ATG Senior Managers Annual Audit of Depots

• Depot:

• Location:
  Address

• Operations Manager:

• Auditor:

• Conducted on:

  Date

1.1 Document Control

• Obsolete documents are not available within the Depot and not in general circulation?

  Yes

  No

  N/A

• QP forms, where relevant are used and up-to-date?

  Yes

  No

  N/A

• Authorised software is used and easily accessed?

  Yes

  No

  N/A

• Records are retained for specified times and filed in labelled boxes with the destruction date written on the outside?

  Yes

  No

  N/A

• Archived boxes are delivered and stored in ATG storage area?

  Yes

  No

  N/A

• Electronic files are easily identifiable, retrieval and obsolete files are archived as required?

  Yes

  No

  N/A

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendation Actions are to be completed by:

  Date

2.1 ATG Server

• Are Depot working files set up as requested on the F Drive?

  Yes

  No

  N/A

2.2 Banking

• Does the petty cash register balance?

  Yes

  No

  N/A

• Are credit card facilities being used correctly?

  Yes

  No

  N/A

• Is cash left on the premises?

  Yes

  No

  N/A

• Is there a safe on the premises?

  Yes

  No

  N/A

• Are banking sheets being used correctly?

  Yes

  No

  N/A

2.3 Staff suggestions

• Does the Depot has an employee Suggestion Box?

  Yes

  No

  N/A

• Does the OM provide evidence that the employee Suggestions are adequately addressed?

  Yes

  No

  N/A

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendations are to be completed by:

  Date

3.1 Reporting

• Is the Depot Bible being completed on time?

  Yes

  No

  N/A

• Is the correct detail being entered?

  Yes

  No

  N/A

• Is there evidence of Drivers reporting Incident/Accidents/Hazards on the required forms and that the OM investigates and closes them out in a timely manner?

  Yes

  No

  N/A

• Are Incidents/Accidents/Hazards recorded in the Depot Bible?

  Yes

  No

  N/A

• Are Client Impacts recorded in the authorised Company software and investigated by the OM?

  Yes

  No

  N/A

• Are Customer Concerns and Complaints recorded in the authorised Company software and investigated by the OM?

  Yes

  No

  N/A

3.2 ATG Key Performance Indicators (KPI)

• Is the evidence of Driver/Workshop toolboxes being conducted?

  Yes

  No

  N/A

• Is the evidence of Safety Walks being conducted?

  Yes

  No

  N/A

• Is there evidence that the OM has made adjustments or changes as a result of the previous audit?

  Yes

  No

  N/A

• Is the evidence of random Breathalysing being conducted?

  Yes

  No

  N/A

• Is the evidence of Fatigue Management training being conducted?

  Yes

  No

  N/A

• Is the evidence of employee personnel file being audited?

  Yes

  No

  N/A

• Is the evidence of audits of Safety Management Plan (SMP) for a Bus being conducted?

  Yes

  No

  N/A

3.3 Payroll

• Is the evidence of payroll reports being check and signed off by the OM?

  Yes

  No

  N/A

• Are Drivers completing Variations forms?

  Yes

  No

  N/A

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendation Actions to be completed by:

  Date

4.1 Managers are able to locate the current Organisational Chart (OC)

• Is the OM aware of where to locate current OC?

  Yes

  No

  N/A

• Is the OM aware of where to locate current Job Descriptions (JD)?

  Yes

  No

  N/A

• Is the evidence that updated JD have been re-issued to Employees as required?

  Yes

  No

  N/A

• Are employees selected based on a valid JD?

  Yes

  No

  N/A

4.2 Potential employees are subject to appropriate qualification/reference checks according to the essential qualification listed on the JD

• Is there evidence of reference checks, assessment of ability and authenticity of certificates?

  Yes

  No

  N/A

• Is there evidence that recruitment is carried out by approved personnel?

  Yes

  No

  N/A

4.3 Letter of Offers

• Is there evidence that the correct Letter of Offer is being used?

  Yes

  No

  N/A

• Is there evidence that Human Resources (HR) details are entered correctly into the Company's approved software and/or equivalent hard copies exist?

