Coates Hire East, Internal audit 2013

• Document No.

• Audit Title

• Branch Name

• Branch address
  Address

• Conducted on

  Date

• Auditor

• Auditee

• Area Manager

• Others present

Audit Summary

• Audit Summary

Audit Summary

Scoring System

• 4 - systems and procedures are developed, implemented & effective 3 - systems and procedures are developed, implemented & improvements to be made 2 - systems and procedures are developed, implemented but not effective 1 - systems and procedures are developed, but not implemented 0 - little or no evidence of compliance

Observations

• Q1 (Q 7.5.5)<br>Are all plant, equipment, consumables, spares and exchange components are: 1) to be handled in such a manner as to prevent damage and deterioration. 2) to be provided with secure storage areas to prevent damage, deterioration and interference from unauthorised persons? 3) periodically assess to detect deterioration in the condition of plant and equipment. 4) appropriately packaged where required tomprovide protection aganist the elements 5) transported by vehicles selected for suitability to the task

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• Q2 (OHS 4.4.6)<br>Does the branch have appropriate hazchem and class diamond signage?

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• Q3. (OHS 4.4.6) Verify log book being filled out correctly

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• Q4. (OHS 4.4.6) Is the jib being used authorised

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• Q5 (OHS 4.4.6)<br>Operators of forklifts observed wearing seatbelts or EWP wearing harness

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• Q6. (OHS 4.4.6) Verify competence of person operating a forklift

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• Q7 (OHS 4.4.6) Are current drivers manuals in vehicles <br>

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• Q8 (OHS 4.4.6) Service records, roadworthy, lifting equipment certified etc. <br>

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• Q9 (OHS 4.4.6) Vehicle suitable for journey terrain, ie serviced, tyres in good condition, first aid kit, EPIRB - valid and working, PPE First aid kits

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• Q10 (OHS 4.4.6) Is vehicle currently serviced and HIAB (if applicable ) has annual inspection and service check for Certs

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• Q11 (OHS 4.4.6) Confined spaces are identified with appropriate signage

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• Q12 (OHS 4.4.6) There are mechanisms to prevent unauthorised access to confined spaces - eg locks.

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• Q13 (OHS 4.4.6) Is trailer connection post on display and are safety clips attached to trailer couplings

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• Q14 (OHS 4.4.6) Own use equipment - is the following available, operating and safety instructions, maintenance records, calibration etc

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• Q15 (OHS 4.4.6) Are guards and e-stops fitted to own use fixed P&E eg bench grinder, ped drill.

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• Q16 (OHS 4.4.6) Have own use tools displaying SOP also have induction sign off a accompying them. <br>

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• Q17 (OHS 4.4.6) Maintenance records, calibration( for RCD and Pat testers) etc check stickers on machines plus certificates

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• Q18 (E 4.4.7 & OHS 4.4.6) Clearly labelled Spill kits are available on site. Kits are regularly checked and maintained

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Service

• Q19 (Q 7.5.3) Is equipment identified (by assigning with an unique number) for the purpose of traceability and stock control?<br>Sample 5 x plant numbers for go row and then check against status in base plan

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• Q20 (OHS 4.4.6) & (Q 8.2.4) Select 3 items of plant for compliance to silver service maintenance systems. E.g. Trailers compaction, classified plant. <br>Use asset assessment sheet

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• Q21 (OHS 4.4.6 & Q 8.2.4) Is non-conforming product prevented from inadvertent use and for the identification, evaluation, segregation, disposition and notification of non conforming equipment inclusion those of its sub contractors

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• Q22 (OHS 4.4.6) Staff have training & knowledge of the tagging procedure. Ask fit how do you know what tags to use. Show us through plant and technical or blue book.

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• Q23 (Q 7.5.1 & OHS 4.2.1, 4.2.2) Are checklists and procedures used for maintenance process?

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Hire Counter

• Q24 (Q 4.1) Hire cycle ( phone call, day book, Baseplan, file, phone call, day book, file, invoice/return VERBAL ANSWER

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• Q25 (Q 7.1 & Q 7.5.1) Have service monitoring and verification methods been established. (Day book)

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• Q26 (Q7.1) Records arising from such maintained. Check signatures on delivers and HA's (system for contractor to be noted)

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• Q27 (OHS 4.5.4) Are storage arrangements appropriate, secure and suitable to necessary storage time requirements? Are confidential records managed appropriately?

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• Q28 (OHS 4.5.4) Are records identified and maintained

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• Q29 (Q 4.2.4) Select a sample of 5 branch records form the records register. Verify that each record is available and stored in the correct location. For each record verify that the information in the record is legible and the record is complete.

