09:10 Management Pass End Time

Transcription

1 FORS audit form Audit details Operating Centres Company name Thunderhill Ltd t/a SDE Do you require accreditation across all of your operating centres? No FORS ID 5387 How many operating centres does your company have in total? 3 Operating centre name Luton Depot Do all of your operating centres operate under the same policies and procedures? No Contact name Warren Hebblethwaite Total number of audits required for company accreditation: 1 audits Date of audit 10/03/2016 Type of audit Audit Audit number x of x 1 of 1 Contractual reason Vinci Construction,Other Local Authorities,Other Private Contractor Please complete all mandatory red boxes Audit result Start Time 09:10 Management End Time 12:15 Vehicles Present audit findings Drivers with comments Number of major action points 0 Operations Number of minor action points 1 Overall Number of observations 0 If the audit result is a fail, you will be required to undergo a follow-up audit within 30 days of notification of the audit result. If you do not have a follow-up audit within 30 days of notification of failure of the audit, this will result in another initial audit having to be conducted.

2 Describe the type and scope of fleet operations What is the organisation s objective to attain or continue FORS accreditation? Additional Notes SDE is an experienced independent, specialist supplier of civil engineering, drainage, environmental and plastic building products to the construction sector, with depots in Luton Bedfordshire, St. Ives Cambridgeshire and Stevenage Hertfordshire. This audit is concerned with the main depot in Luton from where three 7.5t The company is noticing an increased demand from its customers for FORS accreditation and is now required to achieve this. The company also seeks to benefit from operating at or beyond the requirements of the standard.

3 Introduction This spreadsheet covers Annexes 3, 4 and 5 of the Fleet Operator Recognition Scheme standards and is broken down as follows: Tab Intro Company details and audit details 3 Audit scope 3 Annex Reporting overview and auditor recommendations 3 Version Number 24 Action plan 4 Bronze audit checklist 5 Auditing Auditors shall review a random sample of client vehicle records for conformity at all audits dependent on fleet size: 1-3 vehicles - 100% of vehicle records will be checked 4-10 vehicles - three vehicle records will be checked % of vehicle records will be checked at least five vehicle records will be checked The objectives and timings of any audit shall be reiterated in an opening meeting at the beginning of any audit

4 Audit notes should record where evidence of meeting the requirement was found (such as a named document) and explain its level of adherence to the requirements. Sole traders will need to demonstrate at least verbally that they have a comprehensive understanding of all requirements for a safe and legal operation. The outcome shall be expressed as either a pass, major action point, minor action point, or an observation. Reporting Observation Minor action point Major action point Usage Fully satisfied all requirements Satisfied all requirements but advice given for consideration Satisfied requirements but with some minor issues Requirements not satisfied and in need of timely corrective action A copy of the completed audit checklist will be discussed with the client at a closing meeting at the end of any audit. The auditor should discuss his/her recommendation but highlight that it will be subject to verification. Post-audit processes A person within the certification body other than any auditor involved with a given audit shall review the contents of any completed audit checklist prior to forwarding to the scheme administrator Any audit checklist shall be typed into this spreadsheet and ed to the scheme administrator in electronic MS Excel format within 3 working days from the date of the audit. Certification bodies shall report any misuse of the FORS scheme marks or wording to the scheme administrator, this may involve the review of client paperwork and vehicles bearing the FORS logo Certification bodies shall inform their client of the scheme administrator s certification decision Auditors shall complete 100% of the audit checklist (in the annex to the FORS requirements) as a record of the audit.

