CMF Audit Checklist V3 - Intelics

• The iAuditor CMF Audit Checklist is broken into categories that can be linked back to INTELICS.
  Audits can be done partially or in full (i.e. some or all categories).
  The frequency of CMF audits are as indicated by INTELICS.
  These activities are to be complimented with a field leadership activity (i.e. PTC).

• Document No.

• Audit Title (HPT Audit - *contracting company* - *date completed*)

undefined

• Client / Site

  Hay Point Coal Terminal

  Tug Harbour

  Other

• Enter name of Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Contractor Engaged Works ( Description of Works)

• It is a requirement that there is a Scope of Work as part of the SHMP for all Contractors that provide on site services to Hay Point Coal Terminal.

• Is the worker observed at the job front?

  Yes

  No

  N/A

• Provide a brief description of the works observed

• Are the work activities observed aligned to the Brief Description of works in the Scope of Works Tab in INTELICS)?

  Yes

  No

  N/A

• Do the risks for the work activities discussed align with those identified in the Scope of Works Tab in INTELICS ?

  Yes

  No

  N/A

Hazardous Substances Register

• Will this audit focus on compliance to 'Hazardous Substance' requirements?

  No

  Yes

• Are all substances identified listed on the Job Card?

  Yes

  No

• Are all substances identified listed as approved in HPT ChemAlert?

  Yes

  No

  N/A

• Are all substances approved for this Vendor?

  Yes

  No

  N/A

• Are all substances in approved vessels and labeled correctly? (if decanted)

  Yes

  No

  N/A

• Have any substances listed on the HPT REG Prohibited and Restricted Items Register been identified, either on the register or in-use?

  No

  Yes

  N/A

• Are SDS' readily available to personnel?

  Yes

  No

  N/A

• Is the SDS' within 5 year validity from published date?

  Yes

  No

BMA Equipment Compliance Register

• Will this audit focus on a review of compliance to 'BMA Equipment Compliance Register' requirements?

  No

  Yes

• What is the registration and/ or call sign of the equipment? (pictures of both are recommended for each individual sampled)

  Media

• Is all equipment identified listed on the Job Card?

  Yes

  No

  N/A

• Does all equipment sampled in this audit have compliance paperwork located in/on the equipment?

  Yes

  No

  N/A

• Is all equipment sampled within compliance date?

  Yes

  No

  N/A

• Is a pre-start book located in/on the equipment?

  Yes

  No

  N/A

• Has the pre-start inspection been completed?

  Yes

  No

  N/A

• Has all equipment have max vehicle working height/ travel height listed?

  Yes

  No

  N/A

Air Tools Register

• Will this audit focus on compliance to the 'Air Tools Register' requirements?

  No

  Yes

• Tools must have their equipment number clearly identified and documentation available for on-site audit confirmation. Inspection period for Air Tools is 6-monthly, and the actual process inspection is subjective depending on the process of that competent person.

• Is the equipment sampled clearly and uniquely identifiable?

  Yes

  No

  N/A

• Are all air tools listed in the Job Card?

  Yes

  No

  N/A

Jack & Stand Register

• Will this audit focus on compliance to the 'Jack & Stand Register' requirements?

  No

  Yes

• Are all jacks and stands on the project listed on the Job Card?

  Yes

  No

• Are all jacks and stands labelled to meet the applicable Australian Standard incl. SWL i.e. AS2693:2007 Vehicle Jacks?

  Yes

  No

• Do all jacks and stands have a current inspection date?

  Yes

  No

• Are any stands engineered for a non-specific purpose? (i.e. to support pipes whilst machining)

  Yes

  No

• Do they have an engineering plate attached?

  Yes

  No

Tyre & Rim Register

• Will this audit focus on compliance to 'Rim Register' requirements?

  No

  Yes

• Are all rims over 24" (600mm) on the project listed in the Job Card?

  Yes

  No

• Do all rims have a serial number?

  Yes

  No

  N/A

Hydraulic Tooling Register

• Will this audit focus on compliance to 'Hydraulic Tooling Register' requirements?