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• Q30 (OHS 4.5.4) Have responsibilities been assigned to those that keep records? Are records legible traceable etc? Can the records be easily retrieved?

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• Q31 (Q 4.2.3) Is there a method to verify currency of documents? Are obsolete documents identified and quarantined ? Are documents adequately distributed and available to relevant personnel? Perform a routine inspection of all branch hard copy documentation and verify that hard policies and procedures and forms are the most current versions available.

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Workplace Inspections

• Q32 (OHS 4.4.6) Branch conducts monthly branch workplace inspections

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• Q33 (OHS 4.4.3.1) Employees participate in hazard and risk assessments, workplace and environmental inspections. Responsibility for workplace inspections have been delegated out.

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• Q34 (OHS 4.5.1.2) If building was built prior to 01/01/2004 is asbestos report available? If asbestos found annual report required.

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• Q35 (OHS 4.4.3.3) Accidients, incidents, hazards reported into b-safe

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B-Safe

• Q36 (Q 8.5.2, 8.5.3 & E 4.4.7, E 4.5.3) Are corrective actions identified and carried out ? Are NCR closed out? Is effectiveness of preventative or corrective action verified.?

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• Q37 (Q5.4.1& 5.4.2) Confirm all aspects of the business plan which relate to branch activities are being completed in accordance with defined deliverables.

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• Q38 (OHS 4.5.2) All accidents, incidents and near misses are recorded in B-safe. All records are reviewed, investigated and closed out by their due date.

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• Q39 (OHS 4.1) Are employees aware that Coates hire has an OHS which aims to control operations, services and processes which may have safety risk and environmental impact?

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• Q40 (OHS 4.4.3.3) Injuries are reported to Occ-Corp with 24hrs

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• Q41 (OHS 4.4.3.3 & E 4.4.1) Notifiable incidients reported to statutory authorities (as required ) ie: work safe, EPA, health Dept, Water Authority, Local Gov. Who do you report these too?

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Electrical Testing

• Q42 (OHS 4.4.6) Are power outlets in hazardous areas clearly identified as RCD protected (green label) or not RCD protected (red label)

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• Q43 (OHS 4.4.6) Is the branch RCD test register in place and current?

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• Q44 (OHS 4.4.7) Verify staff competence performing test and tag process.

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• Q45 (OHS 4.4.6) Powered equipment tagged correctly, in date check own use equipment is black tagged.

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• Q46 (OHS 4.4.6) Electrical test and tag register in place, includes all equipment on site. Register is up to date. E.g. Simply pats

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Dangerous Goods

• Q47 (OHS 4.4.6) Are spray booth filters regularly checked? So staff know how to check that spray booth filters are working correctly?

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• Q48 (OHS 4.4.6 & E 4.4.7) Is portable mobile bundling available? Bundling requirements are met for the storage quantises. Bunds are free from damage.

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• Q49 (OHS 4.4.6) Are fuel dispensing areas sealed ( no exposed soil) and bunded

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• Q50 (OHS 4.4.6) Does fuel cell have impact protection? E.g bollards and does the nozzle have the auto lock disconnected?

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• Q51 (OHS 4.4.6) Does fuel cell measurement / calibration documentation for fuel meter.

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• Q52 (E 4.4.7) Observation, is there evidence of fuel spillage around refuel area? Include multiple small spill stains

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• Q53 (OHS 4.4.6) Have disused underground storage tanks been properly decommissioned? Tanks removed, have validation Certs, regulatory notifications on file.

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• Q54 (OHS 4.4.6) What evidence of used oil filter storage and disposal is present in branch

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• Q55 (OHS 4.4.6 & E 4.4.6) Storm water drains are free and clear of any sediment build up or rainbow trails

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• Q56 (OHS 4.4.6 & E 4.4.7) Can you find any I appropriately stored labelled DG'S and or hazardous substances? List 5 chemicals found.

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Info safe / MSDS

• Q57 (OHS 4.4.6) Hazardous substance register and risk assessments are current and are available to staff. Training has been completed on the hazardous substances.

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• Q58 (OHS 4.4.6 & E 4.4.7) Site MSDS on Info Safe are current. I.e products not used removed, new products entered.

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• Q59 (OHS 4.4.6) Staff are trained on how to access MSDS

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• Q60 (OHS 4.4.6) Do all hazardous substances and DG's have corresponding MSDS

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Risk Documents

• Q61 (OHS 4.3.1) Can employees demonstrate hazard and risk assessment procedure/document for work tasks and activities, work areas and equipment?