5 Company details The following form shall be completed by certification bodies undertaking audits and accompany relevant completed checklists in all cases FORS ID Company name Operating centre name Street Town Postcode Country Contact name Position Contact phone Number of employees Do you use sub contractors /owner drivers? 5387 Thunderhill Ltd t/a SDE Luton Depot 23 Sundon Industrial Estate, Dencora Way Luton LU3 3HP UK Warren Hebblethwaite Branch Manager No

6 If yes; Does your company policy state that sub contractors/owner drivers must adhere to the FORS standards? Do you maintain records (Operator Licence, insurance, medical, safety etc) on owner drivers/sub contractors centrally? Are you joining FORS for contractual reasons? If yes please check the contracts that you are/ will be working on. TFL Vinci Construction MACE N/a Yes Crossrail Other Local Authorities Other Private Contractor None Certification body Auditor name Fleet Source Tony Kay Auditor number 1039 I declare that I have not been involved in helping this company to prepare for this FORS Bronze audit Please tick to confirm Date of audit 10/03/2016 Audit start time 09:10 Audit finish time 12:15

7 Audit scope Vehicle Information - this information relates to your operating centre only Category Type Fuel type Totals Diesel Petrol Biofuel Gas 1 Electric Fuel Cell 2 Hybrid Other Van Light vans < 1.8T 1 1 Medium vans 1.8T to 2.6T Heavy vans 2.6T to 3.5T 1 1 Lorry Rigid HGV 3.5T to 7.5T 3 3 Rigid HGV 7.5T to 18T Rigid HGV 18T to 26T Rigid HGV 26T to 32T Articulated < 26T Articulated 26T to 38T Articulated 38T to 44T Articulated > 44T Drawbar HGV < 26T Drawbar HGV 26T to 38T Drawbar HGV 38T to 44T Sub-total 5 5

8 Category Type Fuel type Totals Bus Coach Minibus 17 passenger seats and over 17 passenger seats and over 9-16 passenger seats Diesel Petrol Biofuel Gas 1 Electric Fuel Cell 2 Hybrid Other Car up to 8 passenger seats 2 2 Motorcycle Other Trailer List... Sub-total 2 2 Total Fossil fuel/non fossil fuel based 2 Hydrogen Type of audit Audit level Describe the type and scope of fleet operations What is the organisation s objective to attain or continue FORS accreditation? Audit Bronze SDE is an experienced independent, specialist supplier of civil engineering, drainage, environmental and plastic building products to the construction sector, with depots in Luton Bedfordshire, St. Ives Cambridgeshire and Stevenage Hertfordshire. This audit is concerned with the main depot in Luton The company is noticing an increased demand from its customers for FORS accreditation and is now required to achieve this. The company also seeks to benefit from operating at or beyond the requirements of the standard.

9 Bronze audit checklist Audit notes should record where evidence of meeting the requirement was found (such as a named document) and explain its level of adherence to the requirements. Sole traders will need to demonstrate at least verbally that they have a comprehensive understanding of all requirements for a safe and legal operation. The outcome shall be expressed as either a pass, major action point, minor action point, or an observation. Audit declaration (to be read out by the auditor before starting the audit against the requirements) The information supplied during this audit shall be a true reflection of the company's activities, policies and procedures that are in place and evidenced at the time of the audit. Any declaration made during the audit and subsequently found to be untrue may lead to suspension or termination of your FORS accreditation. In accordance with the FORS Terms and Conditions section the data in this report may be shared on a case by case basis. I confirm that I have read the audit declaration to the organisation prior to the start of the audit Code Requirement Audit notes Outcome M1 FORS policies and procedures manual Fleet operators shall document all policies and processes covering all the mandatory requirements of the FORS standard. The company produced a 'FORS Policies & Procedures' file, containing evidences for the FORS standards. The file includes a Driver Handbook and risk assessments, detailed below where appropriate. The documents cover the FORS M2 Responsibilities and accountabilities Fleet operators shall have a description of the responsibilities and accountabilities of, and links between, senior management and daily operations personnel (these may be the same person). standard. The company's organisation chart was produced in evidence, showing the depot's drivers reporting to Warren Hebblethwaite (Branch Manager) who reports to Keith Moore (Managing Director). Warren is supported by Linda Sproule (Finance Control), and a yard supervisor.