  No

  Yes

• Are all hydraulic tools on the project listed on the Job Card?

  Yes

  No

• Do all hydraulic tools have an equipment number?

  Yes

  No

• Do all hydraulic tools have a current inspection date?

  Yes

  No

  N/A

Ladder Register

• Will this audit focus on compliance to 'Ladder Register' requirements?

  No

  Yes

• Are all ladders on the project listed on the Job Card?

  Yes

  No

• Do all ladders meet BMA/Australian Standard compliance?

  Yes

  No

  N/A

• Do all ladders have a current inspection date completed?

  Yes

  No

  N/A

• Do all ladders have the height and length stated in the Job Card?

  Yes

  No

  N/A

Scaffold Register

• Will this audit focus on compliance to 'Scaffold Register' requirements?

  No

  Yes

• Are all scaffolds on the project listed on the Job Card?

  Yes

  No

  N/A

• Do all scaffolds meet BMA/Australian Standards compliance?

  Yes

  No

  N/A

• Do all scaffolds in use have a scaff tag signed by an authorised scaffolder?

  Yes

  No

  N/A

Pressure Vessels

• Will this audit focus on compliance to 'Pressure Vessels Register' requirements?

  No

  Yes

• Are all pressure vessels on the project listed on the Job Card?

  Yes

  No

• Do all pressure vessels have an Australian Standard compliance label or certification attached?

  Yes

  No

  N/A

• Do all pressure vessels have a current inspection date completed?

  Yes

  No

  N/A

• Paperwork required.

Electrical Equipment

• Will this audit focus on compliance to 'Electrical Equipment Register' requirements?

  No

  Yes

• Are all electrical items on the project listed on the Job Card?

  Yes

  No

• Are the test and tag dates current for all electrical items?

  Yes

  No

  N/A

• Do all electrical items have an equipment number?

  Yes

  No

  N/A

Work at Heights Equipment

• Will this audit focus on compliance to 'Work at Heights Equipment Register' requirements?

  No

  Yes

• Is all working at heights equipment on the project listed in the Job Card?

  Yes

  No

• Does all working at heights equipment have the appropriate Australian Standard information labelled on the equipment?

  Yes

  No

  N/A

• Do all work at heights equipment have a current third party inspection test and tag and is it listed correctly in the Job Card?

  Yes

  No

  N/A

• Do all work at heights equipment have the SWL / SLL listed on the equipment and in the Job Card?

  Yes

  No

  N/A

Lifting Register

• Will this audit focus on compliance to 'Lifting Register' requirements?

  No

  Yes

• Is all equipment identified listed on the Job Card?

  Yes

  No

• Does all lifting equipment have the SWL / SLL labelled on the equipment?

  Yes

  No

  N/A

• Does all lifting equipment have a current test and tag?

  Yes

  No

  N/A

• This equipment may need to be tagged out of service until a competent third party person can reinspect and tag.

Laser Devices Register

• Will this audit focus on compliance to 'Laser Register' requirements?

  No

  Yes

• Is all laser equipment listed on the Job Card?

  Yes

  No

Fire Equipment Register

• Will this audit focus on compliance to 'Fire Equipment Register' requirements?

  No

  Yes

• Have all fire extinguishers/ suppression units including those located on vehicles and equipment, been listed on the Job Card?

  Yes

  No

  N/A

• Do fire extinguishers/ suppression units have a unique identifier?

  Yes

  No

  N/A

• Are all fire extinguishers within the inspection date?

  Yes

  No

  N/A

Relocatable Buildings & Containers

• Will this audit focus on compliance to 'Relocatable Buildings & Containers Register' requirements?

  No

  Yes

• Are all Relocatable Buildings & Containers listed on the Job Card?

  Yes

  No

  N/A

• Have all Relocatable Buildings & Containers been secured in line with current regulations?

  Yes

  No

  N/A

Other Equipment

• Will this audit focus on compliance to 'Other Equipment Register' requirements?

