version 3 fors requirements for certification bodies · manager certificate of professional...

Version 3 FORS Requirements for Certification Bodies

Summary of changesSuperseded WFA AuditorSpecification

Approved IAFA AuditorSpecification

Hold a Transport Manager Qualification Hold an industry recognised TransportManager Certificate of ProfessionalCompetence qualification for a minimumperiod of two yearsComplete an industry recognised TransportManager Certificate of ProfessionalCompetence qualification refresher trainingat least every five years

Practical experience of working in atransport environment

Practical experience of working in atransport environment for a minimum periodof two years

Undertake auditor training Have two years’ experience in the transportindustry prior to auditingComplete recognised FORS auditor trainingUndertake basic FORS refresher training ifno audit has been completed within theprevious six month periodComplete recognised FORS Auditorrefresher training every two years (in linewith the FORS Standard revision)Attend FORS awareness and basicrefresher training as directed

FORS Practitioner Working towards being a FORS Practitioner(Qualification to be achieved within twoyears of commencing FORS auditing)


Content

1 Introduction ............................................................................................................................ 11.1 Scheme administrator ..............................................................................................1

2 Attaining approval to undertake FORS audits ..................................................................... 22.1 Certification body acceptance criteria ............................................................................... 22.2 Initial approval procedure.................................................................................................. 22.3 Re-approval procedure ..................................................................................................... 22.4 Change of details .............................................................................................................. 2

3 System requirements for certification bodies ..................................................................... 33.1 General requirements ................................................................................................. . .... 33.2 Organisational requirements ............................................................................................. 43.3 Operational requirements ................................................................................................. 53.4 Operating principles requirements ............................................................................... .... 9

4 Disputes ............................................................................................................................... 104.1 Complaints and appeals to the scheme administrator ..................................................... 104.2 Discontinuation of approval to undertake FORS audits ................................................... 10

5 Terms and references .......................................................................................................... 12

Annex 1 Application to offer certification .................................................................................... 13Annex 2 Declaration of auditor competence .............................................................................. 15Annex 3 Person specification – auditor .................................................................................. .. 19Annex 4 Witnessed audit form ............................................................................................... .. 21Annex 5 Complaints and appeals escalation process ............................................................ .. 23

May 2019


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1 IntroductionThe primary purpose of this document isto describe the processes andrequirements that certification bodies mustapply and adhere to in order to offerFORS Bronze audit services on behalf ofthe Fleet Operator Recognition Scheme(FORS). Such certification bodies must beapproved by the scheme administrator.

FORS is a method of recognising fleetoperations who comply with therequirements of the FORS Standard. Thisdocument should be read in conjunctionwith the FORS Standard.

At the present time the schemeadministrator will make all certificationdecisions, therefore the role of certificationbodies is to undertake audit services only.

1.1 Scheme administrator

The Fleet Operator Recognition Schemeis administered by AECOM on behalf ofthe FORS Community Partnership(FCP).The FCP comprises AECOM, theChartered Institute of Logistics andTransport (CILT) and Fleet Source. For allenquiries please contact:

FORSc/o AECOM Sunley House, 4 BedfordPark, CroydonCR0 2AP

Email [email protected]


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2 Attaining approval to undertakeFORS audits

2.1 Certification bodyacceptance criteria

Organisations including tradeassociations, professional institutes,guilds and organisations providing auditservices can apply to the schemeadministrator to act as a certificationbody for FORS. Approval to do so isgranted following a review of theapplicant’s operation as satisfactoryagainst the requirements of thisdocument.

The purpose of the requirements withinthis document is to ensure that allcertification bodies operating thisscheme offer a consistent high qualityservice.

2.2 Initial approvalprocedure

The following acceptance procedure willapply:

a) a completed application form (Annex1) and documentation to be sent to thescheme administrator for desk review

b) company financial standing checks

c) the scheme administrator shallwitness a FORS audit with 100% ofauditors witnessed in a year

d) agreement to the commercial terms asset out by the scheme administrator

2.3 Re-approvalprocedure

On an annual basis, or following a review ofany certification body changes notified to thescheme administrator, the certification bodiesshall be audited by the scheme administrator.The audit will include:

a) a desk review of all forms required in theinitial approval procedure

b) an audit of the back office operation ascompliant with all of the requirements

c) a witnessed audit and 100% of auditorswitnessed in a year

d) records of required KPIs and metrics sentto the scheme administrator

e) a review of any complaints made againstthe certification body

2.4 Change of details

Certification bodies shall inform the schemeadministrator in writing within 14 days shouldany of the following change:

a) name

b) address

c) trading status

d) trading name

e) company ownership

f) any other significant change that mayaffect the operation of the certificationscheme


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3 System requirements forcertification bodies

Certification bodies operating FORSshall have a quality manual covering thesystem requirements shown here andimplement that system for their FORSwork (Figure 1).