10 M3 M4 Responsible person Fleet operators shall have a formally appointed qualified trained and experienced person responsible for running the transport operation. Regulatory licensing Fleet operators shall hold all regulatory licences necessary for their operation (where applicable). The company is not required to employ a qualified transport manager. Warren has run the company's fleet for around 4 years, having previously worked in the company as a yardman and driver. Restricted OF The company's operator licence was produced in evidence, authorising 6 vehicles and no trailers to 6/11/2018. There are no conditions attached to the licence. M5 M6 Communication Fleet operators shall demonstrate that company policies and procedures are communicated to all staff. Review Fleet operators shall have their policies and procedures for the transport operation reviewed by senior management at least every 12 months. This shall include the FORS standard requirements. The Driver Handbook contains the company's policies and procedures. The drivers have signed for receipt of the document (sampled KM 19/11/2015, DT 7/1/2016). A notice board in the crew room contains the DVSA Guide to Drivers Hours & Tachographs and DVSA walkround check guide. The company's policies and procedures, and its Driver Handbook, have been produced in preparation for achieving the FORS standard, all within the past year. All documents have been approved by Keith (his signature appears on risk assessments). M7 Change Fleet operators shall demonstrate that senior management reviews result in positive changes to the business and such changes themselves are reviewed. During the year, the company has fitted Class VI mirrors to all the 7.5t vehicles and introduced fuel monitoring and management (this revealed that one of the 7.5t was not running as fuel-efficiently as the others). The company has embraced the culture change that meeting the FORS standard entails and has found, for example, that the introduction of toolbox talks has reduced reported infringements.

11 M8 M9 M10 Complaints Fleet operators shall have a fully functioning complaints system which feeds into decision making and shall ensure that any legal and non-legal action against the company is reviewed and reacted to in order to prevent recurrence. Resourcing Fleet operators shall ensure that sufficient qualified, trained and experienced staff are in place to run the operation. Updates Fleet operators shall have a process for keeping up to date with developments in the industry. Warren is aware of the requirement to notify FORS in line with the terms and conditions, and confirms that no such notifications have yet been necessary. The company has a system for dealing with other complaints. The depot's staff appears to be appropriate to the business. Warren receives legislative and other updates from TfL, DVSA, FORS and from Phil Crook (Consultant). He posts relevant information on the notice board in the crew room, including traffic updates from TfL.

12 Code Requirement Audit notes Outcome V1 Inspection and maintenance plan The company's lorries are maintained by GS Commercial Fleet operators shall have an equipment Repairs Ltd, whose premises are adjacent o the depot, inspection and maintenance plan which is under a contract dated 7/3/2015, produced in evidence. carried out and recorded for all vehicles and Warren keeps a maintenance plan on a wallchart in the specialist equipment. main office, for all vehicles as far as December The chart is supplemented by a second chart in a slightly different format and renewal date lists. The plan includes dates for safety inspections, MOT, van and car services, tachograph calibrations and VED renewals. The following activities were sampled, all in line with the plan, where appropriate. D19SDE (7.5t lorry) safety inspection 10/12/2015, 18/1/2016, 3/3/2016, tachograph calibration to 4/7/2017, MOT certificate to 30/6/2016. T15SDE (7.5t lorry) safety inspection 22/10/2015, 13/1/2016, 25/2/2016, tachograph calibration (analogue) 20/3/2015, MOT certificate to 30 /11/2016. T10SDE (7.5t lorry) safety inspection 27/11/2015, 22/1/2016, 18/2/2016, MOT certificate to 31/1/2017. J60SDE (2.4t van) service 26/2/2016, Mot certificate to 26/2/2017. V2 Daily walk around checks Fleet operators shall ensure that vehicles are checked before each shift. Drivers use duplicate 'nil defect' books to record their daily vehicle checks (including van and car drivers), with top copies handed in to Warren before departing the depot. The sheets were sampled, indicating that the drivers are completing them every day. Where defects have been identified, rectification details are added to the defect sheet and signed off.

