Top tips for avoiding the most common reasons for failure at a Bronze audit - FORS

Are you preparing for your FORS Bronze audit? Whether it is your first audit, or a re-approval audit, help ensure you pass the first time by avoiding the most common reasons for failed audits.

Top tips, along with other useful information to help you prepare, book, and pass the FORS Bronze audit, can be found in the FORS Audit Toolkit.

FORS also offers a free-to-attend ‘Going for Bronze’ workshop, specifically designed to guide and support you through the whole process – from registration right through to Bronze accreditation. You can also attend this workshop prior to your re-approval Bronze audit to refresh your knowledge. For more information and to book your place on the special ‘Going for Bronze’ workshop, click here.

The table below highlights the top six most common reasons for failure at audits taking place in October, November and December 2019 and provides tips on how to avoid these:

Reasons for failure	Tips and guidance Make sure you are able to demonstrate that you have…
M1 – FORS documentation
Not providing one or more of the mandatory 17 written policies and procedures Not demonstrating that the policies have been reviewed, approved and signed	Established a policy and procedure for each of the required areas as outlined in the FORS Standard Evidenced that all policies and procedures have been approved and signed by senior management, and are readily accessible to staff across all operating centres where applicable Provided evidence that FORS documentation is reviewed a minimum of once every 12 months Top tip Use the M1 Checklist to ensure you have covered all 17 policies and procedures
D4 – Professional development
Drivers not completing a FORS Professional safety eLearning module within the past 12 months Drivers not completing the FORS Professional Security and Counter Terrorism eLearning module within the past 24 months Managers not completing training as listed at Annex 2 of the FORS Standard within the past five years Not producing a Professional Development Plan (PDP) for all staff	Provided evidence that at least 90 per cent of drivers have completed the mandatory training set out at Annex 1 of the FORS Standard A Professional Development Plan (PDP) in place that includes the names of ALL drivers and all other staff involved in the fleet operation Top tips If not undertaking FORS Professional training, make sure you undertake a course listed as FORS Approved on the FORS website Training undertaken can be demonstrated by accessing the FORS Professional training register and downloading the CSV file which lists all qualified personnel. If you want to use the Training dashboard to evidence how you meet this requirement, make sure you read the full guidance within the dashboard so that you submit accurate training records The PDP and completed training can be evidenced in the same document. Certificates can also be provided at audit to demonstrate that mandatory training has been completed
M8 – Health and safety
Not providing evidence of a Health and Safety policy Not providing all the risk assessments or method statements	Provided evidence of a valid Health and Safety policy Provided evidence of all risk assessments or method statements listed in the demonstration for M8 on page 13 of the FORS Standard Top tip Use the M8 Checklist to ensure you have covered all mandatory risk assessments
V1 – Serviceability and roadworthiness
Not providing a policy to inspect, service and repair vehicles, trailers and specialist equipment Not providing a maintenance planner that shows all planned maintenance for a minimum of six months in advance, including failure for holders of Operator Licences to provide copies of all safety inspections and other legally required documentation Not monitoring maintenance requirements for operators of leased van fleets and relying solely on the service provider	Provided a copy of a policy which meets the demonstration for V1 listed on page 17 of the FORS Standard Provided evidence of a maintenance planner which shows all planned maintenance events for a minimum of six months in advance Planned safety inspections which correspond with the maintenance schedule of Operator Licence holders. Operator Licence holders must also provide evidence of signed maintenance agreements if vehicle maintenance is carried out by an external service provider. All maintenance records reports shall be retained for the periods defined at M1 of the FORS Standard Top tips Ensure that any third-party service provider used supplies service records in a timely manner For Operator Licence holders, make sure you follow the DVSA guidelines for planned maintenance as required in the “Guide to maintaining roadworthiness”
V2 – Daily walkaround checks
Not providing evidence of a robust defect reporting procedure Not providing evidence that reported defects are being repaired	Provided evidence of your daily walkaround and defect reporting system covering all vehicles, trailers and other equipment which meets the demonstration for V2 listed on page 19 of the FORS Standard Provided examples of completed defect reports, including those where defects have been reported, rectified and signed to confirm completion Top tip Make sure you can produce copies of nil defect reports – these must be retained for the periods defined at M2 of the FORS Standard
M2 – Records
Not having the correct number of documents to cover the required periods within the FORS Standard	Managed and maintained all records in an accessible format which is legible and easily retrieved and retained for the required duration Top tip Have all relevant records available for inspection at the time of audit. The time period for retaining records are: 12 months for drivers’ hours records 24 months for working time records 15 months for statutory annual vehicle tests (after their expiry date) 14 weeks for vehicle nil defects records or until the next vehicle safety inspection 15 months for records relating to vehicle safety inspections, defects and maintenance