For the certification body approvalapplication the documents listed inAnnex 1, which are core to the FORSwork, shall be made available. Otherdocumentation can be created asneeded.

The following requirements shall be usedin the audit of certification bodies by thescheme administrator.

3.1 General requirements

a) Certification bodies shall operate awritten management system whichcontrols its activities, and showadequate control of theirdocumentation related to this scheme

b) The audit of fleet operators bycertification bodies shall beundertaken against the requirementsof the FORS Standard (this isavailable on the schemeadministrator’s website www.fors-online.org.uk) to the scheme rulesdefined in this document for allvehicle types listed within the FORSStandard to Bronze level

c) Certification bodies shall demonstrateevidence of having access to all referenceddocuments within the FORS Standard andmake these available to auditors

d) Certification bodies shall be a legal company(or part thereof)

e) Certification bodies shall demonstrate thatthey have sufficient funds to finance andinsure their operation following a written riskassessment of its potential liabilities over athree year certification cycle; this riskassessment shall be evaluated at eachmanagement review

f) The certification decision and issue ofcertificates is the role of the schemeadministrator

g) Certification bodies shall pass all enquiriesrelating to general certification activities andrequirements to the scheme administratorwho is responsible for distributing thisinformation

h) Certification bodies are forbidden toundertake a FORS audit on any operator whothey have provided pre-audit services for (orsimilar)

Figure 1 Key steps for certification bodies

Randomisedwitnessed audits andan annual re-approval

Provide KPI andmetrics data to the

scheme administrator

Work to therequirements of thecertification system

Undertake auditsAdvertise to fleet

operators

Be approved by thescheme administrator

Apply to schemeadministratorImplement systemsEnsure competence

of staff

Create certificationdocumentation and

quality manual


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3.2 Organisational requirements

3.2.1 Staffing General

a) Certification bodies shall hold an up todate written organogram indicatingstructure, duties, responsibilities andauthorities of all types of role involvedin their certification activities whichmust at least include a separatecertification manager and an auditor.Senior management (those with overallresponsibility for the certificationactivities) personnel shall be named

b) Role responsibilities for namedindividuals shall be defined in writing tocover the activities of:

i. development of policies relating to theoperation of the body

ii. supervision of the implementation of thepolicies and procedures

iii. supervision of the finances of the bodyiv. development of management system

certification services and schemesv. performance of audits and certification,

and responsiveness to complaintsvi. delegation of authority to committees or

individuals, as required, to undertakedefined activities on its behalf

vii. contractual arrangementsviii. provision of adequate resources for

certification activities

c) Certification bodies shall have accessto (either by direct employment or viacontract) a sufficient number of auditorsfor their likely volume of work

d) Senior management shall demonstratethe monitoring of auditor performanceand react to rectify any issues

e) Auditors may be subject to witnessingof an audit by the scheme administrator(Annex 4)

f) Certification bodies shall reviewand record the performance ofauditors and technical specialistson an annual basis, and react toany deficiencies

g) Certification bodies may utilise externalauditors for audits if those auditors aremanaged in the same manner asemployees. This requirement specificallyincludes the signing of impartialityagreements and notification of impartialityissues, and competence

h) Certification bodies shall keep up-to- datepersonnel records for all staff involved incertification activities. This shall becontained in a table (see 3.2.2) andinclude their experience and any relevantconsultancy services that they haveprovided in the area

3.2.2 Staff competency

a) Certification bodies shall use competentstaff for all elements of their work relatingto this certification scheme

b) Auditors shall be approved by the schemeadministrator prior to work. Evidence ofauditor competencies listed within Annex 2shall be submitted to the schemeadministrator for approval with the signeddeclaration for each individual auditor. Aperson specification for auditors is set outin Annex 3

Note: Auditors in training are permitted toattend audits as part of their training.

c) Auditors must undertake specific auditortraining

d) Only auditors with all the requiredcompetencies shall be chosen as the leadauditor of any audit

Note: Audits may be undertaken by oneperson or a team.

