

2.7 Sharingofinformation 7

2.8 RemovalofFORScertication 7

2.9 Complaints 7

2.10 Additional general information 8

3 FORSstandard 93.1 UnderstandingtheFORSstandard 9

3.2 How to use this document 9

4 Management 11M 1 Management manual 11

M2 Responsibilitiesandauthorities 11

M3 Responsibleperson 12

M4 Regulatorylicensing 12

M5 Communication 13

M6 Review 13

M7 Change 13

M8 Complaints 14

M9 Resourcing 14

M10 Updates 14

5 Vehicles 16V1 Inspectionandmaintenanceplan 16

V2 Dailyvehiclechecks 16

V3 Specialistequipment 17

V4 Insurance 17

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FORS requirements

V5 VehicleExciseDuty 18

V6 Safeloading 18

V7 Vehiclefalls 19

V8 Vehiclemanoeuvring 19

V9 Fuelandtyreusage 20

6 Drivers 21D1 Licensingandqualications 21

D2 Drivingstandards 22

D3 Stafftraining 23

D4 In-vehicletechnology 23

D5 Healthandsafety 24

D6 Drivertnessandhealth 25D7 Drivershoursandworkingtime 25

D8 Monitoringdriving 26

7 Operations 28O1 Routingandscheduling 28

O2 Transportrelatednesandcharges 29

O3 Specialistgoods 29

O 4 Incidents 30O5 Insuranceclaims 31

O6 Recordcontrol 31

8 Silverandgoldprogression 328.1 Silverprogression 32

S1 MaintainFORSbronze 32

S2 PromotingFORSstandards 32

S 3 Staff training 33

S4 Performance measurement 33

S5 Closeproximitysafetyequipment 34

S6 Transportrelatednesandcharges 34

S7 Fuelandemissionschampion 34

S8 Incidentsandcollisions 35

8.2 Goldprogression 35

G1 MaintainFORSsilver 35

G2 PromotingFORSstandards 36

G3 Stafftraining 36

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FORS requirements

G4 Performancemeasurement 37

G5 Closeproximitysafetyequipment 37

G6 Driverlicenceverication 37

G7 Publishedcasestudy 38

9 Acknowledgements 39

Annex1 Glossary 40

Annex2 Usefulsourcesofinformation 41

Annex3 Auditdetailsform 42A1 Companydetails 42

A2 Assessment details 42

A3 Assessmentscope 43

A4.1 Reportingoverview 44

A4.2 Auditor recommendations 44

Annex4Actionplan 45

Annex5 Auditchecklists 46A1 Bronzechecklist 46

A2 Silverchecklist 54A3 Goldchecklist 56

Annex6FORSprogressiondatareport 59

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Transport for London 2012Page vi

FORS requirements

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Transport for London 2012 Page 1

FORS requirements

The Fleet Operator Recognition Scheme(FORS) is a voluntary scheme for eetoperators. Its purpose is to raise the level

of quality within eet operations, and todemonstrate which operators are achievingthe standards. Contained within thisdocument are the requirements for achievingrecognition in order to be awarded FORScertication to bronze, silver, and gold levels.

FORS encourages operators to take a closerlook at themselves and identify areas ofstrength to be exploited and areas for

improvement to be addressed. A successfulbronze assessment provides an operator withreassurance that their operation is being run

safely, efciently and in an environmentallysound manner. The FORS logo allowspotential customers to readily distinguishFORS operators from other operators. Usersof eet operator services may ask that theirsuppliers are FORS recognised.

1.1 Scheme administrator

www.fors-online.org.uk

Email [email protected]

FORS AdministratorTransport for London197 Blackfriars Road

SouthwarkLondon

SE1 8NJ

1 Introduction

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Transport for London 2012Page 2

FORS requirements

The purpose of this section is to guideeet operators in having their operations

recognised under the Fleet OperatorRecognition Scheme (FORS).

FORS is a method of recognising thoseeet operations which comply with therequirements of the FORS standard (pleasesee section 3 onwards). The FORS standardis based upon legal compliance, safety,efciency and environmental protection.Fleet operators operations are assessedagainst the requirements of the FORSstandard by an approved FORS certication

body; a list of such organisations is availableon the scheme administrator website(www.fors-online.org.uk).

FORS certication does not remove orreplace any legal obligations required ofpersons or businesses operating vehicles.

2.1 Eligibilityandscope

FORS standards specically address thelegal requirements of operating vehiclescommercially in the UK. Organisations areable to register if they operate any vehicle in

the UK that is involved in the movement ofmaterials, products, valuables, equipment,tools, waste, food or luggage which mayinclude one or more of the following:

Buses

Cars

Coaches

Lorries

Motorcycles and scooters

Vans

FORS certication applies to the managementsystem of operations from an individuallocation in relation to the vehicles controlled

by that operation; where more than onelocation applies within an organisationthere is a need for audits of each (to ensure

that they all adhere to either their group orindividual management system). These can be

undertaken separately or at the same time.

It is not necessary to cover all vehicle typesoperated from any given location; certicationmay only apply to certain classes of vehicle.

References are made within support andguidance sections of the document toEnglish law. These should be replaced by theappropriate law in other jurisdictions.

2.2 Overview of attaining

certication

The following steps indicate the basicoverview of the processes a eet operatormust follow to obtain certication:

a) Ensure that your organisation complieswith the eligibility criteria set out insection 2.1

b) Access all relevant cited documentswithin the FORS standards (section 3)

c) It is recommended that organisationsself-assess prior to any ofcial auditusing the forms provided in thisdocument

d) Obtain an audit quotation from acertication body which will involve

completing an application form andsending through requested paperwork.Fleet operators are at liberty to enterinto an agreement with any approvedcertication body. Their quotation shallinclude any grants available via thescheme administrator

e) Submit to an initial audit which coversall relevant parts of the FORS standard

at your operational sites. On the dayof any audit the persons within your

organisation responsible for eetoperations should be available, as

2 Guidance for eet operators

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FORS requirements

should all relevant paperwork cited

within the FORS standard. At the end ofthe audit an audit report will be madeavailable for discussion

f) Resolve any action points found during

the audit. The certication bodyshall inform you of the timeframe forresolution

g) Receive your certication and startusing your FORS benets. The schemeadministrator shall automaticallysend the FORS benets package onceconrmed as FORS certied

h) Renew your certication after a set

period via re-approval

2.2.1 RetainingFORScertication

FORS certication is time-limited and mustbe renewed on an annual basis following theinitial audit. Renewal is undertaken by yourcertication body via a re-approval audit toensure that your systems of operation arestill compliant with the FORS standard.

FORS silver operators need only undergo there-certication audit every two years, andFORS gold operators every three years. Notethat the data report required of FORS silverand gold members is to be reviewed on an

annual basis.

2.2.2 LevelsofFORScertication

There are three levels of FORS certication:

a) Bronze a legally compliant operatorthat is following good practice

b) Silver high-quality operator that iscommitted to becoming safer, greenerand more efcient

c) Gold exceptional operator that hasmet specic targets and is continuing toimprove

Steps to obtaining these levels are contained

in section 2.3.4

2.3 Assessmentprocedures

The purpose of this section is to present

in detail the assessment procedures to beapplied by you (as a eet operator) and anycertication body. This covers the three typesof audit:

Initial audit

Re-approval audits

Follow up audit for action point correction

2.3.1 Initial audit

2.3.1.1 Eligibility

The initial audit against the FORS standard isapplicable to those operators who fall withinthe categories stated in section 2.1 and either:

a) have not previously held FORScertication or

b) whose FORS certication has lapsed or

been removed or

c) are transferring from the old FORSstandard to the new FORS standard1

2.3.1.2 Application

Operators should indentify a certicationbody via the scheme administrators websiteand submit an application for certication.Operators may choose to use the services of

a consultant to ensure systems are in placeprior to making an application and during thecertication process. Please note that thecertication body cannot offer consultancyservices to operators in relation to elements

of their management system related to FORSas this would cause a conict of interest.

1 Note that the certication of organisations certied under previous versions of FORS remains until such time that suchcertication naturally expires (usually 3 years from the date of certication). The scheme administrators website (www.fors-online.org.uk) contains the latest version.

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FORS requirements

2.3.1.3 Application process

The certication body will review the

application, send a quotation and if acceptedset up the audit. The quotation will explainhow long the audit will take and how much

it will cost in total. As private organisations,certication bodies are not obliged to acceptyour application.