  Yes

  No

  N/A

• Is there evidence that HR qualifications expiry dates are entered into the Company's approved software and/or equivalent hard copies exist?

  Yes

  No

  N/A

4.4 Employees indicate that they have been inducted when asked

• Is there evidence that all induction forms are completed and signed?

  Yes

  No

  N/A

• Is there evidence that all employees have been provided with an Employee Manual or provided access to one?

  Yes

  No

  N/A

4.5 Training records are maintained

• Is there evidence that training needs are analysed using one of the suggested methods?

  Yes

  No

  N/A

• Is there evidence that employees are notified of requirements and expiry dates?

  Yes

  No

  N/A

• Are notes recorded the Company's software in regards to competency or staff training needs?

  Yes

  No

  N/A

4.6 Evidence of planned training or training gap analysis

• Is there evidence of systematic training via toolboxes?

  Yes

  No

  N/A

4.7 Training records are provided, maintained and up-to-date

• Is there evidence of planned training regimes?

  Yes

  No

  N/A

4.8 Records are complete, confidential, accessible to relevant authorities when required

• Are Employee records correctly archived within the appropriate Depot according to QP.01?

  Yes

  No

  N/A

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendation Actions to be completed by:

  Date

5.1 Quotation and booking communications are received by email or website

• Does the Depot process bookings? i.e. quote and enter in Coach Manager (CM)

  Yes

  NA

• Has all information confirmed with the Client prior to generating a quote?

  Yes

  No

  N/A

• Is the OM or Control Centre (CC) aware of large request or events?

  Yes

  No

  N/A

• Are pricing mechanism reviewed periodically by the OM and Senior Management?

  Yes

  No

  N/A

• Are all requests for quotations submitted in writing? i.e. email or via relevant Company websites

  Yes

  No

  N/A

• Are all quotations are formalised and sent to Client via email?

  Yes

  No

  N/A

5.2 Confirmed bookings and accepted quotes are printed out and filed in CM input file

• Confirmed bookings are entered into CM recording the appropriate Company details?

  Yes

  No

  N/A

• Are bookings and confirmation documents are filed in the month and chronological order?

  Yes

  No

  N/A

• Entered bookings are filed in the appropriate files?

  Yes

  No

  N/A

• Clients are sent confirmation via CM?

  Yes

  No

  N/A

5.3 Major variations to jobs are reported to the OM and re-quoted

• Minor variations are changed in CM immediately if not scheduled and correspondence of the change in filed with the original booking?

  Yes

  No

  N/A

• Where necessary CC is immediately advised of changes affecting already scheduled services?

  Yes

  No

  N/A

5.4 Unsuccessful quotations are disregarded after 2 months

• Are records correctly stored and archived according to QP.01?

  Yes

  No

  N/A

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendation Actions to be completed by:

  Date

6.1 Coach Manager (CM)

• Is CM representing exactly what is happening at the Location?

  Yes

  No

  N/A

• Are vehicle details in CM current?

  Yes

  No

  N/A

• Is there a photos of all vehicles in CM?

  Yes

  No

  N/A

• Is the Vehicle and Driver log in CM being used correctly?

  Yes

  No

  N/A

6.2 Vehicle and Drivers nominated to the service ontracts are used

• Are the nominated Vehicles to the Contract being used?

  Yes

  No

  N/A

• Is the OM aware of the Contract specifications and these are indicated in CM?

  Yes

  No

  N/A

6.3 Job numbers match with bookings number as allocated by the AA

• Is there sufficient information is on the Job Sheet for the Driver to provide the service?

  Yes

  No

  N/A

• Are Drivers provided with the resources and/or additional documentation to perform the service?

  Yes

  No

  N/A

• Are Drivers given adequate notice of their jobs (i.e. the working day prior to the service)?

  Yes

  No

  N/A

6.4 Bookings and daily vehicle schedules are colour-coded as appropriate

• Does the OM review the daily schedule prior to printing Job Sheets with particular regards to “tight” schedules and to identify any additional efficiency?

  Yes

  No

  N/A

• Daily vehicle schedules (hard copy) “Driver Order” are printed out to refer to in the event of power failure or server issues?