13 V3 Fuel and tyre usage Fleet operators shall record, monitor and manage fuel and tyre usage. Warren produced in evidence 'Monthly Fuel Usage Plan' reports for December 2015 and January 2016, showing mpg achieved, by vehicle. The reports indicate that one vehicle is using more fuel than the other two 7.5t lorries, and Warren is leading an investigation into possible causes. Warren also produced Tyre Usage reports for the same periods. V4 Insurance Fleet operators shall hold a minimum of: V4.i Third party insurance or self-insurance for the whole fleet ERS policy, expires 18/8/2016, certificate V4.ii Employers liability insurance held for the Allianz policy, expires 25/2/2016, certificate business. 26/SZ/ /102 V4.iii Public liability insurance (where applicable) Allianz policy, expires 25/2/2016, number 26/SZ/ /102 V4.iv Goods in transit insurance (where N/A applicable) V4.v Any other relevant insurance specific to the N/A actual operation (where applicable) V5 Vehicle excise duty Linda renews VED for all depot vehicles, using DVLA Fleet operators shall ensure that the reminders. Warren checks that the duty has been paid, appropriate Vehicle Excise Duty (VED) is using the planner described in V1, above and he stores paid for all applicable vehicles. printed confirmation in each vehicle's file, V6 Safe loading Fleet operators shall ensure that vehicles are safely loaded and that appropriate load restraints are used. Risk assessment SDE-RA-4, Vehicle Loading, was produced in evidence dated 1/9/2015. The Driver Handbook also contains the company's Loading & Unloading of Vehicles/Working at Height Policy. The 7.5t lorries are supplied with ratchet straps, to be used with hooks on lorries, usually palletised. The Driver Handbook also offers guidance about operating within weight limits (section 6), and about dealing with vehicle loads (section 23).

14 V7 Vulnerable road user safety Fleet operators shall ensure that all vehicles over 3.5 tonnes gross vehicle weight are fitted with safety equipment to help protect vulnerable road users. The auditee has confirmed that the organisation is compliant with all the requirements of V7 V7.i Prominent warning signage A completed Safer Lorry Scheme spreadsheet was produced in evidence. V7.ii Side under-run protection A completed Safer Lorry Scheme spreadsheet was produced in evidence. V7.iii Class VI mirrors A completed Safer Lorry Scheme spreadsheet was produced in evidence. V8 Working at height and the prevention of Risk assessment SDE-RA-1, Vehicle Falls, was produced in falls from vehicles evidence dated 1/9/2015. Working at height and Fleet operators shall risk-assess the unauthorised access to vehicles is also covered in the potential for persons to fall off vehicles and Driver Handbook (section 7). for unauthorised access to vehicles and where appropriate take mitigating action. V9 Vehicle manoeuvring Fleet operators shall risk-assess, mitigate, and control where appropriate risks from vehicle manoeuvring including driving forward, reversing, towing, uncoupling, and parking. Risk assessment SDE-RA-3, Reversing & Manoeuvring, was produced in evidence dated 1/9/2015. The subject is also covered in the Driver Handbook (section 5). The company does not operate any trailers.

15 Code Requirement Audit notes Outcome D1 Licensing and qualifications Fleet operators shall ensure that licences and qualifications of all drivers (including Warren produced a printout evidencing driving licence checks completed on 30/9/2015 & 4/11/2015. Fork lift truck training has been provided by the company and Warren agency drivers) are checked by a competent stores certificates in personnel files. person prior to driving, and then at least every six months. D2 D3 D4 Driving standards Fleet operators shall require that anyone driving on business shall drive within the Highway Code and company policy at all times and pay particular regard to vulnerable road users. Staff training Fleet operators shall ensure that drivers and line managers undergo approved progressive training and continued professional development with particular attention to the safety of vulnerable road users. In-vehicle technology Fleet operators shall not cause or permit a driver to use a mobile phone or other distractive in-vehicle technology while driving. The depot's vehicles are all fitted with trackers, TomTom telematics systems and forward facing cameras. All drivers have been issued with a copy of the Highway Code. The Driver Handbook requires drivers to drive within the law and the Highway Code (section12) and covers speed limits (section 14). The company's Vulnerable Road User policy was produced in evidence. Warren maintains training records, including Driver CPC. Warren plans to sit the transport manager CPC exams and attend an Operator Licence Awareness Training course. RISK ASSESSMENT SDE-RA-5, Use of satellite navigation devices, was produced in evidence dated 1/9/2015. The Driver Handbook deals with in-vehicle distractions (section 4), use of mobile phone & other technologies (section 4a) and states the company policy that none of these items should be used when driving.

