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1 / D6 / Fleet operators shall ensure that driver fitness and health is managed. / Fleet operator shall check drivers’ eyesight prior to starting work and at least every six months.
Fleet operator will ensure that driving staff meet driver licence / medical requirements and are not impaired through drink, drugs or fatigue. / Perform a check on driver’s eyesight before employment and once every six months. It must be documented and performed from at least 20 metres away.
Ensure there is a reporting system for drivers who feel unwell, and a system to identify those who may be under the influence of drink or drugs (prescription or otherwise).
2 / V7 / Fleet operators shall ensure that all vehicles over 3.5 tonnes GVW are fitted with side under-run bars, class 6 mirrors and vulnerable road user stickers. / Fleet operators must equip their vehicles (even if legally exempt) with side under-run protection, class 6 mirrors and vulnerable road user stickers to the rear. The requirement applies to all vehicles 3.5 tonnes and over. / Take a photo of each vehicle in scope of FORS, showing side under-run bars, stickers and class 6 mirrors; this information can be presented as evidence to the auditor.
3 / D1 / Fleet operators shall ensure that the licenses and qualifications of all drivers (including agency drivers) are checked by a competent person prior to driving, and then at least every six months thereafter. / Fleet operators shall demonstrate this by keeping a log of all drivers against licence / certificate type and licence / certificate expiry, with (photocopy) records of driving licenses and equipment certificates. Endorsements and disqualifications should also be recorded on the same matrix. Records of checking this should be available for each driver every six months by a competent person.
The persons undertaking the checks of licenses should understand the driving requirements and how to interpret the licence (including foreign-issued licenses where required). / Make sure the checks are performed by someone who understands the licence categories in relation to the vehicle fleet.
Both the licence card and counterpart will need to be checked, with the findings recorded for future reference.
Consider checking the drivers’ DQC (Driver Qualification Card) at the same time, to ensure they have completed the mandatory training. EU drivers will have a code 95 printed on their driving licence which indicates the completion of 35 hours periodic training. /
4 / V6 / Fleet operators shall ensure that vehicles are safely loaded and that appropriate load restraints are used. / Fleet operators shall demonstrate this by providing evidence of the risk assessment of the type of load carried by each vehicle (dimensions, weight and movement), providing proper equipment and recorded personnel training (also see O5), and enforcing vehicle loading practices via a regularly reviewed policy so that loads can be carried safely.
A system of ascertaining and recording the dimensions and weights of laden vehicles before they use the road shall be in place where size and weight is likely to be an issue.
Drivers shall be informed if their vehicle exceeds 3m in height via cab height warning notices. / Make sure you have a written policy, risk assessment and safe system of work for loading activities. Drivers should be provided with their own copy (signed in acknowledgement of receipt and understanding). The documents should be clear, relevant and concise.
Ensure drivers have the relevant training (and that it’s recorded) and understand what the risks are in their working environment.
5 / V8 / Fleet operators shall risk-assess the potential for persons to fall off vehicles and where appropriate take mitigating action. / Fleet operators shall have written risk assessments of vehicle access and falls relating to the type of operation. Evidence of required action to prevent such 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 system of work shall be regularly reviewed. / As in V6 you need to make sure you have a written policy, risk assessment and safe system of work, but this time for working at height / falls from vehicles (cab, trailer, HIAB etc). Drivers should be provided with their own copy (signed in acknowledgement of receipt and understanding). The documents should be clear, relevant and concise.
Ensure drivers have the relevant training (and that it’s recorded) and understand what the risks are in their working environment.
6 / D7 / Fleet operators shall have policies and procedures to manage both drivers’ hours and total working time (where applicable). / Fleet operators shall provide evidence of planning shifts or general work to ensure that drivers’ hours and working time regulations for applicable vehicle types are not infringed (including where drivers work for more than one employer). Operators should give due consideration to these rules when planning journeys and scheduling drivers’ work. In all cases (including those drivers who do and do not require a tachograph or log book) the total time of work, including driving activities, shall be considered.
Operators shall also provide evidence of recording and examining driver hours (via tachographs for relevant operations, but other means for non-tachograph operations), and evidence of addressing incidents where driver hours are exceeded.
Where relevant analogue tachograph charts, digital printouts and log books shall be kept for at least 12 months for drivers’ hour’s rules and for 24 months for Working Time Directive purposes, with a suitable system for keeping these records.
