Chain of Responsibility Management System Audit - duplicate

• Conducted on

  Date

• Nick King

• Location
  Address

COR Management System

• The organisation has a documented COR management system.

  Yes

  No

  N/A

• The COR management system is authorised by the appropriate senior officer.

  Yes

  No

  N/A

• The COR management system clearly defines the COR "Elements"

  Yes

  No

  N/A

• The COR management system clearly defines responsibilities of all in the Chain.

  Yes

  No

  N/A

• The COR system is up to date with current regulations

  Yes

  No

  N/A

• The COR System contains all necessary forms and documentation for compliance

  Yes

  No

  N/A

Roles and Responsibilities

• The system defines and documents the roles and responsibilities of those in the organisation

  Yes

  No

  N/A

• The system defines and documents the roles and responsibilities of relevant customers.

  Yes

  No

  N/A

• Accountability for COR responsibilities is monitored and enforced

  Yes

  No

  N/A

• The organisation internally reports and manages Non Conformances on COR compliance.

  Yes

  No

  N/A

• Changes in COR legislation and / or Policies are distributed effectively to all in the chain

  Yes

  No

  N/A

• Training and monitoring of the COR management system is the responsibility of a member of senior management

  Yes

  No

  N/A

COR Management System Distribution

• A process exists for distributing information on COR issues and activities to all employees

  Yes

  No

  N/A

• Records are kept on the distribution of COR information to

  Yes

  No

  N/A

• The distribution list for a COR document is clearly identified

  Yes

  No

  N/A

• A process exists for storing and updating COR documents

  Yes

  No

  N/A

• Toolbox meetings are attended and documented

  Yes

  No

  N/A

Mass

• The organisation has a Mass Management System.

  Yes

  No

  N/A

• The organisation has a system in place to ensure heavy vehicles are not loaded in excess of registered GVM / GCM.

  Yes

  No

  N/A

• The organisation has a system in place to ensure heavy vehicles are not loaded in excess of allowable axle mass.

  Yes

  No

  N/A

• The organisation has a system in place to check tare weights of all heavy vehicles.

  Yes

  No

  N/A

• The organisation's drivers and employees have received training in the Mass Management System.

  Yes

  No

  N/A

• No recorded Non Conformance for Mass breaches recorded

  Yes

  No

  N/A

Dimension

• Fleet selected meet ADR compliance for height and width requirements Drivers are trained and understand dimension requirements

  Yes

  No

  N/A

• Correct Vehicle signage is available for vehicles operating outside of legal dimension

  Yes

  No

  N/A

• Correct documentation is obtained for over dimensional loads

  Yes

  No

  N/A

• Safe Work Method Statements provided or produced for specific over dimensional loads.

  Yes

  No

  N/A

• No recorded Non-Conformance for Over Dimensional breaches recorded

  Yes

  No

  N/A

Load Restraint

• Driver trained and understand correct load restraint for the specific vehicle

  Yes

  No

  N/A

• National Load Restraint Guide available to drivers

  Yes

  No

  N/A

• Load restraint equipment available and distributed

  Yes

  No

  N/A

• Load restraint equipment assessed and tagged as required Load restraints in correct condition for operation

  Yes

  No

  N/A

• Heavy vehicle load restraint systems are operated or adjusted from ground level; or remotely controlled

  Yes

  No

  N/A

• Heavy vehicle load restraint systems are regularly checked. Any Non-Conformance for Load restraint breaches recorded

  Yes

  No

  N/A

Speed

• Speed limiting devices fitted to all relative heavy vehicles speed limiters checked and calibrated where required

  Yes

  No

  N/A

• Drivers trained in responsibility with speed compliance

  Yes

  No

  N/A

• GPS tracking fitted to vehicles

  Yes

  No

  N/A

• Drivers have received NO speeding infringements

  Yes

  No

  N/A

• No recorded Non-Conformance for Speed related incidents

  Yes

  No

  N/A

Fatigue

• The organisation has Fatigue Management system in place

  Yes

  No

  N/A

• Fatigue managed and reviewed

  Yes

  No

  N/A

• Schedulers formally trained

  Yes

  No

  N/A

• Drivers formally trained

  Yes

  No

  N/A

• The organisation has Driver Fatigue Management Plans for all trips or journeys greater than 500km.

  Yes

  No

  N/A

• The organisation has a Fitness for Duty management system.

  Yes

  No

  N/A

• The organisation conducts regular medicals for all heavy vehicle drivers.

  Yes

  No

  N/A

• The organisation has a Drug and Alcohol testing regime.

  Yes

  No

  N/A

• The organisation keeps the original pages of Driver's Work Diaries or equivalent for at least 3 years.

  Yes

  No

  N/A

• The organisation keeps records of Driver's names, license details and contact details for at least 3 years.

  Yes

  No

  N/A

• No recorded Non-Conformance for Fatigue related incidents

  Yes

  No

  N/A

Fleet Maintenance

• Rego's are tracked and current at all times

  Yes

  No

  N/A

• Organisation has Maintenance Management system in place

  Yes

  No

  N/A

• Reports on heavy vehicle inspections, maintenance, repairs and modifications are maintained by the organisation

  Yes

  No

  N/A

• Maintenance, repairs and modifications to heavy vehicles are conducted by suitably competent individuals with appropriate expertise.