  No

  Yes

• Are all tools that have a compliance / calibration date which DO NOT fall under BMA compliance requirements recorded on the register appropriately?

  Yes

  No

  N/A

• Do tools and equipment which are recorded as a BMA restricted item have an appropriate risk assessment completed which has been signed off by the GM or designate?

  Yes

  No

  N/A

• Have all site requirements been met to have this equipment on site?

  Yes

  No

  N/A

Confined Spaces Register

• Will this audit focus on compliance to 'Confined Spaces Register' requirements?

  No

  Yes

• Have all confined spaces brought onto site by the contractor been recorded on the Job Card?

  Yes

  No

  N/A

• Do all confined spaces have a specific location and area noted?

  Yes

  No

  N/A

• Has the responsible site person for confined spaces been notified of all temporary and permanent confined spaces for the project?

  Yes

  No

  N/A

Training Needs Summary

• Will this audit focus on compliance to (Training Needs) requirements?

  No

  Yes

• Do all personnel have their general mandatory information recorded on the Job Card?

  Yes

  No

  N/A

• Are all personnel onsite listed in the Job Card?

  Yes

  No

  N/A

• Have all personnel sampled completed the BMA Site Worker and Port & Rail All worker curricula (Level 1 & 2) ?

  Yes

  No

  N/A

• Have all personnel sampled been assigned Level 3 curricula ( BMA PR Shutdowns, BMA PR Maintenance Services etc.) ?

  Yes

  No

  N/A

• Have all personnel sampled completed Level 3 curricula ( BMA PR Shutdowns, BMA PR Maintenance Services etc.) ?

  Yes

  No

  N/A

• Have personnel acting in a Supervisor capacity been trained assessed and authorised?

  Yes

  No

  N/A

• Are the personnel trade qualified?

  Yes

  No

  N/A

• Do they have the corresponding Tradesperson's curricula assigned?

  Yes

  No

  N/A

• Has it been completed in full?

  Yes

  No

  N/A

• Have authorisations to operate machinery or conduct high risk operations been provided?

  Yes

  No

  N/A

• Have details of competencies been entered for each person?

  Yes

  No

  N/A

Cultural Objectives

• Will this audit focus on compliance to the 'Cultural Objectives' requirements?

  No

  Yes

• Have all personnel sampled completed the 'Our Code' training?

  Yes

  No

  N/A

• Have all personnel sampled completed the 'Not in our workplace: eliminating sexual harassment and sexual assault at BHP'?

  Yes

  No

  N/A

• Can personnel name the provider or their company's Employee Assistance Program (EAP) or BHP's if the company doesn't provide this service?

  Yes

  No

  N/A

• Do personnel have knowledge about the Contractor Perception Survey (CPS)?

  Yes

  No

  N/A

Labour Hire Licence

• Will this audit focus on compliance to the 'Labour Hire Licence' requirements?

  No

  Yes

• Does the vendor require a labour hire licence?

  Yes

  No

  N/A

• Is the labour hire licence within date as per the QLD Labour Hire Licencing QLD website?

  Yes

  No

  N/A

• Does the labour hire licence quoted in the SHMP match the company listed on the QLD Labour Hire Licencing QLD website?

  Yes

  No

  N/A

• Are the labour hire licence details up to date in the SHMP?

  Yes

  No

  N/A

Annual Review Meeting

• Will this audit focus on compliance to 'Review Meeting' requirements?

  No

  Yes

• Is there evidence of the review meetings being undertaken in compliance with the required frequencies? (i.e. Monthly / Quarterly, etc)

  Yes

  No

Sub-Contractors

• Is the contractor utilising any sub-contractors to perform work?

  No

  Yes

• Is the sub-contractor approved for use under the Primary Vendor?

  Yes

  No

• Is the approval listed in the SHMP in INTELICS?

  Yes

  No

  N/A

• Is the approved form saved in Documentum (D2) in the Vendors Folder?

  Yes

  No

  N/A

• Are the sub-contractor personnel, equipment and hire equipment listed within the Job Card?