Operators shall demonstrate how they provide spare tachograph charts and logbooks to drivers. / Ensure that you monitor working time as well as driving time; you need to decide on a reference period (between 17-26 weeks) and make sure drivers to not exceed the 48 hour maximum average working week.
Driver records need to be periodically analysed to ensure compliance. Reports should be produced and retained, with any infringement discussed with the driver and monitored to prevent recurrence.
7 / M8 / Fleet operators shall have a fully functioning complaints system which feeds in to 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. / Fleet operators shall keep a record of all legal action against them or their drivers, together with records of their FORS policies and procedures manual reviews.
Evidence of reaction to non-legal action shall be recorded together with evidence that they have been acted upon, both in the short and long term.
A complaints system may follow procedures in any existing robust quality management system. / Ensure you have in place a written complaints policy that is made available to all staff.
The policy needs to explain how a complaint will be managed and followed up.
It must include complaints made against the company by customers and the public.
It also needs to incorporate PG9 notices, PCNs, fines, curtailments or revocations, which you will also need to declare to the auditor.
8 / O3 / Fleet operators shall ensure that incidents, traffic collisions and reported near-misses are recorded, investigated and analysed, implementing actions to address any lessons learned and to identify trends. They shall also ensure that staff and vehicles are properly assessed before returning to the road. / Fleet operators shall manage incidents to ensure that drivers and vehicles can get back on the road in a safe and timely manner. A log of all incidents, collisions, and near-misses shall be maintained which should include details of all evidence required to investigate the incidents. The contents of this record shall be reviewed and reacted to at procedure and policy reviews to determine root cause and contributory factors. Review frequencies should be increased if incident numbers (or their effect) is high.
An investigation procedure and supporting documentation shall be in place. This should outline the authority and competencies required by any person required to investigate incidents and collisions. A record of investigation outcomes shall be maintained. / Ensure that you maintain a record of any incidents (including near misses). These incidents should be followed up, and a demonstration of a proactive approach to limiting the risk of incidents should be in place.
Provide appropriate training to any driver who, proportionately, has a number of incidents against him or her.
Make sure all staff are aware of the procedure for reporting, reacting to and dealing with any incidents.
9 / V1 / Fleet operators shall have an equipment inspection and maintenance plan which is carried and recorded for all vehicles and specialist equipment. / Fleet operators shall have a vehicle and specialist equipment maintenance plan related to the statutory legal check requirements (such as MoT test), safety inspections and manufacturer’s maintenance plants (or any other justification) can be used to demonstrate compliance with this requirement. Specialist equipment includes speed limiters, tachographs, tanks and lifting equipment. This plan should schedule maintenance at least six months in advance, and highlight vehicles and equipment which are not serviced, inspected or tested as per the plan.
The plan should be reviewed regularly, and always when vehicles are changed.
Where maintenance is undertaken in-house, evidence of suitable resources to undertake this shall be demonstrated. Where undertaken, external evidence of a formal agreement for this should exist.
Operators shall keep maintenance records for at least 15 months. / Vehicles is scope of operator licensing must be maintained in accordance with the agreed service interval period; make sure appropriate planning is in place to avoid overdue inspections.
Valid certificates must be in evidence for all equipment that is required to undergo initial and / or periodic testing, including tail-lifts, Hiabs, tachographs and speed limiters.
Create a plan for maintenance of all equipment; not just the vehicles. It is better to keep it simple in order for it to be manageable.
10 / M3 / Fleet operators shall have a formally appointed qualified, trained and experienced person with good repute who runs daily transport operations. / Fleet operators shall show evidence of the responsible person’s formal appointment (through job title, letter of appointment, naming on the organisational chart), their responsibilities (through job description, duty list and procedures) and their competency (through relevant qualifications or training). Relevant qualifications and training include the Manager Certificate of Professional Competence (and Refresher courses) and the FORS Practitioner qualification. / Keep a file of evidence containing the responsible person’s letter of appointment, formal job description, and copies of certificates from relevant qualifications.
Using the job description as headline responsibilities, provide a detailed breakdown of the responsible person’s operational and management duties under each of the areas on the job description.
Using a simple flowchart, show your company’s organizational structure, specifically naming the responsible person, showing their reporting lines and team.