  Yes

  No

  N/A

• The organisation ensures compliance with relevant legislation for all heavy vehicle modifications

  Yes

  No

  N/A

• The withdrawal of unsafe vehicles from use may be initiated through a Fault Report / Request procedure

  Yes

  No

  N/A

• The organisation has a procedure for closing out Fault Report / Repair request following repair or modification.

  Yes

  No

  N/A

• The organisation has a heavy vehicle maintenance schedule.

  Yes

  No

  N/A

• The organisation has heavy vehicle service sheets.

  Yes

  No

  N/A

• Drivers complete Daily Vehicle Inspection prior to commencement of work.

  Yes

  No

  N/A

• Drivers regularly inspect their heavy vehicles during the work period

  Yes

  No

  N/A

• There is a procedure to follow to report a fault with a heavy vehicle.

  Yes

  No

  N/A

• There is a mechanism to monitor and report completion or non-completion of repairs to faults with a heavy vehicle .

  Yes

  No

  N/A

• Heavy vehicle brake wear is monitored

  Yes

  No

  N/A

• Heavy vehicle tyre wear is monitored.

  Yes

  No

  N/A

• Heavy vehicle fuel consumption is monitored.

  Yes

  No

  N/A

• No recorded Non-Conformance for Maintenance related breaches

  Yes

  No

  N/A

Driver Selection

• Drivers licence provided and copy retained

  Yes

  No

  N/A

• Driver provide State Road Authority print out

  Yes

  No

  N/A

• Drivers history investigated prior to employment

  Yes

  No

  N/A

• Drivers provide detailed employment history

  Yes

  No

  N/A

• Drivers are assessed prior to employment (driving test)

  Yes

  No

  N/A

• Ongoing driver assessing provided

  Yes

  No

  N/A

• Drivers offered feedback about driving

  Yes

  No

  N/A

• Data loggers fitted to vehicles

  Yes

  No

  N/A

• Driving records are assessed for all short-listed applicants for a heavy vehicle driver position.

  Yes

  No

  N/A

• An applicant's attitude to safety is addressed in the interview.

  Yes

  No

  N/A

• A medical assessment is conducted to check an applicant’s fitness for duty.

  Yes

  No

  N/A

• Drivers completing required documentation correctly

  Yes

  No

  N/A

• Is there ability for the public to report driver performance back to organisation

  Yes

  No

  N/A

• Drivers disqualified during employment

  Yes

  No

  N/A

• No recorded Non-Conformance for driver related breaches

  Yes

  No

  N/A

Fleet Selection

• The organisation obtains advice from competent COR professionals (in-house or external).

  Yes

  No

  N/A

• Employees / drivers consulted prior to purchase checking for Job suitability

  Yes

  No

  N/A

• Contractors / Sub contractors consulted on suitability of vehicles required

  Yes

  No

  N/A

• Goods and services purchased are checked for ADR compliance with the purchase order requirements

  Yes

  No

  N/A

• Relevant safety features are considered when selecting heavy vehicles.

  Yes

  No

  N/A

• Vehicle are fitted with all relative safety equipment

  Yes

  No

  N/A

Incident Reports

• Crash report form available for all employees

  Yes

  No

  N/A

• Investigations are conducted for each and any incidents or accidents and clearly documented

  Yes

  No

  N/A

• Investigations conclude with findings and remedial actions to be authorised

  Yes

  No

  N/A

• Investigation includes consultation with employee involved in the accident

  Yes

  No

  N/A

• Risk assessments are conducted for any incident

  Yes

  No

  N/A

• No recorded Non-Conformance vehicle accident related breaches

  Yes

  No

  N/A

Assessing Training Needs

• Training registers are kept for all modules and signed

  Yes

  No

  N/A

• The organisation conducts a training needs analysis to determine COR training requirements

  Yes

  No

  N/A

• A system is in place to provide COR information to all employees.

  Yes

  No

  N/A

• Checks are carried out to ensure that staff fully understand organisational COR requirements.

  Yes

  No

  N/A

• Managers discuss COR in workplace or toolbox meetings.

  Yes

  No

  N/A

• Before assigning a vehicle to an employee, organisations check whether the employee has driven that type and size of vehicle .

  Yes

  No

  N/A

• The organisation has a system to identify those drivers in need of further training and/or remediation.

  Yes

  No

  N/A

• Where driver training needs have been identified, employees undertake relevant practical driver training.

  Yes

  No

  N/A

• Procedure in place for training all employees on reporting responsibilities

  Yes

  No

  N/A

Evaluation and Review

• Is there a Audit process in place to ensure COR documents are up to date and current

  Yes

  No

  N/A

• Audits are tracked and coducted regularly

  Yes

  No

  N/A

• Audit outcomes are communicated with Senior Management

  Yes

  No

  N/A

• Review outcomes are documented and action items signed off on completion

  Yes

  No

  N/A

• Review matrix updated and amended if and when new elements are added to the COR Elements and Requirements

  Yes

  No

  N/A

• Amendments Register is up to date

  Yes

  No

  N/A