  Yes

  No

Monitoring & Verification

• This section outlines the site's compliance to monitoring and verification set out for the engagement. (performance meetings, field/ maintenance audits, and CMP Submissions).

• Will this audit focus on compliance to 'Monitoring & Verification' requirements identified in the 'CEP - Partnership Routines' tab?

  No

  Yes

• Is there a set plan to Monitor & Verify ongoing works listed in the Job Card?

  Yes

  No

• Are the identified planned audits being complied with?

  Yes

  No

  N/A

• Are audit actions closed out?

  Yes

  No

  N/A

• Are audits located in D2 (Documentum)?

  Yes

  No

  N/A

• Are the identified planned meetings being complied with?

  Yes

  No

  N/A

• Are the meeting minutes located in D2 (Documentum)?

  Yes

  No

  N/A

• Are mandatory attendee's present at meetings?

  Yes

  No

  N/A

Single Safety and Health Management System

• Will this audit focus on compliance to the Site's single safety and Health Management system (SHMS) requirements?

  No

  Yes

• This section requires an understanding of any specialist equipment or procedures being inducted into the Site's SHMS, and compliance to this adoption process.

• Does the SHMP identify specialist procedures to be reviewed and approved or adopted into the sites single SHMS?

  Yes

  No

• Is there evidence that the procedures followed the requirements for adopting external documents into the SHMS?

  Yes

  No

• At the work-front, are all documents in use the current version / available on Tempo?

  Yes

  No

• At the work front, can the Contractor accurately describe where they locate approved procedures, forms and templates for conducting their work?

  Satisfactory

  Deficiencies Identified

HPT Procedure - Fatigue Management

• NOTE: This audit section will focus on personnel's compliance with the HPT Procedure - Fatigue Management

  No

  Yes

• This Layered Audit has been initiated to perform a deep dive into HPT-PRO-6432347 HPT Procedure - Fatigue Management to ensure compliance with the standard.
  Reference material –
  • IPIECA 2012 - Performance indicators for fatigue risk management systems: Guidance document for the oil and gas industry
  • GLD.011 - Our Requirements for Health
  • BMA-HSEC-STD-0034 - BMA Fatigue Management Standard
  • HPT-PRO-6432347 - HPT Procedure Fatigue Management

• Add media

  Media

• Can the contractor describe how to locate the HPT Procedure - Fatigue Management and what sort of information might include?

  Satisfactory

  Deficiencies Identified

• Does your company supply personnel to multiple sites / clients (sites apart from BMA Hay Point Coal Terminal)?

  Yes

  No

• Can the contractor describe what measures they take, or what systems they have in place, to ensure personnel assigned work remain compliant with the HPT Procedure - Fatigue Management (with particular reference to consecutive shifts)?<br>

  Satisfactory

  Deficiencies Identified

• Can the contractor provide evidence to support said measures or systems for on-going compliance to the HPT Procedure - Fatigue Management?

  Yes

  No

• Use this to attach any media evidence.

  Media

• Add any additional comments, notes or evidence if applicable..

Supervision Effectiveness & Risk Management

• Supervision effectiveness - both examining the workers' understanding of who their supervisor(s) are and who each Supervisor understands as their working party and their scope of work for the shift.

• Will this audit focus on in-field assessment of Supervision Effectiveness and Risk Management?

  No

  Yes

• Will this audit focus on in-field assessment of Supervision Effectiveness and Risk Management?

  No

  Yes

Questions for the Contractor

• Can you tell me who the workfront Supervisor is (by name)?

  Satisfactory

  Deficiencies Identified

• Did you attend a safe start meeting at the start of shift? <br> NOTE: Verify a "Yes" answer by asking what content was covered. i.e. looking for responses that include highlights from the , relevant safety notices/conversations, area hazards, etc)<br>

  Satisfactory

  Deficiencies Identified

• When you are assigned work tasks, what risk or hazard management conversations take place?