  Yes

  No

  N/A

• Are Client Impacts minimal in reference to booking and/or scheduling errors?

  Yes

  No

  N/A

• Are bookings and confirmation documents are filed in the month and chronological order?

  Yes

  No

  N/A

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendation Actions to be completed by:

  Date

7.1 Safety Management Plan (SMP) for a Bus is provided to the Driver at the commencement employment

• Are all SMP for a Bus current?

  Yes

  No

  N/A

• Are the route maps and narrative current in the SMP for a Bus?

  Yes

  No

  N/A

• Are passenger lists current and adjustments are made according to the requirement of the Contract?

  Yes

  No

  N/A

• Are new routes and narratives prepared by the OM and provided to the Client as required by the Contract?

  Yes

  No

  N/A

• Are Integrated Care Plans are well organised and current?

  Yes

  No

  N/A

7.2 Drivers are observed performing pre and post checks

• Does OM randomly and frequently observe Drivers and Bus Aides perform their duties in the yard or other work area?

  Yes

  No

  N/A

• Are Driver wages are consistent with a paid pre and post check?

  Yes

  No

  N/A

• Do Drivers and Bus Aides declare themselves fit for work via Daily Vehicle Safety Checks or Student Attendance Register ?

  Yes

  No

  N/A

• Do Drivers perform pre and post checks including fuelling and cleaning via Daily Vehicle Safety Checks?

  Yes

  No

  N/A

• When tours and long day trips are in place is there evidence that Drivers use the Pre-Tour checks?

  Yes

  No

  N/A

7.5 Dry Hire

• Are all Dry Hires approved by the Senior Operations Manager (SOM) only?

  Yes

  No

  N/A

• Are all Dry Hire vehicles are nominated by the SOM only?

  Yes

  No

  N/A

• Are Dry Hire forms completed adequately by the hirer?

  Yes

  No

  N/A

• Is the evidence of original license being sighted and copy kept with Dry Hire form?

  Yes

  No

  N/A

• Is payment for Dry Hire processed prior to hire day?

  Yes

  No

  N/A

• Is there evidence of Workshop preparing Dry Hire vehicles appropriately with fuel and safety inspection records?

  Yes

  No

  N/A

• Is there evidence of Workshop inspecting vehicles on return and completes the post hire damage form?

  Yes

  No

  N/A

• Is there evidence of Workshop scheduling vehicles for inspection before re-entering the vehicles into service after Dry Hires?

  Yes

  No

  N/A

7.6 Fuel management

• Is there a fuel tank on site?

  Yes

  NA

• Is the fuel system being used correctly?

  Yes

  No

  N/A

• Is there fuel cards at the Location?

  Yes

  No

  N/A

• Is there evidence that fuel cards being audited regularly?

  Yes

  No

  N/A

• Does the Depot have a local fuel account?

  Yes

  No

  N/A

7.7 Personnel

• Has there been any new employees this year?

  Yes

  NA

• How many new employees have been employed?

• Has there any staff leave the Depot this year?

  Yes

  NA

• How many staff members have left?

• Is there relief Drivers at the Depot?

  Yes

  NA

• How many relief Drivers are there?

• Is there relief Bus Aides at the Depot?

  Yes

  NA

• How many relief Bus Aides are there?

• Has there been any workers compensation claims this year?

  Yes

  NA

• How many workers compensation claims?

7.8 Vehicles

• Is there enough resources to carry out the work requested?

  Yes

  No

  N/A

• How many vehicles in the fleet at the Depot?

• How many spare vehicles are there?

• Is there charter vehicle in the fleet?

  Yes

  NA

• How many charter vehicles is there?

• Have there been accidents this year where the Company is at fault?

  Yes

  NA

• How many accidents have there been?

• Have there been accidents this year where the Company is not at fault?

  Yes

  NA

• How many accidents have there been?

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendation Actions to be completed by:

  Date

9.1 Major suppliers, on-going capital purchases and supply contracts are only approved by the Managing Director (MD)

• Does the OM understand and does not exceed their prescribed dollar limit?