2.3.1.4 Auditors

The certication body will assign an auditteam comprised of individuals that know yourbusiness type.

The audit team may be a single person or a

team of people depending on your employeecount, the number of each vehicle type, and

the geographical location and number ofdepots.

2.3.1.5 Audit

The certication body will send auditor(s) toyour operating centre at a mutually agreedtime and date and undertake the audit usingthe parts of the FORS standard applicable to

the types of vehicles you operate. This willinclude:

a) an opening meeting with you

b) an audit of any management systemdocumentation relevant to your FORSstandard compliant operating system(usually in your ofces)

c) an audit to conrm that your working

practices comply with what iswritten in your management systemdocumentation

d) the auditor(s) writing an audit reportat your premises and delivering acopy (which may be electronic) toyou at a closing meeting with theirrecommendation for certication. Atthe meeting they will discuss with youany action points that have been foundbut will not be in a position to consult

with you on the best course of actionto correct them (as later auditing ofcorrections would not be impartial)

2.3.1.6 Certication decision

The certication body will forward a copy of

the audit report and their recommendationsto the scheme administrator to make acertication decision. This decision will be

communicated via your certication body andwill either:

a) certify the eet operator as a FORScompliant operator

b) request the eet operator develops anaction plan to undertake a correction ofany action points agreeing target datesfor completion which will be veried viaa follow up audit or

c) not certify the operator as a FORS

compliant operator, giving reasons forsuch a decision

2.3.1.7 Certication

Following certication you will receive fromthe scheme administrator a certicate whichwill include the FORS logo; applicable scopeof operation (location and vehicle types), and;

the certication bodys logos. Please see theFORS website for further FORS membershipbenets.

2.3.2 Re-approvalaudits

Re-approval audits shall be undertakenwithin 15 working days (either side) of theexpiry of the present certicate in order

for certication to continue. Your currentcertication body will send you a reminder

which will include a form for you to updateyour latest operational information. Thecontent of the audit will be (in the followingpriority order):

a) any relevant changes to the FORSstandard since the last audit

b) any signicant changes in youroperation since the last audit

c) any areas cited as a specic issue at theprevious audit, then

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FORS requirements

d) any remaining content up to 50% of

the FORS standard, to be selectedby the auditor. This may relate to anycomplaints made to the certicationbody or scheme administrator againstyour certied operation

Following this the processes from section2.3.1.4 onwards shall apply. A failure toprovide satisfactory evidence of action pointsresolution (i.e. resolving any issues found inthe audit) shall result in the removal of thecertication by the scheme administrator (see

section 2.8).

2.3.3 Followupauditforactionpoint

correction

If the scheme administrator has determinedthat you need to undertake a correction ofaction points your certication body willcontact you for a follow up audit which shallonly check against those action points. Yourcertication body may or may not need to

visit your premises for this audit and under

your contract with them may require paymentfor such services. Following this follow upaudit the process in section 2.3.1.6 shallapply.

2.3.4 Additionalstepsforsilverandgoldleveleetoperators

Bronze level certied eet operators mayapply to their certication body for silverlevel certication, and silver level certiedeet operators for gold level certication.Progression to silver and gold levels isnot mandatory but is recommended. The

additional requirements to allow progressionto silver and gold may be found in section 8.

2.4 Certicationprocessoverview

The owchart in gure 1 details the processand actions of each party in the certicationprocess.

Figure 1 Certication process overview

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2.5 Changingyourdetails

Your certication body will include in theircontract with you a requirement that youshall declare any changes to your details, inparticular those listed below:

a) company name

b) scope or scale of operation

c) address (including address of otherdepots under the scope of certication)

d) company registration number

e) directors

f) ownership

It is essential that you disclose any changes

that might affect the validity of the FORScertication to your certication body.Changes such as a like-for-like replacementof vehicles would not require notication, norwould an increase in vehicle number equating

to less than 10% of the eet from the time ofthe last audit.

The certication body will send to you a copyof your details to enable you to highlight anychanges. On receipt of this, the certicationbody must assess the changes and undertake

the appropriate audit activity as determinedin section 2.5.1, and may also pass relevantinformation to the scheme administrator.

2.5.1 Consequencesofchangeofdetails

The consequences detailed in Table 1 willoccur upon the listed change of details:

Table1:Changeofdetailsconsequences

Type of change Consequences

Additional operating location Audit of new location

Relocation of operating location Audit of new locationFundamental change to type ofoperation (including vehicle type)

Audit of alterations and any affected processes

Change in key personnel within theoperation

Re-audit, depending upon likely impact of change asdetermined by the certication body

Change in status of the operation(for example from mergers)

Possible re-audit, depending upon likely impact ofchange as determined by the certication body

An increase in vehicle eet by 10%or more

Possible re-audit, depending upon likely impact ofincrease as determined by the certication body

Dissolution of certied company Certication withdrawn

Change of company name Re-issue of certication (with reference to formername if within that audit period)

Certication body aware of

undeclared changes in your status

Scheme administrator to review report and either

dismiss the claim, suspend or withdraw certicationand request a full or partial re-audit

You should contact your certication body for instances not mentioned here.

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FORS requirements

2.6 UseoftheFORSlogo

Following certication under the FORSscheme you may use the FORS logo inaccordance with the FORS logo usagestandard, available on the scheme

administrator website.

The logo may only be used on vehicles

operated from, and media relating to, theoperation awarded certication.

2.6.1 Misuseormisrepresentationofthe

FORSlogo

Any misuse or misrepresentation of the FORSlogo may be reported by any party to the

scheme administrator, who will investigatesuch claims and take appropriate actionwhich may include a request to remedy themisuse or misrepresentation within a denedtimescale and potentially the removal ofFORS certication (section 2.8).

2.7 Sharingofinformation

Some of the information you provide to

your certication body and the schemeadministrator is shared between themfor normal day-to-day operations and toenable improvements to FORS, and someinformation is made public. In all cases thisinformation will be kept in accordance withthe Data Protection Act 1998 and no personaldata will be collated or transmitted.

The information that can be shared betweencertication bodies and the scheme

administrator includes:

a) audit reports

b) complaints

c) your operator details and scope ofcertication

d) anonymised Key Performance Indicators(KPIs)

e) any discovered misuse ormisrepresentation of the FORS logo

The scheme administrator and your

certication body may publicise basic detailsrelating to your FORS certication including:

a) company name

b) operating location(s)

c) scope of FORS certication (i.e. thetype of vehicles)

d) ending of FORS certication

2.8 RemovalofFORScertication

The scheme administrator has the option ofremoving your FORS certication following

any breach of protocol cited within thisdocument. This will require that:

a) the scheme administrator writes to youat the address to which the certicationapplies, and your certication body,

informing you and them of such adecision and the reasons for it

b) the scheme administrator removes anylisting of your certication and that the

certication body does the same

c) you immediately remove any FORS logoin use (on vehicles, buildings, stationery,website etc)

d) you immediately remove any referenceto FORS certication from yourliterature (including printed documentsand web pages)

2.9 Complaints

Should you consider that you have not

been treated fairly either by the schemeadministrator or your certication body andcannot amicably resolve the issue you maycomplain using the complaints and appealsprocesses. In the rst instance you mustwrite to the certication body or schemeadministrator using the words Ofcial

FORS complaint in the letter title. Theywill send to you an acknowledgement and acopy of the complaints and appeals process

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FORS requirements

which shall be followed to investigate your

complaint.

2.10 Additional general information

Subject to any terms of contract with your

certication body, you are at liberty tochange to a different certication body at anytime. Your new certication body will ask inyour contract with them that previous auditreports and decisions may be obtained bythem from your previous certication bodyand the scheme administrator.

All information obtained by your prior or

present certication body and schemeadministrator will be held in condenceand in compliance with the Data ProtectionAct 1998, unless permission is granted torelease this information or required by law.Information will be kept by your certicationbody and the scheme administrator for up tosix years.

In order to prevent payment being usedto inuence auditing and reporting yourcertication body must insist that all

payments be made in advance.

This document may be used by any party toaudit the management system of an operatingcentre. However, claims of FORS certicationor compliance shall only be made by thosecertied by an approved FORS certicationbody.