Note: It is only a requirement for any auditteam to hold all minimum competencies, noteach individual on the audit team, providedthe whole team attends the audit.


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e) Certification bodies shall ensure thatall auditors understand theprocesses of their work and theirresponsibilities via recorded training(which may be in-house)

f) Certification bodies shall have awritten process for selecting,training, and formally authorisingauditors and technical specialists

3.2.3 Management

a) Certification body seniormanagement shall hold anddocument annual managementreviews of their certification activityin relation to FORS (which shallinclude complaints and appeals)and undertake any necessaryrectifications to their systems ofwork following such review

3.2.4 KPIs and metrics

a) Certification bodies shall collateanonymised Key PerformanceIndicator (KPI) and metrics datasummarised in Table 1, for theperiod 1 January to 31 Decemberand pass it to the scheme

Table 1 Key Performance Indicators

administrator for their review prior toMarch of the following year:

i. Certification bodies may issueexplanatory notes with their KPI andmetrics data

ii. KPIs may be altered by the schemeadministrator at any time

iii. No information which infringes theGeneral Data Protection Regulation(GDPR) (Regulation (EU) 2016/679)shall be passed to the schemeadministrator

3.3 Operational requirements

3.3.1 Generala) Certification bodies shall only

assess the ability of fleet operatorsto meet the requirements forcertification. It is the responsibilityof fleet operators to conform to therequirements for certification, andnot the responsibility of thecertification body to assist them inconforming

b) Certification bodies shall base auditrecommendations upon sufficientobjective evidence of conformity tothe FORS Standard and no otherfactor (such as increased revenuefrom special audits)

KPI Reporting detail Minimumacceptableperformance

Time taken to deal withcomplaints

Working days from receipt of written complaint toresolution of complaint

No more than 10working days

Time taken fromapplication to quotation

Working days from receipt of initial application formto letter of quotation

No more than 5working days

Number of audits carriedout on time

Audits carried out within 1 month of expiry dates,and as an absolute figure and a percentage of allaudits

100%

Metric Reporting detailNumber of enquiries Number of requests for quotation for audit services

Number of formal complaints Number of written formal complaints made regarding thecertification body


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c) Certification bodies shall not make acertification decision and shallinstead pass audit reports to thescheme administrator for acertification decision

d) Certification bodies shall notissue certificates in relation tothis scheme

3.3.2 Complaints

a) Certification bodies shall be positivelyreactive to complaints and shall followthe procedure described in Annex 5 inthe event of a complaint made tothem

b) Certification bodies shall providecomplainants with the ‘Complaintsand appeals escalation process’ setout in Annex 5

3.3.3 Information for clients

a) Certification bodies shallmake available free of chargeany documentation producedby them and required byclients as a normal part of thecertification process

b) Certification bodies shall clearlydisplay all their certification fees

c) Applicants register their interest inFORS certification online via theFORS website. This information shallbe passed to relevant certificationbodies to inform them of theapplication details. Any furtherrequired information shall berequested directly

d) Operators accredited by any FORScertification body will be entitled touse the FORS logo and the FORSbenefits, subject to them complyingwith the FORS Terms andConditions

3.3.4 FORS mark

a) Approved certification bodies shalluse the certification body-specificFORS mark indicated in Figure 2 onall FORS- related documentationand websites as per the FORS logousage standardThe scheme administrator controlsand has rights to issue the FORSmark, and should be contacted forreproduction suitable copies

b) Certification bodies shall report tothe scheme administrator anydiscovered use of the FORS mark(by clients or otherwise) which is incontravention of the uses defined inthe FORS logo usage standard

Figure 2 FORS certification body mark

3.3.5 Audit planning

a) The geographical and fleet scope ofany audit shall be determined

Note: The audit of one depot or fleet typedoes not automatically cover other depotsor fleet types.

b) Auditors shall review anyimmediately preceding clientFORS audit checklist prior to anyaudit and take such informationinto account when determiningtheir audit plan


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c) Payment for certification bodyservices shall be payable inadvance of works being undertakenin order that payment is not used toinfluence auditing