  Satisfactory

  Deficiencies Identified

• How do you identify hazards and manage risk at the work front, and at what point would you involve your supervisor? NOTE: 1) looking for details of what the area inspection entailed prior to starting work 2) looking for evidence that a BMA Safe has been completed.

  Satisfactory

  Deficiencies Identified

• How accessible is your supervisor throughout the shift? How do you contact them if you have any questions or need to escalate something?

  Satisfactory

  Deficiencies Identified

• Describe what you would do if you needed your Supervisor, but they were unavailable (ie., offsite or in meetings)?

  Satisfactory

  Deficiencies Identified

• When developing the JSA for the job, what part does your Supervisor plan in the development of it? NOTE: looking for responses/evidence that the Supervisor attends the job-front prior to signing the JSA

  Satisfactory

  Deficiencies Identified

• This space is provided for you to capture any notes of importance from your conversation with the Contractor

Questions for the Contractor's work front supervisor

• Are your HPT Supervisor Appointment and pre-requisites current? NOTE: Verify that the Supervisor knows how to check appointment currency.

  Satisfactory

  Deficiencies Identified

• Can you describe your routine of an average day? NOTE: looking for: handover routines; safe start meeting routines; assigning work; active work area inspections (min. 1 per shift & with increased frequency based on risk); etc.

  Satisfactory

  Deficiencies Identified

• How would you describe your direct versus in-direct supervision throughout the shift? What might change or impact the frequency of direct supervision? NOTE: looking for responses where increased risk results in increased direct supervision.

  Satisfactory

  Deficiencies Identified

• How do you assign work to individuals? NOTE: looking for what conversations/checks are had with regards to risk management when assigning work.

  Yes

  No

  N/A

• If the work assigned has related procedures, what might they be and how does the worker access them? NOTE: looking for approved Tempo documents from the HPT Single Safety and Health Management System (SHMS)

  Satisfactory

  Deficiencies Identified

• What checks do you conduct to ensure the work assigned is going to persons whom are appropriately trained, competent and authorised? NOTE: a verification activity might be to select an activity that the Supervisor has recently assigned and check that the person has the required authorisation(s).

  Satisfactory

  Deficiencies Identified

• During your interactions with personnel at the workfront, what checks do you do with regards to the personnel's management of risks? NOTE: looking for checks on BMA Safes/JSA's, activities that might verify controls are in-place and effective, hazards (reported by personnel) are managed, etc

  Satisfactory

  Deficiencies Identified

• This space is provided for you to capture any notes of importance from your conversation with the contractor's work front supervisor.

Overview of supervision and risk management effectiveness based on sample audit

• Assess whether the Supervision structure is clear and established per the contract / pre-mobilisation meeting (and/or per on-going requirements out of the regular review meetings). Additionally, does the supervision, including where contractors are providing self-supervision, reflect the organisation's expectations for effective safety and health supervision?

• Based on the completed sample of conversations with the contractors personnel and contractors supervision, rate the effectiveness of the supervision which includes adequate balance of direct supervision and risk management activities. 1: Stop work immediately and rectify TO 5: Could not fault it.

• Would you like to clarify why this rating was allocated or what improvement activities are needed?

• Is the Supervisor listed on the Job Card?

  No

  Yes

• Is the Supervisor trained, assessed and competent?

  No

  Yes

Overview of supervision and risk management effectiveness based on sample audit

• Assess whether the Supervision structure is clear and established per the contract / pre-mobilisation meeting (and/or per on-going requirements out of the regular review meetings). Additionally, does the supervision, including where contractors are providing self-supervision, reflect the organisation's expectations for effective safety and health supervision?

• Based on the completed sample of conversations with the contractors personnel and contractors supervision, rate the effectiveness of the supervision which includes adequate balance of direct supervision and risk management activities. 1: Stop work immediately and rectify TO 5: Could not fault it.

• Would you like to clarify why this rating was allocated or what improvement activities are needed?

General Comments

• Any general comments to add?

• Are there any other actions not related to an above category that needs to be addressed?

  No

  Yes

  N/A

• Sign here

  Sign

• Percentage compliant