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FORS requirements

The FORS standard denes basicrequirements for vehicle operations to follow.

3.1 UnderstandingtheFORS

standard

There are four key areas to this standard:

Management

Vehicles

Drivers

Operations

Within each section below there are severalpieces of information:

Requirement this is the exactrequirement to be adhered to

Purpose reveals the purpose of therequirement

Demonstration indicates how the

requirement should be met anddemonstrated as such to the auditor,whilst not mandatory, if this is notfollowed an equally or more robustmethod of meeting the requirement maybe used if agreed with the auditor

Supportandguidance provides guidancefor operators

Requirements are primarily based around:

Legalcompliance

Safety

Efciency

Environmentalprotection

3.2 How to use this document

This document contains both the FORSstandard mandatory elements (sections 4

to 7) and an audit record checklist. It can beused by organisations to self-assess their ownoperations and shall be used by approved

FORS certication bodies during their auditactivities.

Certain language is used within this documentwith the following meanings (a full glossary of

terms can be found in Annex 1):

Fleetoperator any organisation or partthereof which operates vehicles

Shall to indicate something which ismandatory

Should to indicate something which isrecommended

May to indicate permission or an option

Fleet operators and auditors should checkeach requirement to the following generalprocedures:

Considered senior management shouldconsider each requirement carefully inthe context of their own business and

ensure that sufcient human and materialresources are available

Written requirements often involvesome form of written documentation, andthese may already exist and be acceptableto meet the requirements

Communicated company operationsrelating to these requirements shouldbe communicated to the relevant partieswithin the business

Implemented requirements need to be

in general use within the business

Reviewed requirements should beregularly reviewed and action taken wherenecessary

3.2.1 General notes

All external/agency drivers and equipmentunder the control of the FORS operator are

subject to the same requirements of theFORS standard as employee drivers andequipment for the duration of that control.

3 FORS standard

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FORS requirements

This specically includes sub-contracted and

agency drivers and leased and hired vehicles,and any person who drives on companybusiness irrespective of vehicle ownership.Within this document the term driver meansall persons driving motor vehicles.

Many requirements call for reviews andthese should be undertaken at least every12 months and more frequently if materialchanges occur with regards to workingarrangements, employees, or equipment.

Useful third-party and legal information issignied by bullet respectively.

Third party information

Legal information

Certication bodies can use the documentFORS requirements for certication bodiesto understand more about the application of

the Fleet Operator Recognition Scheme.

3.2.2 FORS progression

Fleet operators may choose to progressthrough to silver and then gold levelcertication from the initial bronze level.To gain silver or gold membership, eetoperators shall provide their certicationbody with evidence that they meet thespecic requirements for the level.

The silver and gold requirements can be

found in section 8.

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FORS requirements

The following requirements are mandatory.

M 1 Management manual

Requirement

Fleet operators shall have a current writtenmanagement manual which covers all themandatory requirements of the FORSstandard which has been reviewed atleast annually by senior members of the

organisation.

Purpose

To ensure that policies and procedures areproperly documented in a coherent manner

and readily accessible.

Demonstration

Fleet operators shall have a single documentwhich either contains, or makes referenceto, all mandatory requirements of the FORSstandard. If applicable, the managementmanual shall contain details of speciccontractual requirements where these arein excess of the requirements set out in theFORS standard. This should include contactdetails of the contracting organisation,

contact name and details, the vehicles andwhere appropriate drivers employed on these

contracts, the requirements to be compliedwith and a statement of compliance withthose requirements.

Supportandguidance

Many rms already hold managementmanuals under various names which mayfull this purpose. Useful elements ofmanagement system manuals, such as

internal compliance and audit forms, may be

obtained from trade representative bodies.

Business Link: QualityManagement Standards

M2 Responsibilitiesand

authorities

Requirement

Fleet operators shall have a description of

the responsibilities and authorities of, andlinks between, senior management and dailyoperations personnel2, including the personhaving continuous and effective responsibilityfor the transport operations.

Purpose

To ensure that there are tangible linksbetween senior management and daily

operations so that changes to the businessand information can be adequatelycommunicated, acted on, and reviewed.

Demonstration

Fleet operators should have documentaryevidence of organisational structure andresponsibilities; however this can bedescribed verbally within small businesses

where senior management and dailyoperations personnel roles are wellunderstood by all.

Supportandguidance

Senior management are those with overallstrategic control of the operation (whichmay or may not include daily operations).Daily operations personnel are key personsinvolved in the daily running of operationsincluding the transport manager and those

4 Management

2 These may be the same person.

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FORS requirements

involved in health and safety, training, and

maintenance.

DfT: Practice Direction No 7 -Transport Managers

M3 Responsibleperson

Requirement

Fleet operators shall have a formallyappointed qualied, trained, and experiencedperson who runs daily transport operations.

Purpose

To ensure that a person with directcompetence of transport operations is indaily control of activities.

Demonstration

Evidence of formal appointment of theresponsible person (evidence of title suchas a letter of appointment, naming on anorganogram etc) and their daily work. Whererelevant this shall include the presentationof operators qualications to the auditorcovering the scope of operations.

Supportandguidance

Certain classes of vehicle operation requirethat a transport manager is the responsibleperson and holds an appropriate qualication.

Business Link: Apply for a goodsvehicle operators licence

Business Link: Get started as abus service operator

M4 Regulatorylicensing

Requirement

Fleet operators shall hold all regulatory

licences necessary for their operation (whereapplicable).

Purpose

To ensure that all operators who requirea regulatory approval to operate hold theapplicable licence/approval.

Demonstration

This can be demonstrated by the display of

appropriate licence for the type of operations,which the auditor shall use to check itemssuch as the eet type and size. This shallinclude any vehicles under the control ofthe operation centre (such as vehicles hired,leased, or loaned).

Operators shall demonstrate evidence ofregular internal reviews of compliance tolicence requirements, and that any changeshave been notied to the awarding authority.

Note that licensing differences may existin the different countries of the UnitedKingdom.

Supportandguidance

Business Link: Apply for a goodsvehicle operators licence

Business Link: Get started as abus service operator

VOSA: The Safe OperatorsGuide.

VOSA: Guide to Maintaining

Roadworthiness

VOSA: Goods Vehicle OperatorLicensing Guide for Operators GV74

Environment Agency: Register orrenew as a waste carrier

FTA: Yearbook of Road TransportLaw

RHA: Road Haulage Manual

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FORS requirements

Goods Vehicles (Licensing ofOperators) Act 1995

Environmental Protection Act1990

M5 Communication

Requirement

Fleet operators shall demonstrate thatcompany policies are communicated to staff.

Purpose

To ensure that staff understand the policiesof the company so that they can work tothem.

Demonstration

Evidence can include company policiesbeing distributed to staff, staff training ofthe policies (with lists of attendees), and/or policies being posted in areas where

staff can view them. Other documentationsuch as driver handbooks and contracts of

employment can also cover this requirement.

Supportandguidance

Information should be distributed to staffin a manner and form which makes itunderstandable to them (such as a verbalbrieng or circular), and is readily available. A

method of replacing superseded documentsis recommended.

M6 Review

Requirement

Fleet operators shall have their eetmanagement system reviewed by seniormanagement at least every 12 months.This shall include the FORS standardrequirements.

Purpose

To ensure that senior management areengaged in reviewing the operations of the

company and that there is a managementcommitment to the upkeep of the FORS

requirements and for the continualimprovement of the operation.

Demonstration

Dated minutes from review meetings can beused as evidence of this requirement, and themanagement manual should contain a review

schedule which shall be adhered to.

Supportandguidance

Similar reviews often form part of a robustquality management system and thesereviews can be conducted at the same time.

M7 Change

Requirement

Fleet operators shall demonstrate thatsenior management reviews result in positivechanges to the business and such changes

themselves are reviewed.

Purpose

To ensure the continuing improvement of thebusiness.

Demonstration

Fleet operators should show evidenceof management positively changing thebusiness, not just running the day to dayoperations. This may be by indicating reviewrecommendations that have been enacted orother evidence of strategic decision makingfrom senior management and monitoring of

actions.

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Supportandguidance

This may follow procedures in any existingrobust quality management system.

M8 Complaints

Requirement

Fleet operators shall have a fully functioningcomplaints system which feeds into decisionmaking and shall ensure that any legal andnon-legal action against the company is

reviewed and reacted to, in order to preventrecurrence.