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• Q62 (OHS 4.3.4) Coates Hire strategic health, safety and environment plan is available

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• Q63 (OHS 4.3.4) Is there a current hazard and risk register? E.g. Chemical, physical, biological, ergonomic, psychological.

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• Q64 (OHS 4.4.6) From the hazard and risk register, have the hazard and risk assessments been conducted?

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• Q65 (OHS 4.4.6) Review the hazard and risk assessments developed for the task, work area, or equipment ensuring that all of the hazards have been identified and the control measures implemented and signed off by manager.

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• Q66 (OHS 4.4.6) Manual handling is included in hazard risk register?

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• Q67 (OHS 4.4.6) Is a confined space identified in risk register?

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• Q68 (OHS 4.3.1) Can employees demonstrate knowledge of JSEA procedure, When why, Where. Verbal answer.

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• Q69 ( OHS 4.4.6) JSEA, SWMS are reviewed by the manager for effectiveness and compliance (3 month history to be maintained)

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• Q70 (OHS 4.4.6) Strategies are in place to aid workers in there conditions. I.e fluid up keep, PPE protection, sunscreen, hats, thermal clothing, rest periods.

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• Q71 (OHS 4.4.6) Employees are monitored in extreme conditions ensuring their safety and well being are maintained. (Check)

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• Q72 (OHS 4.4.3.1) Branch/site health and safety rep appointed and trained

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• Q73 (OHS 4.4.2) Health and safety rep has completed training course.

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Training, LMS, Licensing

• Q74 (OHS 4.4.2) All employees have completed company induction?

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• Q75 (OHS 4.4.7, 4.4.2) Staff delegated to be wardens have training and competency checks and updates wardens identified.

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• Q76 (OHS 4.4.6) Employees have completed Coates Hire manual handling training modules to date.

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• Q77 (OHS 4.4.2) Quality: staff performing work as per PD's staff inducted, performance reviews carried out and training needs addressed and reviewed.

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• Q78 (OHS 4.4.6) Have the drivers watched the DVD do you have a sign off for this.

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• Q79 (OHS 4.4.6) Staff are appropriately trained in the use and maintenance of PPE

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• Q80 (OHS 4.3.1) Branch can identify current compliant contractors I.e. via contractor management

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• Q81 (OHS 4.4.2) Branch site specific induction has been completed and recorded

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• Q82 (OHS 4.4.6 & 4.4.2) All persons must be authorised to drive Coates hire vehicles or trucks. Employees have relevant licenses to perform tasks e.g. Drivers license, license to perform high risk work.

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• Q83 (OHS 4.4.6) All persons hold correct licenses to operate vehicles / trucks. Remember to check HIAB if over 10t meters

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Emergency management

• Q84. (OHS 4.4.6) Training matrix identifying currency of training. First aid kit checklist to be available in site office, first wider identified.

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• Q85 (OHS 4.4.7) Emergency contact numbers available to all employees (ie dial 000) + other emergency service providers

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• Q86 (OHS 4.4.7) View site plans that include evacuation exits 1st aid kits, fire extinguishers, & chemical/DG storage (evac plans)

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• Q87 (OHS 4.4.7, & E 4.4.7) Documentation of emergency management plans, including any site specific requirements, e.g. EPIRB 's. register of first aid kits. Register of fire extinguishers.

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• Q88 (OHS 4.4.7) Are workers aware of location of evacuation procedure and muster points and are signs in good condition.?

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• Q89 (OHS 4.4.7) Documented emergency drills, document of emergency response discussion at toolbox meeting.

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Traffic management

• Q90 (OHS 4.4.6) The branch has a documented traffic management plan ?

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• Q91 (OHS 4.4.6) The traffic management risk assessment is available and has been reviewed annually

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• Q92 (OHS 4.4.6) The traffic management plan has been implemented, monitored and reviewed for effectiveness.

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• Q93 (OHS 4.4.6) Is traffic following the plan? Are loads restrained? Ae winches being used during the loading of mobile plant? Are all load restrained with ratchet type binders

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Height Safety

• Q94 (OHS 4.4.6) Work areas above 2m where employees/contractors can access has edge protection e.g. Mezzanine floors.

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• Q95 (OHS 4.4.6) Own use fall arrest equipment has been inspected for serviceability (apply silver service inspection and tagging protocol.