3.3.6 Auditing

a) Auditors shall review a randomsample of client driver and vehiclerecords for conformity at all auditsdependent on fleet size:

◆ 1-3 vehicles - 100% of vehiclerecords will be checked

◆ 4-10 vehicles - 3 vehicle records willbe checked

◆ 11-20 vehicles - 20% of vehiclerecords will be checked

◆ 21+ vehicles - at least 5 vehicles willbe checked

b) All completed requirements withinthe audit report form shall be as perTable 2. Please see the FleetOperator Recognition SchemeStandard document for the auditreport form

c) A copy of the completed auditchecklist will be discussed with theclient at a closing meeting at theend of any audit1

d) Auditors shall complete 100% of the auditchecklist as a record of the audit and eachtext field box within the audit checklist shallbe completed

3.3.7 Post-audit processes

a) A person within the certification body otherthan any auditor involved with a givenaudit shall review the contents of anycompleted audit checklist prior toforwarding to the scheme administrator

b) Any audit checklist shall be completed andemailed to the scheme administrator inelectronic format within 5 working days

c) Certification bodies shall report any misuseof the FORS scheme marks or wording tothe scheme administrator, this may involvethe review of client paperwork and vehiclesbearing the FORS logo

d) Certification bodies shall immediatelyinform their client of the schemeadministrator’s certification decision

Table 2 Requirement status reporting

Reporting UsagePass Yes shall only be used where the requirement is met in fullPass with comments Partial shall be used where the requirement is only partiallyFail Shall be used where the requirement is not met at allNot Applicable Shall be used in cases where the requirement is specific to

irrelevant vehicle types or where the requirement has beendeliberately missed as part of a re-approval audit plan

1 An electronic version of the audit checklist will be made available by the scheme administratorto certification bodies on request. Certification bodies are not permitted to use a modifiedversion of this checklist


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3.3.8 Re-approval audits

a) FORS bronze operators needundergo the re-approval audit everyyear with no mid-term activity

b) FORS Silver and Gold operatorsneed only undergo the re-approvalaudit every two years. Note that thedata report required of FORS Silverand Gold members is to be reviewedon an annual basis

c) Re-approval audits shall beundertaken at least 30 calendar daysbut no more than 60 calendar daysbefore the accreditation expiry date

d) Re-approval audit reports shall usethe usual audit checklist howeverinclude written justification for anyparts not included in the audit

3.3.9 Follow-up audits

a) An action plan shall be issued tooperators which do not meet all ofthe requirements of an audit

b) Follow up audits do not require a sitevisit when action point completion canbe evidenced by sent documentation

c) Follow up audits for action point reportsshall use the action plan template torecord evidence of meetingrequirements

3.3.10 Record keeping

a) The following records shall beretained:

i. KPIs and metricsii. Auditor and technical

specialist performanceiii. Personnel consultancy workiv. Personnel trainingv. Audit reportsvi. Client detailsvii. Complaints and appeals

b) Certification bodies shall retainrecords for a period of 6 years

c) Certification bodies shall address anydetails changes notified to it by a FORSoperator as per the ‘Fleet OperatorRecognition Scheme Standard Rulesand Procedures Manual’. Certificationbodies shall inform the schemeadministrator of any changes notified toit by a FORS operator

3.3.11 Suspensions and withdrawals

a) It is not within the remit ofcertification bodies in this scheme tosuspend a fleet operator from thisscheme or reduce their scope ofcertification

b) Where a fleet operator withdrawstheir certification voluntarily i.e. mid-term, not at the end of thecertification period:

i. Certification bodies shall request tofleet operators that this is informedin writing to the certification bodywith a date of withdrawal

ii. The certification body shallimmediately inform the schemeadministrator

3.3.12 Complaints and appeals

a) Certification bodies utilise thecomplaints procedure detailed inAnnex 5 when an amicable solutioncannot be found via normalcommunication methods or wherespecifically requested by any party

b) Complaints to a certification bodyregarding the certification schemeitself or scheme administrator shouldbe passed directly to the schemeadministrator

c) Certification bodies may not make anyfinancial charge in relation to thecomplaints and appeals process

d) Records of complaints and appealsmust be made available for review bythe scheme administrator