Purpose

Complaints from any party can be used toimprove the business and should be takenseriously and can gradually increase thecompliance record of operators by resolvinglegal issues.

Demonstration

Operators should keep a record (also seeO6) of all legal action against them or theirdrivers (such as Trafc Commissioner or court

judgements, Penalty Charge Notices andFixed Penalties) and records of their review ateet management system reviews.

Evidence of reaction to non-legal action (such

as complaints from members of the public orlocal organisations) should also be providedwhere applicable.

Records of any complaints and evidence thatthey have been acted upon both in the shortterm and the long term. Compliments andcomplaints should be reviewed as part of theeet management system review.

Supportandguidance

A complaints procedure may follow

procedures in any existing robust quality

management system.

There are many types of infringement whichare enforceable by various bodies. Examplesinclude roadworthiness checks undertaken by

VOSA, Improvement and Prohibition Noticesissued by the Health and Safety Executive orother authority and Penalty Charge Noticesand xed penalties issued by local authoritiesor their contractors.

M9 Resourcing

Requirement

Fleet operators shall ensure that sufcientqualied, trained and experienced staff are inplace to run the operation.

Purpose

To ensure that overstretched staff do not failin their safety and efciency requirements,

leading to a breakdown of the operation.

Demonstration

Evidence of sufcient staff (which includestheir competency) to cover operations. Thelevel of staff should be justied against shiftsand schedules, and managerial staff shall becited within any organisational chart.

Role descriptions should be available for keyposts.

Supportandguidance

This may follow procedures in any existingrobust quality management system.

M10 Updates

Requirement

Fleet operators shall have a process forkeeping up to date with developments in theindustry.

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Purpose

To ensure that new impacts upon thebusiness can be readily understood and

reacted to in a timely manner.

Demonstration

This may be demonstrated by a methodof regularly keeping up with developmentsin the organisations industry, and thatsuch developments are a focus of eetmanagement system reviews and action.

Supportandguidance

In any business or industry, the rulesgoverning that particular sector are neverstatic and new rules and practices are beingintroduced all of the time. This is particularlytrue when it comes to road transport. It is

very useful to have an effective process forkeeping up to date with any developmentswithin industry on matters such as legislative

compliance, health and safety, employmentlaw and people development. Relevant tradeassociation membership and the review oftheir notications, or a subscription to atransport management information service,can often satisfy many of these requirements.

Annex 2: Useful sources ofinformation

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V1 Inspectionandmaintenanceplan

Requirement

Fleet operators shall have an equipmentinspection and maintenance plan which iscarried through and recorded.

Purpose

Equipment, including vehicles, trailers andrelated machinery, require planned andproactive maintenance to operate safely,legally and efciently.

Demonstration

An equipment maintenance plan relatedto the statutory legal check requirements

(such as MOT test), safety inspections,and manufacturers maintenance plans(or any other justication) can be used

to demonstrate compliance with thisrequirement. This should plan maintenanceat least six months in advance, and highlightvehicles and equipment which are notserviced, inspected, or tested as per the plan.

The plan should be reviewed regularly, andalways when vehicles are changed.

Where maintenance is undertaken in-house evidence of suitable resources toundertake this shall be demonstrated. Whereundertaken externally evidence of a formalagreement for this should exist.

Operations should keep maintenance records

for at least 15 months (also see O6).

Equipment can mean any equipment relatedto the operation of the service, which mayinclude cranes, hoppers, fork-lifts etc.

VOSA Guide to maintainingroadworthiness - commercialgoods and passenger carryingvehicles

IRTE: Roadworthiness: IndustryBest Practice

HSE: vehicle maintenance

Road Trafc Act 1988 (Part II)

Provision and Use of Work

Equipment Regulations 1998(PUWER)

Lifting Operations and LiftingEquipment Regulations 1998(LOLER)

V2 Dailyvehiclechecks

Requirement

Fleet operators shall ensure that vehicles arechecked before each shift.

Purpose

To ensure that vehicles are inspected for

safety by competent drivers and defectsrectied (if necessary) by competent personsprior to usage on each shift to ensure the

safety of operations.

Demonstration

A system of daily walk-around checks foreach vehicle should be demonstrated usinga checklist and vehicle defect form (whichwill also record nil defects), and auditors maywitness such inspections being undertaken by

randomly selected drivers.

Immediate issues should be rectied beforethe vehicle is permitted to be used on thepublic highway, and un-roadworthy vehicles

5 Vehicles

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shall be removed from service. Vision-related

safety parts of vehicles should be cleaned asnecessary.

All drivers and repairers shall be competent inundertaking these tasks.

Records shall be retained for 15 monthsin a legible condition for inspection by theauditors, except for nil defect reports whichmust be kept until the next safety inspection.

Supportandguidance

Operations should keep defect and repairsheets for at least 15 months (also see O6).

VOSA: Guide to maintainingroadworthiness

HSE: Vehicle maintenance

V3 Specialistequipment

Requirement

Fleet operators shall ensure that all specialistequipment (if a requirement of the operation)such as (but not limited to):

Speed limiters

Tachographs

Tanks

Lifting equipment (cranes, tail lifts etc)

is inspected, calibrated, serviced and

recalibrated according to legal and/ormanufacturers requirements.

Purpose

To ensure that specialist equipment is in goodworking order to comply with safety and legalrequirements.

Demonstration

A schedule of tachograph calibration andservicing requirements complete with records(also see O6) for each relevant vehicle canserve this purpose.

Supportandguidance

Tachographs and speed limiters (whererequired) must be inspected at specialistcentres.

Business Link: ApprovedTachograph Centres

Tanker Inspection - Carriageof Dangerous Goods and Useof Transportable PressureEquipment Regulations 2009

Lifting equipment Inspections Lifting Operations and LiftingEquipment Regulations 1998

Provision and Use of WorkEquipment Regulations 1998

V4 Insurance

Requirement

Fleet operators shall hold a minimum ofthird party insurance or self-insurance for thewhole eet, employers liability insuranceheld for the business, and public liabilityand goods in transit and any other relevantinsurance specic to the actual operationalactivity are considered.

Purpose

To ensure that all vehicles being used onthe public highway are insured to at leastthe minimum legal requirement, and thatoptional insurance requirements have beenconsidered.

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Demonstration

Insurance documents covering the eetvehicles and their uses and drivers, orevidence of self-insurance can be used forthis requirement.

A review system should also be in place formaking sure the insurance is in date, and

that all vehicles, drivers, and vehicle uses arecovered.

Regular claims review meetings with theappropriate broker and insurer, completewith an improvement plan can demonstrate areview of insurance incidents.

Management review meeting minutes shouldindicate that the various types of non-obligatory insurances have been considered.

There should also be a requirement thatthe client provide evidence of their currentinsurance cover and compliance with themandatory Motor Insurance Database

completion.

Supportandguidance

Association of British Insurers:Insurance Advice for Businesses

Road Trafc Act 1998 section143

Employers Liability (Compulsory

Insurance) Act 1969

V5 Vehicleexciseduty

Requirement

Fleet operators shall ensure that the

appropriate vehicle excise duty is paid forall applicable vehicles (and trailers whereapplicable).

Purpose

To ensure that all vehicles being used on thepublic highway have paid the appropriate rateof vehicle excise duty for the duration theyare used on the highway.

Demonstration

This requirement should be demonstrated byevidence of tax discs in vehicles with othersupporting information, and a register of eetvehicles taxation requirements with regularreview to ensure ongoing payment of duty.Statutory Off Road Notication (SORN) isrequired for untaxed vehicles.

Supportandguidance

Direct Gov: Taxing an LGV

Vehicle Excise and RegistrationAct 1994

V6 Safeloading

Requirement

Fleet operators shall ensure that vehiclesare safely loaded and that appropriate loadrestraints are used.

Purpose

To ensure that vehicle loads in normal andemergency situations do not cause a hazard.

Demonstration

This should be demonstrated by providingevidence of the risk assessment of the type

of load carried by each vehicle (dimensions,weight, and movement), providing properequipment and recorded personnel training

(also see O6), and enforcing vehicle loadingpractices via a regularly reviewed policy sothat loads can be carried safely.

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A system of ascertaining and recording the

dimensions and weights of vehicles beforethey use the road shall be in place where sizeand weight is likely to be an issue.