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• Q96 (OHS 4.4.6) Own use height safety equipment eg fixed static lines, have been annually inspected and documentation to support e.g. Compliance plate

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PPE

• Q97 (OHS 4.4.6) Adequate manual handling aids are available at the site/branch e.g. Forklifts trolleys, crane, tow motor.

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• Q98 (OHS 4.4.6) Observe own PPE being used

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• Q99 (OHS 4.4.6) Site has the required PPE to perform task, ie. gloves, glasses, face shield, hearing protection, hi vis clothing, footwear, breathing apparatus, dust masks, head protection, helmets, sun hats.

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Office Checks / Sales Coordinator

• Q100 (Q 5.5.1, 5.5.2 & E 4.4.1B) Is there an organisational chart? Confirm that a copy of the organisational for the branch network linking it to BU operations is available at the branch. Select a sample of branch staff. Ask each member of staff is aware of who their direct manager is.

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• Q101 (Q 5.5.1, 5.5.2 & E 4.4.1A) Are roles, responsibilities and authorities defined communicated to staff?

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• Q102 (Q 7.5.2) Is there any process affecting the product or service Coates Hire provides, that Cannot be confirmed or measured to verify that customer requirements both internal and external are being meet and identified?

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• Q103 (Q 7.2.3) Customer feedback process. Check if staff are aware of the procedure ? How did they handle it? What was the corrective action? What was the preventative action?

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• Q104 (OHS 4.4.3.1) Notice board - display of up to date information on site safety issues, minutes of meetings, industry safety alerts, inspection and audit outcomes.

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• Q105 (OHS 4.4.3.1) OHS issue resolution - procedure available to staff, flow chart to be displayed.

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• Q106 (Q 5.1A) Confirm latest version of the quality manual is displayed at the branch.

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• Q107 (Q 5.1, 5.3 & E 4.2) Are copies on notice boards, toolbox meetings records, included in induction. Check displayed policies

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• Q108 (OHS 4.2) Is the Workcover watching out for you poster displayed

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• Q109 (OHS 4.4.5) Are documents of extant origin necessary for planning ( license, permits, correspondence etc) identified and appropriately controlled?

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• Q110 (Q 8.2.1) Have any new lost sales reasons been notified to sales and marketing so that they can add it into Baseplan

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• Q111 (OHS 4.4.1.2) Confirm that a copy of the organisational chart for the branch network linking it to BU operations is available at the branch. Select a sample of branch staff. Ask each member of staffis aware of their direct manager, and their direct manager is?

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• Q112 (OHS 4.1) Can employees locate the overview procedure on the intranet

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• Q113 (OHS 4.1) Can employees provide at least 2 examples of related procedure they are using?

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Targets and Objectives

• Q114 (Q 5,4,1) What is the Coates overall objective/goal and what is the time frame

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• Q115 (Q 5.4.1) What are your current quality objectives? Locate in manual or policy

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• Q116 (OHS 4.4.3) Do you have BU HSE targets and objectives? Have they been communicated to all staff

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• Q117 (OHS 4.3.3) The branch has established targets - 0 LIT's, 0 SDI, MTI, 0 FAT's

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• Q118 (OHS 4.3.3) Branch targets - branch target safety conversations taking place, near miss or hazard reported? (Check compliance report)

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• Q119 (OHS 4.3.3) Ask to see 2x months per start sign offs score 4 100% score 3 80-99% score 2 60-79% score 1 less than 60%

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• Agreed Date / B-Safe #

• Q120 (OHS 4.4.6) Log books for vehicles are maintained and up to date?

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• Q121 (OHS 4.3.2 & E4.3.2) Is there access to the state and territory legislation, codes of practice, and guidance notes. Why and when do you need to look here.

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Various

• Q122 (OHS 4.4.6) Field service employees have travel plans in place, ie planned accommodation, hours of driving, rest stops, communications.

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• Agreed Date / B-Safe #

• Q123 (OHS 4.4.6) Travel plans documented

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• Agreed Date / B-Safe #

• Q124 (OHS 4.4.6) Checks are performed through Kronos to ensure field service and mine based employees are working within their fostered hours. E.g 14 hrs

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• Agreed Date / B-Safe #

• Q124 (OHS 4.4.6) Lone workers have assigned communication points or persons - regular contact made

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• Agreed Date / B-Safe #

• Q125 (OHS 4.4.6 & E 4.5.4) Separators and discharge systems are regularly cleaned and serviced inline with trade waste conditions (view related documents or maintenance schedule)

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• Agreed Date / B-Safe #

• Q125 (OHS 4.4.5 & E 4.5.4) Does your branch have trade waste certificate? Required for all branches whose washbay waste water goes to the sewer.