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3.4 Operating principlesrequirements

a) Certification bodies shall operate in amanner which inspires confidence byoperating to the following principlesin all of its actions:

i. Impartialityii. Competenceiii. Responsibilityiv. Opennessv. Confidentialityvi. Responsiveness to complaints

b) Certification bodies shalldemonstrate through their writtenpolicies and systems of work thatthey do not allow any source ofimpartiality to affect their auditservices or reporting, which caninclude but is not limited to

i. acting in self-interest, such as self-certification or certifying a relatedcompany

ii. individuals auditing a former or future(within two years) consultancy client

iii. intimidation and familiarity

c) Impartiality issues shall form part ofmanagement reviews

d) Certification bodies shall keepconfidential, and have a writtenpolicy to cover, all information foundduring their interaction with a client(except for the passing of the auditreport to the scheme administrator)

e) Certification bodies shall have awritten commitment to impartialityavailable, and manage impartialityand conflict of interest via a writtenimpartiality risk register

f) Certification bodies which also offerconsultancy services within the same

umbrella organisation shall demonstrate aclear separation of audit/certification stafffrom consultancy services staff andoperate in an impartial manner whichremoves undue influence on the audit/certification activity

g) Certification bodies shall not outsourceany part of their certification operation,except to contracted auditors

h) Certification bodies shall not market orlink their certification in any way to anorganisation which provides managementsystem consultancy

i) Certification bodies shall ensure that allparties with access to client information(such as management, the certificationmanager, auditors, external auditors,administration staff) sign a confidentialityagreement covering the duty to keep allinformation gained during an auditconfidential and not to use it forcommercial or other gain

j) Certification bodies shall not hold anyinformation regarding a fleet operator inrelation to this scheme for longer than 6years and shall follow the requirements ofthe General Data Protection Regulation(GDPR) (Regulation (EU) 2016/679)

k) Certification bodies shall have thefollowing active policies:

i. an information and data security policyii. a health and safety policy (which

specifically covers risks to persons on sitevisits)

iii. an environmental policyiv. an equality and inclusion policy


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4 Disputes4.1 Complaints and appeals to

the scheme administrator

The complaints and audit appealsprocedure set out in Annex 5 can beinvoked at step four by a certificationbody wishing to make a complaintagainst the scheme administrator orwishing to appeal against a decisionmade by the scheme administrator. Ifno amicable solution can be found vianormal communication methods thecomplaint may be escalated to theFORS Governance and StandardAdvisory Group (GSAG).

4.2 Discontinuation of approvalto undertake FORS audits

4.2.1 Voluntary

Certification bodies may leave thescheme at any time. The schemeadministrator shall be notified of this inwriting at least 3 months prior to thevoluntary cancellation of approval.

4.2.2 Involuntary

The scheme administrator in consultationwith the Governance and StandardsAdvisory Group (GSAG) may, in certaincircumstances withdraw a certificationbody’s approval to operate thecertification scheme. In such cases thefollowing procedures will be undertakenin the following order:

a) the scheme administrator willclearly identify in writing to thecertification body the reasonsfor concern

b) requirement for the certificationbody to undertake and provecorrective action

c) suspension of the certification body

d) involuntary discontinuation of thecertification body approval

These actions may be due to factorsincluding, but not limited to:

i. a serious complaint that cannotbe resolved

ii. a failure to comply with therequirements of this document

iii. a change in legal structure orownership that might introduce aconflict of interest not capable ofbeing satisfactorily managed

iv. any case of gross misconductbeing proven against thecertification body or failing tofollow the correct certificationprocedures

v. being inactive for a period of 12months

vi. becoming financially insolvent orentering into administration

4.2.2.1 Corrective action

Corrective action may be consideredas actions which are undertaken tocorrect any breakdown in theoperation of the certification schemeby an approved certification body.

Certification bodies are under a dutyto undertake corrective actions andto prove these to the schemeadministrator. A failure to undertakecorrective action within 20 workingdays (or any longer agreedtimescale) will result in suspension.


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4.2.2.2 Suspension

Action arising from failure to undertake therequired corrective action can result in thecertification body being suspended fromoffering FORS audits, whereby thecertification body will be prevented fromoffering audits until such time as correctiveaction has been implemented and proved.A failure to undertake corrective actionduring suspension within 20 working days(or any longer agreed timescale) will resultin involuntary discontinuation of approval.