Drivers shall be informed if their vehicleexceeds 3m in height via cab height warningnotices.

Supportandguidance

Fleet operators need arrangements in placeto make sure that the right type of vehicleis used for the load, and instructions areprovided for drivers and loading staff on

vehicle loading including load distribution andsecurity, and about the location and use ofweighbridges.

DfT: Safety of Loads on VehiclesCode of Practice

HSE: Work Place Transport, SafeLoading

The Road Vehicles (Constructionand Use) Regulations 1986

Health and Safety at Work Act1974

V7 Vehiclefalls

Requirement

Fleet operators shall risk-assess the potentialfor persons to fall off vehicles and forunauthorised access to vehicles and whereappropriate take mitigating action.

Purpose

To ensure the safety of persons around

vehicles, which can often involve working atheight. This specically includes drivers and

those who assist them in loading activities,and passengers in passenger carrying vehicles.

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Demonstration

Written risk assessments of vehicle accessand falls related to the type of operation,and evidence of required action to preventsuch risks (such as training) can demonstrate

applicability to this requirement.

The risk assessments shall form the basis of

an access to vehicles policy and safe systemsof work which shall be regularly reviewed.

Supportandguidance

Vehicle falls are a health and safety matterwith legal responsibilities on the employer.

Advice is available for suitable, practicable,and effective measures to prevent falls (ofperson or objects) likely to cause personalinjury.

HSE: Preventing Falls fromVehicles INDG413


V8 Vehiclemanoeuvring

Requirement

Fleet operators shall risk-assess, mitigate,and control where appropriate risks fromvehicle manoeuvring including driving forward,reversing, towing, uncoupling, and parking.

Purpose

To reduce the potential to injure peopleand property through the careful control ofvehicles.

Demonstration

A risk assessment (in conjunction withclaims data) followed by regularly reviewed

documented policy and training wherenecessary, should be undertaken on vehiclemovements. This includes movements

on and off site (including the street). Any

collisions (minor or major) should be reactedto immediately and form part of the eetmanagement system review.

Supportandguidance

For articulated vehicles, guidance is availableto help understand and limit risks fromvehicle coupling incidents. Incidents andinjuries can also occur due to vehiclesreversing and manoeuvring, especially intight spaces. Suitably effective measures to

prevent these should be taken (such as theuse of banksmen), and as in other healthand safety related areas, the rst port of

call in identifying any hazards is through riskassessments.

HSE/IRTE: Code of Practice:Coupling or Uncoupling

HSE: Workplace Transport SafetyINDG199

HSE: Driving at Work, ManagingWork Related Road SafetyINDG382

Road Safety Act 2006

Management of Health andSafety at Work Regulations 1999

V9 Fuelandtyreusage

Requirement

Fleet operators shall record, monitor, andmanage fuel and tyre usage.

Purpose

To improve the safety, efciency andenvironmental performance of operations.

Demonstration

A regularly reviewed robust fuel management

policy and programme should be in place.

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Fuel usage by each driver against eachvehicle on a mpg basis should be recorded

(also see V2). Evidence of the review of thisinformation should be demonstrated, andactions to reduce fuel usage enacted andrecorded. This may include a whole range ofmeasures including; training drivers in fuelefcient driving techniques, changing vehiclesused or operating practices, setting targetsfor various KPIs and monitoring, use of IT tominimise empty running, maximising vehiclell, and highlighting wasted mileage.

Daily vehicle check records (also see V2) may

be used to understand tyre wear from treaddepths and to facilitate tyre rotation. Tyrepressures should be stated on the vehicle.

A documented system for tyre disposal andrecycling should be kept, which may involvedisposal and recycling via an appropriate thirdparty.

Supportandguidance

Tyre condition and pressure (which are alsomandated by law) can directly impact fueleconomy and tyre wear.

Department for Environment,Food and Rural Affairs: TheGuidance on measuring andreporting Greenhouse Gas

emissions from freight transportoperations

Department for Energy andClimate Change: Climate ChangeAct

Commercial Motor

Motor Transport

Energy Saving Trust: Fuelefcient Driving

TfL: Smarter Driving

The Road Vehicles (Construction

and Use) Regulations 1986 Regulation 27


D1 Licensingandqualications

Requirement

Fleet operators shall ensure that licences andqualications are checked by a competentperson / authority prior to driving, and then at

least every 6 months.

Purpose

To ensure that drivers are and continue to beproperly licensed for vehicles and qualied tooperate equipment.

Demonstration

This can be demonstrated by keeping a log ofall drivers against licence/certicate type andlicence/certicate expiry, with (photocopy)records of driving licences and equipmentcerticates (also see O6). Endorsements and

disqualications should also be recordedon the same matrix. Records of checkingthis should be available for each driver every

six months by a competent person or byan approved DVLA driving licence checkingservice using their risk rating. The recordscan also be repeated in any drivers le. Thisincludes temporary drivers for as long as theyare working under the control of the eetoperator.

The system should alert users sufciently in

advance of licence/certicate expiry to allowfor retesting.

The system shall also require drivers toimmediately report endorsements and

6 Drivers

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disqualications (of both driving and

vocational licences), which shall be recorded.

Supportandguidance

The persons undertaking the checks of

licences should understand the drivingrequirements and how to interpret the licence(including foreign-issued licences whererequired).

Typical information from driving licences(original licence NOT a photocopy) to berecorded are:

Drivers details

Drivers number matches with the driversdetails

The driver is entitled to drive the group(s)of vehicle for which they are employed

Issue numbers match on both paper partand licence card

Information codes

Any endorsements and disqualications

Expiry dates (including photocard, and

any foreign licences which may have timerestrictions on UK driving)

Whilst all drivers need a driving licenceapplicable to the type of vehicle drivenby them, additionally some may requirespecialist licences such as ADR dangerous

goods licences and certicates to operatemechanical handling equipment such aslorry-mounted cranes and tail-lifts. Manyoperations also require drivers to have aDriver CPC qualication. Drivers in contactwith vulnerable persons may be required tohold a Criminal Records Bureau certicate.Remember to check that drivers hold theappropriate categories for towing if required.

DVLA: INS57P guide to licencedetail

VOSA: The Safe OperatorsGuide

Criminal Records Bureau

Department for Transport:Dangerous Goods SafetyAdvisors

Freight Transport Association:Yearbook of Road Transport Law

The European Agreementconcerning the InternationalCarriage of Dangerous Goods by

Road

Carriage of Dangerous Goodsand Use of TransportablePressure Equipment Regulations2009

The Motor Vehicles (Driving

Licences) Regulations 1999

D2 Drivingstandards

Requirement

Fleet operators shall expect that anyonedriving on business shall drive within theHighway Code and company policy at alltimes and pay particular regard to other roadusers.

Purpose

To ensure the upkeep of general drivingstandards and the safety of all road users.

Demonstration

This requirement can be demonstratedby a written policy on driving standards at

work which has been created by competentpersons and is subject to minutedmanagement review to ensure emergingissues in driving standards are addressed.

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The policy shall cover: driver responsibilities,

safety, speed limits, vulnerable road users,actions following breakdowns and collisions,safety equipment (where applicable), mobilephones, drink and drugs, and fatigue.

Documentation covering these policiesshall be given to drivers alongside (recorded)induction training (also see D3), and be clearlydisplayed in the workplace. Drivers shall bere-briefed following any update, or at leastonce every 3 years. Drivers may be asked todemonstrate their knowledge of the policy.

Supportandguidance

Fleet vehicles share the roads with manyother vehicles, some of which are at a fargreater risk than others. Fleet operatorsshall take adequate steps to share the roadsafely with other road users, with particularemphasis on the type of road users at specialrisk.

Examples of vulnerable road users include:

Pedestrians

Cyclists

Motorcyclists

Highway workers

These road users need to be highlighted

to driving staff, particularly if a specicvulnerable group is at risk from theorganisations activities. Control measuresto reduce risks should then be identied andadopted by the organisation.

RoSPA: Drivers and vulnerableroad users leaet

Directgov: The Highway Code

Driving Standards Agency

Road Trafc Act 1988 Part I

D3 Stafftraining

Requirement

Fleet operators shall ensure that staff

knowledge/training requirements areunderstood, implemented, and recorded.

Purpose

To ensure that all staff have the appropriateregulatory knowledge and skills tocompetently conduct their duties.