  Yes

  No

  N/A

• Does the workshop staff understand and does not exceed their prescribed dollar limit?

  Yes

  No

  N/A

• Is Fleetmex being used?

  Yes

  NA

• Is there evidence of Purchase Order (PO) being raised?

  Yes

  No

  N/A

• Is there evidence that PO provides detailed information as prescribe by the procedure of the item requested from the supplier?

  Yes

  No

  N/A

• Is there evidence of employee expenses being approved by the OM and all necessary receipts are supplied to recoup expenses?

  Yes

  No

  N/A

• Are all deliveries inspected upon arrival to ensure the content matches the delivery docket and by the receiving/inspecting officer?

  Yes

  No

  N/A

• Is there evidence that goods received for the Workshop are entered into Fleetmex against the appropriate vehicle?

  Yes

  No

  N/A

• Are purchase records retained for a period of 7 years in accordance to QP.01?

  Yes

  No

  N/A

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendation Actions to be completed by:

  Date

10.1 Fleetmex

• Is there evidence that all vehicles are serviced at the appropriate intervals?

  Yes

  No

  N/A

• Is trailing equipment is uniquely identified with the registration number?

  Yes

  No

  N/A

• Is there evidence that trailing equipment has a 6 monthly Preventive Maintenance (PM) schedule?

  Yes

  No

  N/A

• Are repairs to a vehicle added to the current PM Work Order (WO)?

  Yes

  No

  N/A

• Is there evidence that worksheets are distributed to suitably qualified staff?

  Yes

  No

  N/A

• Is there evidence that Mechanics complete the information required on the worksheet as required?

  Yes

  No

  N/A

• Is there evidence that the information provided by the worksheet, including resources used are enter into Fleetmex in a timely manner?

  Yes

  No

  N/A

10.2 General

• Is there evidence that Drivers report Defect and Damage using QP.03 Form 3 in the Bus file?

  Yes

  No

  N/A

• Is there evidence of Daily Vehicle Safety Checks are filed within the bus file?

  Yes

  No

  N/A

• Is there evidence that the tag-out procedures are used by workshop when a vehicle proposes a safety risks and all employees understand the tag–out procedure?

  Yes

  No

  N/A

• Is there evidence that service records are complete within each bus file?

  Yes

  No

  N/A

• Is there evidence that the Government inspection records are available with the bus file?

  Yes

  No

  N/A

10.3 Workshop

• Are Material Safety Data Sheets (MSDS) available to workshop and all staff know how to access them?

  Yes

  No

  N/A

• Is there Personal Protective Equipment (PPE) is available for staff and easily accessible?

  Yes

  No

  N/A

• Are there safety stations set up with the appropriate PPE and first aid requirements?

  Yes

  No

  N/A

• Are all flammables stored in a flammable cupboards which are locked when not actively in use?

  Yes

  No

  N/A

• Is the workshop is tidy and in an orderly state?

  Yes

  No

  N/A

• Are all parts & consumables stored in an orderly fashion and are well labelled?

  Yes

  No

  N/A

• Is waste disposal completed in a timely and appropriate manner?

  Yes

  No

  N/A

• Are oil bunds supplied and used?

  Yes

  No

  N/A

• Are batteries stations supplied and used?

  Yes

  No

  N/A

• Are tyres stored and used appropriately?

  Yes

  No

  N/A

• Is waste water drained into separator tanks?

  Yes

  No

  N/A

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendation Actions to be completed by:

  Date

11.1 Calibration

• Is the Calibration Schedule current and up to date?

  Yes

  No

  N/A

• Is the workshop equipment list current and complete showing each item uniquely identified?

  Yes

  No

  N/A

• Is the OM able to readily determine the last date of calibration of randomly selected equipment?

  Yes

  No

  N/A

• Is the OM able to readily determine the next scheduled calibration date of randomly selected equipment?

  Yes

  No

  N/A

Findings

• Are there any Non-conformances?

  Yes

  No

• What Action is required?

• Non-conformances to be completed by:

  Date

• Are there any Areas of Concern with Recommendations?

  Yes

  No

• What Action is required?

• Recommendation Actions to be completed by:

  Date