4.2.2.3 Involuntary discontinuation

Certification bodies which fail toundertake corrective action duringsuspension will have their approvalto offer FORS audits withdrawn,upon which the certification bodymust cease all activity relating to theFORS certification scheme, includingexisting clients.

All certification clients and applicantsin progress will be informed by thescheme administrator of thealternative certification bodiesavailable.


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5 Terms and references

Phrase MeaningAction points A record of an incidence of non-compliance with the FORS

requirementsAudit services Services in relation to the auditing of clients, including

quotations, auditing, reporting, and complaint resolutionCertification The act of certifying a fleet operation as currently

operating in a manner compliant with the FORSCertification body Those organisations approved by the scheme administrator to

undertake audits to the FORS StandardCertificationscheme document

Any document which describes how the scheme isoperated (i.e. any scheme related document which is notthe FORS requirements)

Enhanced audit An audit convened to observe the correction of anyfound non-conformity

Fleet operator An economic entity which operates a vehicle fleetFleet OperatorRecognition

The recognition scheme described in this document, whichis a fleet operations certification scheme.

Follow up audit An audit convened to observe the correction of any foundaction point

FORS An acronym for ‘Fleet Operator Recognition Scheme’FORS agreement A contractual agreement between the scheme administrator

and the fleet operatorFORS mark The Fleet Operator Recognition Scheme mark, as described

in the ‘FORS logo usage standard’FORS Standard The sections of the Fleet Operator Recognition Scheme

requirements document holding the requirements to be met bycertified FORS operators

Governance andStandardsAdvisory Group

A committee of competent persons which oversee theactivities of the scheme and the scheme administrator

Initial audit A first audit of a fleet operatorRe-approval audit A periodic audit of a FORS certified fleet operator or auditorScheme administrator The body responsible for administering FORSWitnessed audit An audit which is witnessed by a representative of the scheme

administratorWitnessed auditor An auditor who has been witnessed undertaking a FORS

audit and is deemed competent in doing so by arepresentative of the scheme administrator and issued


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Annex 1 Application to offercertification

The purpose of this application form is to allow certification bodies to apply to thescheme administrator to offer audit services in relation to FORS. The signing of thisdocument binds the certification body to the processes defined in this document,Requirements for Certification Bodies. Your completed application should be forwardedto the scheme administrator listed in section 1.1, and shall be accompanied by allelements in outlined in section 3

Supporting information shall be attached where necessary.

Name of certification body Office use

Certification body address (to beused in all correspondence)

Office use

Company representative (to beused in all correspondence)

Office use

Telephone number Office use

Email Office use

Approximately how many FORSaudits are you capable ofundertaking in your first year of

Office use

Have you implemented all of therequired systems stated within theFORS Requirements forCertification Bodies document?

Office use

When will your company beavailable for an initial approvalreview by the scheme

Office use

Does your company agree to allterms and conditions outlined withinthe FORS Requirements forCertification Bodies document andall documents cited within it?

Office use

What is the company core businessand do you offer consultancy?

Office use

Signature of Company Director Office use

Print Office use

Date Office use


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Applicants are also required to be submit with the application the following document(note that the System requirements for certification bodies section reference may beused to understand more regarding the content of each document).

Document to be submitted Your reference

Auditor monitoring report

Client application form

Complaints document

Confidentiality agreement

Confidentiality policy

Environmental policy

Equality and inclusion policy

Financial liability risk assessment

Health and Safety policy

Impartiality agreement

Impartiality policy

Impartiality risk register

Information and data security policy

Management System document

Organogram

Roles and responsibilities

Staff competency assessment plan

Staff competency matrix

Staff selection policy

Staff training plan

Statement of impartiality

Template audit plan


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Annex 2 Declaration of auditorcompetence

Each auditor is required to receive scheme administrator approval prior to starting workas an auditor. Completed declarations of competency (as below) shall be forwarded tothe scheme administrator for review and approval for each auditor.

Declaration

Certification body

Types of operation to be audited bythe auditor

I hereby declare that the evidencegiven is a correct representation of myrequired auditor competencies (auditorsignature)Auditor name

I hereby declare that the auditormeets all relevant competencyrequirements (companyrepresentative signature)Company representative name

Date

Continued overleaf


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Evidence of these mandatory competency requirements shall be retained by thecertification body and may be reviewed by the scheme administrator at any time.