Demonstration

Demonstration of this requirementshould encompass an overall plan for thecompetencies required for the transportoperation (for all relevant staff, not just

drivers), against a matrix of staff with thoseskills; this will reveal any competency gapsto be lled. Plans should be in place toensure that sufcient numbers of staffwith the requisite skills are available now

and in the future, which shall include anunderstanding of when to keep training up todate. Records of relevant training shall also bedemonstrated (also see O6).

Individual driver training plans should beupdated when their role or vehicle/equipment

changes.

Drivers shall be given an induction ofcompany policy and practice prior to starting

work and this shall be recorded (also see O6).

Drivers shall undergo an assessment oftheir operation (driving vehicles and useof equipment) prior to starting work andperiodically, and this shall be recorded (alsosee O6).

Supportandguidance

Systems are commercially available toassist organisations in keeping track of and

proactively managing staff qualications,

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training and development, as well as licence

renewal and regulatory certication.

Skills for Logistics

Business Link: Driver CPC

RoSPA: Driver Assessment andTraining. MS305

CILT(UK): Staffmark: People

Compliance Solutions

FTA: Driver CPC ComplianceGuide

The Vehicle Drivers (Certicatesof Professional Competence)Regulations 2007

The Motor Vehicles (DrivingLicences) Regulations 1999

D4 In-vehicletechnology

Requirement

Fleet operators shall have policies in place

to not cause or permit a driver to use amobile phone or other distractive in-vehicletechnology while driving.

Purpose

To ensure that drivers are not distracted fromsafe driving by in-vehicle technology such assatellite navigation and mobile phones.

Demonstration

Fleet operators should provide evidencethat mobile phones and other in-vehicletechnology (including hands-free equipment)are considered and managed (either throughdesign, placement, policy and practice,or removal) via a written policy. This mayrst involve a short report on the vehicle

technology in place in the eets vehiclesand its impact upon driver distraction. Thisreport should be signed off at the seniormanagement level and used to create aregularly reviewed company policy which shall

include the use of technology when driving.

Where hands-free equipment is allowed

the terms of their use shall be covered byguidelines which may include limiting callduration and private equipment use.

Drivers shall be made aware of the policy andbe required to comply.

Supportandguidance

Whilst many technologies are extremelyuseful to operations (and may not bespecically prohibited by law), their use inpractice should be carefully considered.

RoSPA: Driving for Work: MobilePhones

RHA: Technical Bulletin No.12 -Mobile Phone Use

Road Trafc Act and RoadVehicle (Construction and Use)

Regulations Amendment 2003

D5 Healthandsafety

Requirement

Fleet operators shall ensure that road drivingrisks and workplace transport safety are

controlled via a working health and safetypolicy and that vehicle-specic driver healthand safety advice is given to drivers.

Purpose

To ensure the health, safety and welfare ofpersons at work and for protecting othersagainst risks to health and safety.

Demonstration

This requirement can be demonstrated by

a written health and safety policy (coveringat least vehicles on the road and workplace

transport safety) which has been created by

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competent persons with practical knowledge

of the work activities and subject to review(and alteration if required) by minutedmanagement meetings to nd the causes ofissues. Evidence in the management meetingsof the consideration of risk and preventive

measures to reduce it should be available,and the policy shall be signed by seniormanagement. This can also include staffmeetings, surveys and employee feedbacksystems.

There shall be a person within the company

appointed to have responsibility over thispolicy, and have sufcient authority to exertadequate inuence.

Drivers may be asked to demonstrate theirknowledge of the health and safety policy.The written policy itself should be clearlydisplayed in the workplace, and shouldspecically detail what any staff membercan do to report incidents, near misses, andpotential future issues, along with evidenceof its implementation such as training records

(also see D3).

A written risk-assessment of each vehicletype health and safety issue should beprovided as evidence, This may includeany sort of risk which impacts upon driveroccupational health including driving position,moving loads by hand or machinery, andvibration.

Supportandguidance

A variety of government and charitableinformation sources exist to help reducehealth and safety issues in the transport

sector.

HSE: Workplace Transport SafetyINDG199

HSE: Health and Safety in RoadHaulage

HSE: Driving at Work, Managing

Work Related Road SafetyINDG382

IOD & HSC: Leading Health andSafety at Work Leadership

actions for Directors and BoardMembers INDG417

RoSPA: Managing OccupationalRoad Risk (MORR)


D6 Drivertnessandhealth

Requirement

Fleet operators shall ensure that driver health

is managed.

Purpose

To ensure the safety of drivers and the publicfrom occupational and lifestyle-related healthissues.

Demonstration

Fleet operations staff should be given

clear guidance on how to recognise driverimpairment through alcohol or drugs,driver fatigue, and eyesight issues and reactappropriately when found.

Driver eyesight should be checked (such

as reading a new style number plate at adistance of 20.5 metres) prior to starting workand at least every six months, and preferablychecked at an optician following each incidentor near-miss.

A policy and procedure shall be in place torequire drivers to notify the eet operator of

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any tness issues or changes that may affect

their entitlement and ability to drive.

Supportandguidance

Drivers may suffer from a range of ailments

(such as sleep apnoea), which may appearduring their working life and affect theirdriving and licence entitlement. Anysuspected ailments can be referred to atrained medical professional such as thedrivers own GP.

RoSPA: MS 305 Fitness to Drive

DSA: Driving eyesightrequirements

RoSPA: Drink and drugs

NHS: Introduction to sleepapnoea

DVLA: At a glance Guide to theMedical Standards of Fitness to

Drive

Directgov: The Highway Code

Road Trafc Act 1988 Management of Health and

Safety at Work Regulations 1999

D7 Drivershoursandworking

time

Requirement

Fleet operators shall have policies andprocedures to manage both drivers hours andtotal working time for all (where applicable).

Purpose

To ensure that drivers are sufciently alert sothat they drive in a safe manner, by complyingwith the Working Time Directive and Road

Transport Directive.

Demonstration

Operators should provide evidence ofplanning shifts or general work to ensure thatdrivers hours and working time regulationsfor applicable vehicle types are not infringed

(including where drivers work for more thanone employer).

In all cases (including those drivers whodo and do not require a tachograph or logbook), the total time of work including drivingactivities shall be considered.

Operators shall also provide evidence ofrecording and examining driver hours (viatachographs for relevant operations, but

other means for non-tachograph operations),and evidence of addressing incidents wheredriver hours are exceeded (also see D8).

Where relevant, analogue tachograph charts,digital printouts and log books shall be kept

for at least 12 months for drivers hours rulesand for 24 months for Working Time Directivepurposes, with a suitable system for keepingthese records (also see O6). Operators

shall demonstrate how they provide sparetachograph charts and logbooks to drivers.

Supportandguidance

Drivers hours are governed by the WorkingTime Directive (for all workers) and theRoad Transport Directive for mobile workerson EU operations as well as European and

domestic drivers hours rules and regulations.Operators should give due considerationto these rules when planning journeys andscheduling drivers work. Drivers and otherrelevant staff should receive adequatetraining and instructions that enable them tounderstand and comply with the rules.

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VOSA: Rules on Drivers Hoursand Tachographs

FTA: Yearbook of Road Transport

Law

Business Link: Working time formobile workers

FTA: Tips for dealing withworking time regulations

EC Working Time Directive(93/104/EC) The Road TransportDirective (2002/25/EC)

EC Regulation 561/2006 ondrivers hours and tachographs

D8 Monitoringdriving

Requirement

Fleet operators shall record and monitor alldriving infractions, and take remedial actionto minimise future recurrences.

Purpose

To have systems in place to detect and reactto issues with individual drivers, for thepurpose of safety.

Demonstration

Operators should provide evidence that

all driving infractions (such as any incidentwhich does or would result in endorsablepoints to the drivers licence) are recorded(also see D1) and reviewed in the short andlong term and that action is taken againstsuch drivers. This shall require a regularlyreviewed written company policy to sucheffect with procedures for action following

each event, and action may include trainingor disciplinary action for persistent offenders,

or redeployment for those un-reactive to

additional training.

Driving infractions resulting in penalty points

which occur privately shall also be recorded(as an excess of points will invalidate a drivinglicence).

Absolute numbers and trends should bemonitored at eet management systemreviews.