16 D5 Health and safety Fleet operators shall ensure that road driving risks and workplace transport safety are controlled via a working health and safety policy and that vehicle-specific driver health and safety advice is given to drivers. The company's comprehensive Health & Safety policy statement was produced in evidence, dated 1/9/2015 and signed by Keith. Vehicle-specific advice is given within the policy and in the Driver Handbook. D6 D7 Driver fitness and health Fleet operators shall ensure that driver fitness and health is managed. Drivers hours and working time Fleet operators shall have policies and procedures to manage both drivers hours and total working time for all (where applicable). The Driver Handbook deals with drink & drugs (section 3c) and fatigue (section 3f). Warren produced a sheet evidencing eyesight checks completed on 16/11/2015. Eyesight check procedures are described in the Driver Handbook (section 1h). One of the 7.5t lorries is fitted with an analogue tachograph. Warren collects charts from drivers and checks them visually before filing. A sample of these charts confirmed that the driver works between and hours and does not reach 4.5 hours driving and takes a break before reaching 6 hours work. Warren downloads data from the two digital tachographs and from drivers' cards every month. Digital data is analysed using EasyTac downloader software and Warren demonstrated how he analyses reports from the software to confirm that no infringements are committed. Warren attested that there have been no apparent infringements in the past three months. Minor action point D8 Monitoring driving Fleet operators shall record and monitor all driving infractions, and take remedial action to minimise future recurrences. Warren logs all penalty notices and conducts interviews with any driver involved in alleged offence. The current log was produced in evidence, showing two incidents during the year (one parking fine and one box junction offence).

17 Code Requirement Audit notes Outcome O1 Routing and scheduling Fleet operators shall ensure that the most efficient, safe, and appropriate vehicles and routes are used and that any vehicle routes to sites or premises are adhered to unless directed otherwise. Warren allocates vehicles and deliveries to the drivers, who usually drive the same vehicle every day. He posts TfL traffic updates on a notice board and issues route instructions. O2 Specialist goods Fleet operators shall ensure that specialist goods such as waste, dangerous goods, and abnormal loads are handled and transported in compliance with the appropriate regulations. The company's vehicles do not carry any specialist goods. O3 O4 Incidents and Collisions 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 identified trends. They shall also ensure that staff and vehicles are properly assessed before returning to the road. Insurance claims Fleet operators shall ensure that insurance claims are reviewed and reacted to. Warren maintains a log of incidents and collisions, produced in evidence and showing two incidents (5/6/2015 and 22/6/2015), and he interviews any driver involved. Incident report sheets are filed alongside interview records. The Driver Handbook deals with traffic accident procedures in section 24. The two incidents described in O4, above, led to insurance claims, dealt with by Warren. O5 Record control Fleet operators shall ensure that all records are adequately retained and controlled, specifically including driving events. Warren was able to produce all required documents promptly from an efficient filing system.

18 Overview and recommendations Reporting overview Details of previous audit / action points Auditor recommendations Bronze audit Evidence relating to previous action point resolution* Details of open action points from N/A N/A previous audits* issued) * Mark N/A if there are no previous audits or action points Auditor's name(s) Grant certification subject to any minor action point being satisfactorily addressed Not to grant certification (usually where one or more major action points have been Tony Kay Yes No Date 10/03/2016 Present audit findings Number of major action points Number of minor action points Number of observations Audit result Section Management Vehicles Drivers Operations Overall Result with comments

19 Action plan Auditor Name Date of audit Audit details Tony Kay 10/03/2016 Ref Findings Action needed Action owner Person responsible for the action Action type Date due Action undertaken End Date Status Follow up audit comments Major, Minor or Observation Agreed date for completion The specific actions Actual date of undertaken to address the completion action point identified, Minor or Observation Any comments made by the FORS auditor at the follow up audit D7 Warren downloads data from digital tachographs and drivers' cards, and analyses the results using EasyTac downloader software. The company should print reports of apparent infringements and require any apparent infringements to be reviewed and signed off by Warren and the driver concerned, after a review meeting Warren Hebblethwaite Minor 90 Days from notification

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