Auditor competence requirements checklist

Auditor name

Requirement EvidenceQualifications / Education/ Training:◆ Hold an industry recognised Transport Manager Certificate

of Professional Competence qualification for a minimumperiod of two years

□

◆ Complete an industry recognised Transport ManagerCertificate of Professional Competence qualificationrefresher training at least every five years

□

◆ Complete recognised FORS auditor training □

◆ Complete recognised FORS Auditor refresher trainingevery two years (in line with the FORS Standard revision)

□

◆ Undertake basic FORS refresher training if no audit hasbeen completed within the previous six month period

□

◆ Working towards being a FORS Practitioner (Qualificationto be achieved within two years of commencing FORSauditing)

□

◆ Quality Systems management and auditing □Personal attributes◆ Be independent, objective and self-motivated □◆ Ability to work alone or as part of a team □◆ Ability to make decisions and use own initiative □◆ Excellent interpersonal skills and be able to

communicate with a diverse range of individuals□

◆ Be of good repute as defined by the Office of theTraffic Commissioner

□

◆ Maintains a professional image at all times □Knowledge◆ Fleet Operator Recognition Scheme requirements □◆ Occupational road risk legislation and standards □◆ The different road transport industry sectors □◆ Relevant Health & Safety legislation □◆ Operator licensing requirements □Skills and Competencies:◆ Excellent interpersonal skills with the ability to work and

communicate with a diverse range of professional at all□

◆ Ability to process and interpret complex information □◆ Excellent oral and written communication skills

including the ability to produce reports□


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◆ Strong prioritisation skills and ability to manage ownworkload make decisions and use own initiative

□

◆ Ability to identify weaknesses in systems and processes □◆ Ability to maintain client confidentiality □◆ Maintain auditor competency by completing at least one

audit in a six month period□

Sector specific experience:◆ Practical experience of working in a transport environment

for a minimum period of two years□

◆ Experience of assessing road transport operations □◆ Ability to provide direction and guidance to operators □◆ Understanding of what represents industry best practice □General experience◆ Experience of quality management systems and processes □◆ Ability to verify the accuracy and relevance of data □◆ Ability to accurately record and report audit activities □


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Audit system competency

◆ How many qualifiedauditors are employed?

◆ What is the targetedaudit frequency?

◆ Do you have an annualprogramme of audits?

◆ Is there a credible audit processand proforma in place?

◆ Post audit process. Providedetails of a process forrecording and auctioningrequirements following anaudit

◆ Is there evidence of ongoingauditor training, audit the auditoror refresher training in place?

FORS auditor comments


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Annex 3 Person specification - auditor

Core competencies

Personal Attributes

◆ Be independent, objective and self-motivated◆ Ability to work alone or as part of a team◆ Ability to make decisions and use own initiative◆ Excellent interpersonal skills, able to communicate

with a diverse range of individuals◆ Be of good repute as defined by the Office of the

Traffic Commissioner◆ Maintains a professional image at all times

Knowledge

◆ Completed recognised auditor training◆ Hold a Certificate of Professional

Competence (National/International) orindustry recognised equivalent for aminimum of two years prior tobecoming a FORS auditor

◆ Membership of a relevant professional body◆ Must have a full understanding of FORS, its

processes and standards and how they apply totransport operations

◆ Detailed and up to date working knowledge ofcurrent and proposed transport laws, regulations

Skills

◆ Ability to understand and apply audit principles,procedures and techniques

◆ Excellent verbal communication skills◆ Excellent understanding of the English language◆ Ability to write a FORS audit report clearly and

accurately◆ Ability to process and interpret complex information◆ Ability to prioritise and focus on matters of significance

Sector specific experience

◆ Minimum of two years’ experience workingin a transport environment

◆ Experience of assessing road transport operations◆ Ability to provide direction and guidance to operators◆ Understanding of what represents industry best

practice

General experience

◆ Experience of quality management systems andprocesses

◆ Ability to verify the accuracy andrelevance of data collected


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Roles andresponsibilities

Conduct ◆ Conduct audits against the FORS approved audit

Quality

◆ Maintain quality standards by auditing on a regularbasis

◆ Be fully prepared prior to the audit, specificallydate, time and venue

◆ Prior to the audit review any previous audits reportsand be familiar with the contents