Supportandguidance

Monitoring may involve the process ofviewing each drivers paper counterpartlicence on a regular basis or using one of thelicence checking services available.

Road Safety Act 2006

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O1 Routingandscheduling

Requirement

Fleet operators shall ensure that the mostefcient, safe, and appropriate vehicles androutes are used.

Purpose

To reduce operational costs to the business

and risk to all road users by managing routeand vehicle choice.

Demonstration

Evidence of vehicle routing and a writtenpolicy which attempts to minimise costs.The routing/scheduling shall also take into

account driving hours regulations and otherfees/tolls and constraints. This should involvedescribing the type of operation and any highrisks involved (such as incidents with cyclists)and choosing routes which minimise this risk

where possible.

Evidence should also demonstrate providingdrivers with information regarding parkingrestrictions and charges, and any methods ofpaying tolls.

Supportandguidance

There is an increasing array of routing issues,restrictions and payments that need to betaken into account when planning the routingand scheduling of vehicles out on the road.These include the following:

Abnormal loads routing

Congestion charging

Construction Logistics Plans

Dangerous goods routing and parkingconditions

Delivery curfews and permit requirements- for example, the London Lorry ControlScheme

Delivery and Servicing Plans

Loading and unloading restrictions

Low Emission Zone

Parking controls

Satellite navigation larger vehicle routing

Tunnel restrictions

Tunnel/motorway tolls

Vehicle weight and dimension restrictions

Fleet operators should ensure that all staff,especially drivers and planning/schedulingpersonnel, have all the instructions requiredand information to hand and that there

are systems for the payment of tolls andcharges. In the case of the Low EmissionZone (LEZ), if any vehicles do not meet theminimum requirements for emissions thenarrangements shall need to be made for thepayment of the emission charge.

Height, width and length of vehicles need tobe considered when routing, to avoid low andnarrow bridges and sharp turns. Drivers needto know the dimensions of the vehicle andload.

PIE: London Lorry Guide

PIE: London Van Guide

www.londonlorrycontrol.com


FTA: Compliance Guide Greater London Low EmissionZone

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O2 Transportrelatednesand

charges

Requirement

Fleet operators shall effectively deal with thecauses of nes and charges incurred.

Purpose

To reduce undesirable actions (which result innes), and to better manage the expenditureof charges.

Demonstration

A procedure should be in place which recordsnes (also see O6) against each driver andbriey records the reasoning behind eachne. Drivers should be informed to report

the details of all transport related nes andcharges, this should include Penalty ChargeNotices and Fixed Penalties and should beclearly communicated in the driver handbook.Measures (such as driver training or routere-scheduling) shall be considered to reducetrends in nes.

Charges (such as congestion and tollcharges) should be monitored to allow anunderstanding of how costs can be managed.Records and trends shall be discussed at

minuted management reviews.

Supportandguidance

Transport related nes are an indicator thatthe transport operation is not operatingin conjunction with law, many nes (suchas from loading contraventions) may beavoided by simply rescheduling journeys,educating drivers as to suitable locations tostop, or negotiating with the local authoritywhere stopping elsewhere is otherwiseimpracticable.

Routing programmes (online and sat-nav) will

often advise of tolls and other charges so thata decision on route can be made in advance.

O3 Specialistgoods

Requirement

Fleet operators shall ensure that specialist

goods such as waste, dangerous goods, andabnormal loads are handled and transportedin compliance with the appropriateregulations.

Purpose

To ensure the safety of people and theenvironment from incidents involving waste,dangerous goods, and abnormal loads.

Demonstration

Evidence of appropriate best practice,permissions and licensing for waste,

dangerous goods, and abnormal loads shouldbe shown. A list of these should be kept, withdates for renewal and review.

Drivers should be properly qualied to

carry dangerous goods and provided withthe correct documentation and emergencycontact details for them.

Operators of abnormal loads shall inform theappropriate authorities (such as the HighwaysAgency or TfL).

Supportandguidance

Many organisations are involved in the

transport of specialist goods which aresubject to additional regulations and controls.

Examples include:

Waste

Dangerous goods

Livestock

Abnormal loads

If the organisation is involved in the transportof waste and is not exempt, it needs to beregistered with the Environment Agency

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under the Control of Pollution (Amendment)

Act 1989 and any amendments/updates.Fleet operators shall also demonstrate thatthe organisation complies with the dutyof care in respect of Waste Transfer Notes(consignment notes for hazardous waste),

and the disposal, keeping and transferring ofwaste.

If the organisation deals with hazardouswaste, compliance with current legislationconcerning transport, handling, disposal andthe completion and keeping of consignment

notes should be evidenced.

With regards to all other specialist goodstypes that require specic regulation, eet

operators shall need to make sure that allregulations are followed, that staff receive thetraining that is required and that the correctequipment is supplied for the transportationof the goods in a safe manner.

www.environment-agency.gov.uk

www.netregs.gov.uk

Defra: Waste - Duty of Care

FTA: Dangerous Goods Defra: Livestock Movements

Department for Transport:Abnormal Loads

Highways Agency: Electronic

Service Delivery for AbnormalLoads

TfL: Abnormal loads

Control of Pollution(Amendment) Act 1989

The Waste ManagementLicensing Regulations 1994

Carriage of Dangerous Goodsand Use of TransportablePressure Equipment Regulations2009

The Road Vehicles (Construction

and Use) Regulations 1986

O 4 Incidents

Requirement

Fleet operators shall ensure that incidents,

trafc collisions and reported near-missesare recorded, and that staff and vehicles areproperly assessed before returning to theroad.

Purpose

To ensure all incidents are managed in aconsistent manner, that collision evidence iscaptured, and that specic issues with staff

or vehicles which contributed to the incidentare addressed prior to their return to the

road.

Demonstration

A procedure shall exist to manage incidentsto ensure that drivers and vehicles can getback on the road in a timely manner.

Evidence of a record of collisions and near-misses (also see D8), and evidence of thecontents of this record being reviewed andreacted to at eet management systemreviews to determine root cause andcontributory factors.

Review frequencies should be increased ifincident numbers (or their impact) is high.

Supportandguidance

Your insurance company may offer explicitrecommendations regarding actions followinga road trafc incident which may guideprocedures.

HSE: Near Miss Recording

Corporate Manslaughter and

Corporate Homicide Act 2007

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O5 Insuranceclaims

Requirement

Fleet operators shall ensure that insurance

claims are reviewed and reacted to.

Purpose

To reduce incidents, claims frequency,costs to society, and insurance costs to theoperator.

Demonstration

This requirement should be demonstrated byrecords (also see O6) of each insurance claimwith trend and cost analysis and reviews ofthis at eet management system reviews.

The reviews should consider:

risk assessments

management of drivers

post incident processes

driver behavioural training

Supportandguidance

All insurers and/or brokers will be ableto provide claims data depending on thearrangement in place.

O6 Recordcontrol

Requirement

Fleet operators shall ensure that all recordsare adequately retained and controlled,specically including driving events.

Purpose

To ensure the proper operation of the

management system, and to be able to assignfuel efciency, driving infringements, reportsof poor driving and insurance claims toindividual drivers so that appropriate remedial

action may be taken.

Demonstration

Evidence can include a sensible ling systemwhich retains documents or electronic data

in a retrievable and legible format that canbe easily found. This ling system shallcontain at least all documents required bythis FORS standard for the amount of timespecied. Control of documents should bemaintained to ensure that superseded copiesof documents are not used, and that the

version number of documents can be veriedat any time.

Supportandguidance

Record keeping may follow procedures in anyexisting robust quality management system.

Regarding driving events, the Road Trafc Act1988 s172 describes a duty to identify thedriver in certain circumstances.

Road Trafc Act 1988

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FORS requirements

Silver and gold FORS members are high-quality operators that are committed to

becoming safer, greener and more efcient.

Gold is the highest FORS award, followedby silver and then bronze. To progress anoperator must meet all the requirements oflower awards. Progression to silver or goldmembership is not mandatory but may helpin complying with more rigorous procurementconditions.

Silver requirements are based primarilyaround putting in place the systems forimprovements, and gold requirementsprimarily involve enacting those

improvements. Variations in approach to arequirement are acceptable provided thatthey meet its general ethos and are agreedwith the certication body.

Silver and gold FORS operators shall providean annual submission of data to their

certication body for review.

Requirement

Fleet operators shall maintain their FORSbronze certication.