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• Agreed Date / B-Safe #

• Q126 (OHS 4.4.6) Portaloo discharge waste stations are registered maintained and in line with health dept & water authority.

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• Agreed Date / B-Safe #

• Q127 (OHS 4.4.6) Have people with risk of contact with human effluent been vaccinated appropriately to minimise risk? ( documentation?)

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• Agreed Date / B-Safe #

• Q128 (Q 7.4.1) Have purchase orders been created correctly? Complete with description and price? Raised before the invoice has been received? Receipts on time after good or services have been received.? If rejected is this followed up and resolved

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• Agreed Date / B-Safe #

• Q129 (OHS 4.4.6) How do you know if mobile plant (road registered) is currently registered

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• Agreed Date / B-Safe #

• Q130 (E4.4.6) Do you have paper cardboard recycling bin available in your branch?

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• Agreed Date / B-Safe #

• Q131 (OHS 4.4.3.1) E-mail HSE communications- specific issues, HSE information, incidents/injury reviews are passed onto employees (safety alert sign off etc )

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• Agreed Date / B-Safe #

• Q132 (OHS 4.3.3 & E 4.4.3) Branch targets - branch / toolbox meetings per month

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• Agreed Date / B-Safe #

• Q133 (OHS 4.4.3.2) Branch meeting minutes reflect attendance by all employees.

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• Agreed Date / B-Safe #

• Q134 (OHS 4.4.3.1) Regular branch and site meetings conducted fortnightly or monthly look for sign off and responsibility allocation not frequency

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• Agreed Date / B-Safe #

• Q135 (Q 5.4.1, 5.4.2) Confirm business objectives, strategic plan have been communicated to the branch

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• Agreed Date / B-Safe #

• Q136 (OHS 4.2) Is there evidence that current policies have been communicated to employees and contractors

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• Q137 (Q5.2) Have each survey results been communicated to the branch? Confirm that each survey is available and results have been communicated to the branch manager

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• Agreed Date / B-Safe #

• Q138 (Q8.2.1) Is there latest customer loyalty report available? Sample two areas for improvement and its action plan.

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• Agreed Date / B-Safe #

Fire ant management.

• Q139 (OHS 4.4.6) Quarantine procedures and documents in place for equipment return from high risk areas.

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• Q140 (OHS 4.4.6) Weeds and seeds quarantine procedures are documented and in place for equipment to and from high risk areas.

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• Agreed Date / B-Safe #

• Q141 (OHS 4.4.6) All equipment returned from infected areas are cleaned and maintained in accordance with regulatory bodies.

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• Agreed Date / B-Safe #

• Q142 (OHS 4.4.6) Site has fire ant coordinator that records, documents and audits any findings

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• Agreed Date / B-Safe #

• Q143 (OHS 4.4.6) Corrective action are in place for detection of fire ant nests.

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• Agreed Date / B-Safe #

Specialist only

• Q144 (Q7.6) 1. Is applicable equipment identified and recorded for inspection / calibration at branch or BU? 2. Is the master list maintained and updated at branch or BU ? 3. Sample x2 equipment on site check the condition of equipment storing place, the validity of testing label, the record against the master list

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• Agreed Date / B-Safe #

• Q145 (Q 7.6) When calibrating in house records detailing the following records shall be kept and maintained: 1, a full description of the measurement processes implemented, including all elements ( e.g. Operators, any measuring equipment or check standards ) used and the relevant operating conditions,. 2. The relevant data obtained from measurement process controls. 3. The date on which calibration was carried out 4. The identification of any relevant verification documents 5. Identification of the person responsible for providing the information for the records 6. The competence ( required to achieve) of the personnel.

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• Agreed Date / B-Safe #

• Q146 (Q 7.6) Non conforming equipment is any suspected or known to have been damaged, have been overloaded, malfunctioned, in a way that may invalidate its intended use, produce incorrect measurement results, be out of calibration period, have been mishandled, have been damaged or broken seal or safe guard: 1. Is non conforming equipment segregated to prevent its continued use pending assessment e.g. Re-calibration, repair, or disposal? 2. Is non-conforming equipment tagged or labelled appropriately with its current calibration status e.g. Do not operate, under review, out of service, etc. 3, is non-conformance communicated to the supervising manager?

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• Agreed Date / B-Safe #

Comments

Sign Off & Acknowledgement

• Branch Manager

  Sign

• Area Manager

  Sign

• Auditor

  Sign