◆ Write up and quality check the audit

Communications

◆ Communicate considerately and effectivelywith the throughout the audit process

◆ Offer guidance to operators throughout the auditprocess

◆ Ask open ended questions, observe what ishappening, record evidence both positive andnegative, check availability of the proceduresand conformance of them

◆ Provide the company with informationregarding compliance issues and applicableregulation changes

Training

◆ Complete recognised FORS Auditorrefresher training every two years (alignedto the FORS Standard revision)

◆ Attend FORS awareness and basic refreshertraining as directed Highlight to the CertificationBody any individual training and developmentneeds

◆ Complete an industry recognised TransportManager Certificate of Professional Competencequalification refresher training at least every fiveyears

◆ Working towards being a FORS Practitioner(Qualification to be achieved within two years ofcommencing FORS auditing)


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Annex 4 Witnessed audit formBasic details

Auditors name

Date of witnessed audit

Date of previous witnessed audit

Auditors certification body

Audited fleet company name

Senior auditor name

Audit

Did the auditor arrive on time?Was the auditor’s attitude andappearance professional?Did the auditor fullyunderstand and clearly explainthe FORS Standard?Does the auditor show in-depth industry knowledge?Does the auditor have theknowledge to answer questionsclearly and concisely?Does the auditor businessdevelop for their company?

Start time Finish time Duration

Auditor notes/overview (audit)


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I confirm that I witnessed this auditor undertaking an audit to the FORS Standard in animpartial manner

Senior auditor’s name

Senior auditor’s signature

Date

Post audit

Date completed audit was submitted

No. of working days from auditto submissionQuality and consistency of reportie spelling, punctuation etc

Approval decisionStrike through accordingly

Approve this auditor to audit against the FORSStandardRecommend this auditor for further trainingprior to approval

Approver’s name

Approver’s signature

Date

Recommendations for the auditor

Auditor notes/overview (post audit)


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Annex 5 Complaints and appealsescalation process

IntroductionFORS companies who feel they have not been treated fairly by the schemeadministrator or their certification body may decide to raise a formal complaintwhere the issue cannot be amicably resolved. This document sets out the protocolto be followed by companies wishing to raise a complaint against the scheme or toappeal against a decision made by the scheme.

The complaints process is also outlined in the FORS Standard Rules andProcedures manual and the FORS Compliance and Enforcement Manual.

Step by step process for operators (also see Figure A)Complaints Audit appeals1. You must write to the scheme

administrator or your certificationbody or using the words ‘OfficialFORS complaint’ in the letter oremail title

2. The scheme administrator will sendyou an acknowledgement and acopy of this process document whichshall be followed to investigate yourcomplaint

3. Within five working days of receipt ofthe complaint the schemeadministrator or certification bodywill formally respond offering aresolution

1. You must write to the schemeadministrator or certification body orusing the words ‘Official FORScomplaint’ in the letter or email title

2. The scheme administrator will send youan acknowledgement and a copy of thisprocess document which shall be followedto investigate your audit appeal

3. The scheme administrator will forwardthe complaint to the senior auditor at thecertification body. Within 10 workingdays of receipt of the complaint thescheme administrator or certificationbody will formally respond offering aresolution

4. If you are not satisfied with the response and wish to pursue the matter further youmay appeal with ‘Official FORS complaint’ in the letter or email title and requestthat the issue be referred to senior personnel of respective parties

5. Within five working days of receipt of the request to refer the matter to seniorpersonnel the scheme administrator or certification body will formally respond

6. If you are still not satisfied with the response and wish to pursue the matterfurther you may appeal with ‘Official FORS complaint’ in the letter or email title andrequest that the issue be escalated to the FORS Governance and StandardsAdvisory Group (GSAG)

7. The scheme administrator will convene a panel of three nominated GSAGmembers. Each member of the panel will be sent all documentation relating to thecomplaint and will be asked to independently review the evidence and respond inwriting with their recommendation

8. Within 10 working days the GSAG panel will reach a majority decision and thescheme administrator will notify you of the outcome of the appeal. The decisionmade by the GSAG panel is final


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Step by step complaints and audit appeals escalation process

Figure A: FORS Complaints and audit appeals escalation process

version 3 fors requirements for certification bodies · manager certificate of professional...

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