Purpose

To ensure the background level of quality in

the work undertaken by silver level operators.

Demonstration

Planned assessment date and currentcertication.

Supportandguidance

The basis of silver is in maintaining the bronzestandard. This may be undertaken by anyFORS certication body.

S2 PromotingFORSstandards

Requirement

Fleet operators shall provide a commitment

via a written plan to promote FORS standardsacross their supply chain to ensure theymeet reasonable standards in line with FORSbronze.

Purpose

To provide condence that consistent

standards are being applied across anoperators supply chain.

Demonstration

A plan is required which indicates whichorganisations in the operators supply chainwill be targeted for FORS promotion andhow they will be engaged. The supply chaincan include the wider spectrum of relatedbusinesses including contracted eets,vehicle leasing companies and driver agencies.

Supportandguidance

For details of promoting FORS standardsand associate status to stakeholders andthroughout the supply chain visit the FORSwebsite.

FORS online

8 Silver and gold progression

S1 MaintainFORSbronze

8.1 Silverprogression

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FORS requirements

S 3 Staff training

Requirement

Fleet operators shall put in place a plan

for enhanced training and development fordrivers and line managers emphasising workrelated road safety, environmental awarenessand operational efciency. The plan shallincorporate the safety of vulnerable roadusers for those drivers travelling in urbanareas. The training shall be linked to theoperators FORS performance indicators (seeS4).

Purpose

To ensure that there is a plan in place toensure drivers and line management areaware of the transport related issues thatpositively contribute to the operators FORSperformance indicators.

Demonstration

This requirement may be demonstrated viaa written training and development planindicating training and timing against namedindividuals. See D3 for bronze level trainingplan details.

Supportandguidance

E-learning, driver training and linemanagement good practice workshops are

available, see the FORS website for details.Also a wide variety of organisations offerFORS recognised training.

FORS online

S 4 Performance measurement

Requirement

Fleet operators shall baseline data andinitiate active monitoring of the following

performance indicators:

Total fuel usage and by distances travelled

Transport related CO2

output and bydistance travelled

Total incident and collision data andcosts involving personal injury, vehicle orproperty damage

Total transport related nes and charges

Purpose

To provide a measure and indicator todetermine the effectiveness of initiativesand interventions applied to contribute tooperational improvements.

Demonstration

A baseline data report is to be prepared whichcovers the required performance indicators.Active monitoring can be demonstratedusing a range of data capture methods. Thiscould be by utilising eet performance tools,spreadsheets or benchmarking systems eitheroffered commercially or promoted through

FORS and other organisations. Other datamonitoring tools include vehicle telematics,insurance reports, fuel card reports. The

method of data capture should be agreedwith your certication body. A data reporttemplate can be found in Annex 6.

Supportandguidance

FORS recognises most data monitoring

approaches. These can either be automatedor manual dependent on suitability for theoperation.

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FORS requirements

Defra - Guidance on measuringand reporting Greenhouse Gas(GHG) emissions from freighttransport operations

CILT Benchmarking forum

CarbonFTA

Energy Savings Trust - Motorvate

S5 Closeproximitysafety

equipment

Requirement

Fleet operators shall put in place a

programme to t vehicles exempt from side-guards with either side-guards or a blind-spotwarning system (such as sensor/camera) toreduce blind-spot incidents.

This requirement is only applicable forvehicles over 3.5t GVW travelling in urbanareas.

Purpose

To reduce the risk and severity of closeproximity blind-spot incidents and increasethe safety of vulnerable road users.

Demonstration

Operators shall provide a side-guard orblind-spot warning system tting plan for

all relevant vehicles, records indicating what(if any) equipment has already been ttedand when, and evidence of a commitmentto roll-out across the relevant eet such asarrangements with system suppliers.

Supportandguidance

For details of procurement guidance andproduct discounts visit the FORS website.

FORS online

S6 Transportrelatednesand

charges

Requirement

Fleet operators shall investigate and analyseall transport related nes and charges,implementing actions to address any lessonslearned and identied trends.

Purpose

To manage operational risk exposure andassociated costs by ensuring the root causesof all transport related nes and charges

are identied to inform the operator of anyactions required to minimise future re-occurrence.

Demonstration

A record of all transport related nes andcharges shall be maintained which shouldinclude details of all evidence required todetermine its causal factor. An investigationprocedure and supporting documentationshall be in place, this should outline theauthority and competencies required byany person required to investigate thecircumstances leading to a ne or charge

being raised. A record of investigationoutcomes shall be maintained, this shouldinclude recommendations and remedialactions for both drivers and the eetoperator.

Supportandguidance

For details of the development of transportprocedures and investigating nes andcharges visit the FORS website for the PenaltyCharge Notice toolkit.

FORS online

S7 Fuelandemissionschampion

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FORS requirements

Requirement

Fleet operators shall appoint a fuel andemissions champion and implementmeasures to improve operational efciencyand environmental impact by reducing overall

fuel costs, CO2 and other emissions fromvehicular movements.

Purpose

To ensure both the economic andenvironmental sustainability of the business.

Demonstration

Measures may include a range ofbehaviour change initiatives includingthe implementation of driver incentiveschemes, driver training programmes andinternal communication campaigns. Othermore technical measures may include the

installing of telematics and/or anti idlingdevices, reviewing vehicle specication suchas aerodynamics and load capacity, theuse of alternative sustainable fuels and the

restructuring of the operation to improveproductivity.

Supportandguidance

For details of the development of transportprocedures and managing fuel and CO

2visit

the FORS website for the Fuel, CO2

andemissions toolkit.

FORS: Fuel, CO2

and emissions

toolkit

S 8 Incidents and collisions

Requirement

Fleet operators shall ensure that incidents,trafc collisions and reported near-missesare investigated and analysed, implementing

actions to address any lessons learned andidentied trends.

Purpose

To manage operational risk exposure byensuring the root causes of all incidents andcollisions are identied to inform the eetoperator of any actions required to minimise

future re-occurrence.

Demonstration

A log of all incidents and collisions shall bemaintained which should include details of allevidence required to investigate the incidents.An investigation procedure and supportingdocumentation shall be in place, this shouldoutline the authority and competencies

required by any person required to investigateincidents and collisions. A record ofinvestigation outcomes shall be maintained,this should include recommendations and

remedial actions for both drivers and the eetoperator.

Supportandguidance

For details of the development of transport

procedures and investigating incidents visitthe FORS website for the Safety toolkit.

FORS online

Requirement

Fleet operators shall maintain both theirFORS bronze and silver certication.

Purpose

To provide a system of progression and

ensure the background level of quality in thework undertaken by gold level operators.

G1 MaintainFORSsilver

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FORS requirements

Demonstration

Planned assessment date and currentcertication of FORS bronze and a portfolioof evidence to support the maintenance ofsilver requirements.

Supportandguidance

The basis of gold is in maintaining the bronzeand silver standards. This may be undertakenby any FORS certication body.

G2 PromotingFORSstandards

Requirement

Fleet operators shall provide evidence of

actively promoting the FORS standards totheir supply chain in accordance with theirsilver written plan.

Purpose

To promote and improve standardsthroughout the industry.

Demonstration

Operators shall provide documentedevidence which demonstrates how thewritten plan (created as a requirementof silver membership) to promote FORS

standards across the supply chain hasbeen successfully enacted. The supplychain can include the wider spectrum of

related businesses including contractedeets, vehicle leasing companies and driveragencies, and evidence can include eitherFORS membership (or Associate status) oradherence to relevant FORS requirements.

Supportandguidance

For details of promoting FORS standards andFORS associate status to stakeholders and

throughout the supply chain, visit the FORSwebsite.

FORS online

G 3 Staff training

Requirement

Fleet operators shall implement theirsilver level plan for enhanced training and

development of drivers and line managersemphasising work related road safety,environmental awareness and operationalefciency.

Purpose

To ensure that drivers and line managementare aware of the transport related issueswhich positively contribute to the operatorsFORS performance indicators.

Demonstration

This requirement may be demonstrated

via training and development records, and

alterations to related FORS key performanceindicators, against the plan created as part ofthe silver level. It is acceptable for parts ofthe complete plan to not yet be fully enacted(if the enactment date is after the audit),however it must of at least started and be toplan.

Supportandguidance

E-learning, driver tra

fors

Documents