Internal Audit - Marsh

1. Risk Control Policy issued and displayed.

2. Responsibilities delegated in writing and available.

3. Risk control functions detailed in Job Description

4. Risk control meeting agenda at Management meetings.

5. Liaison with Emergency Services, in particular the Fire Services. (Copy of fire brigade report/occupancy certificate)

6. Have the relevant staff and management been trained in risk management awareness and responsibilities? Appointees retaining (3 yearly)

7. Is the Risk Control Officer able to find and demostrate knowlege of the group risk management standards/ guidelines.

8. Are monthly category audit conducted? (ie. one month fire, the other month security, then Health and Safety etc)

9. Provide copies of the catergory audit document, audit findings, action plan and completion report

10. Provide copies of the audit action plan and completion report following the last Marsh Risk Consulting Audit

11. Which risk recommendations require Capex, has an action plan been completed for these?

12. When Capex is required, what interim measures have been taken to reduce the exposures?

13. Are procedures in place for incident reporting? Verify

14. Provide a copy of the central Incident register where incidents/accidents are documented for action

15. Is corrective action recommended in each case and is it implemented?

16. Routing/Location of main services (Utilities) i.e. gas, water, steam and air

17. Colour coding (main supplies)

18. Service Buildings/Structures (2 hour fire resistance rating, all buildings complying with NBR, buildings in good state of repair)

19. Fuel oil (automatic cut-off facilities, excess flow valves, bulk oil storage facilities)

20. Compressors/Pressure Vessels (location, high temperature alarms, low oil levels alarms monitored)

21. Water supplies (audible/visual alarms to monitor flow interruption of cooling water)

22. Main gas (LPG & Sasol) (Conspicuous isolation valves, safe routing, SABS 0108 safe electrical equipment)

23. Steam/hot pipes (pipes > 150 oC lagged)

24. Battery charging facilities (no ignition sources, fume extraction, flameproof electrics)

25. Ventilation/Heating/Air conditioning (fire dampers in ducting, no open bar heaters)

26. Operational procedures (electrical and mechanical lock out procedures)

27. General distribution (reticulation plans, emergency generators)

28. Sub-station buildings (passive protection,statutory notices displayed, fire stopping)

29. HV Switchgear (All boards properly labelled, panels kept clean, switchgear fitted with overload trip circuits)

30. LV switchgear (Earth leakage protection, registers available and up-to-date)

31. Transformers (servicing, bunded, fire resistant compartments, tap changers - secured by padlock, no PCB's)

32. Have HT and transformer installations been inspected and certified by a competent person/authority?

33. Eart bonding tested and results on record.

34. Electrical installations general condition (exposed cables treated with fire retardant coating, cable racks kept clean)

35. Surge protection - computers/electronic equipment provided with surge protection?

36. Hazardous atmospheres - electrical installations, i.e. flame proofing

37. Housekeeping

38. Flammable liquids (storage)

39. Closedown procedures (scheduled)

40. Flammable liquids (handling)

41. Control of smoking

42. Permit to work (including hot work, zero potential i.r.o pressure, steam, heat, vacuum etc.)

43. Computor Fire protection (Mainframes)

44. Record storage

45. Plant maintenance (fire/security check list)

46. Hydraulic Systems

47. Oils, greases, paint (storage and handling)

48. Spray application of flammable materials

49. Warehouse and internal storage

50. Production area storage

51. Water damage

52. Laboratories (Approved flammable liquid containers, burner gas piped from external cylinders)

53. Outside storage (Safe storage, free of fire ignition sources, storage area an height complying) Driveways paved/concreted/tarred - in good state.

54. Lighting/Surge protection (building protection, IT and UPS power surge arrestors and LT circuit protection)

55. Service station driveways (flame proof electrics, control of smoking/naked flames, emergency cut-outs switch for fuel dispenser pumps)

56. Dust explosions (ignition sourcesa controlled, static electricity eliminated, equipment properly grounded, explosion relief vents installed)

57. Security considerations.

58. LPG Installations (bulk storage) Test of water spray system.

59. LPG discharge (bulk) and filling facilities (forklifts). Insturctions (for bonding) and decanting procedures posted at filling point?

60. Are tanks earthed, is bonding strap in place when filling, condition of earthing and bonding. Operator knowledge on use of bonding straps.

61. Has an MHI study been completed? If an MHI, is the site registered with local emergency services and the provincial director? All MHI recommendations implemented?

62. Storage areas, pipe reticulation, stop valves and locality of control instrumentation on site plan?

63. Routing of piping in well-ventilated, safe areas, not exposed to high-risk/fire ignition sources?

64. Regular checks for gas leaks at expansion joints, valve locations, etc by brush application of soapy water solution?

65. Pipeline reticulation properly supported via sturdy pipe brackets?

66. Safety info (ie. start up and shut down procedures) displayed at operational points?

67. Operators trained in safe operational procedures?

68. Are automatic purge cycles in place on start up and how often tested?

69. Are excess flow valves installed and tested annually with test results recorded?

70. Are gas detectors installed and if so, are they tested?

71. Are maintenance/servicing instructions in place and utilised?

72. Are records of maintenance and repair/service work on gas equipments kept?

73. Emergency shut-off valve(s) installeed inside plant within easy access and well sign-posted?

74. Is reticulation colour coded and valve locality demarcated/clearly indicated as such?

75. Are stop valves accessible?

76. Is a record of incidents maintained?

77. Equipment installed (e.g UV sensor or flame rod) to monitor burner flames and to cease gas release in absence of burner flames? Are these tested (six monthly intervals) with results recorded?

78. Has the entire gas reticulation system been certified by an accredited and registered inspection Authority, as a safe and approved system.

79. Storage complies?

80. Handling complies?

81. Operating conditions - safe and complying?

82. Fire team trained on gas leak detection and on what reaction to take in the event of a gas leak?

83. Fire team trained on dangers of gas fires, when it is safe and how to extinguish them?

84. Are emergency procedures available and have they been practiced?

85. Is the local fire department familiar with the gas installation on site?

86. Fire equipment appropriate and readily available?

87. Is first aid equipment available?

88. Fire officer/ Fire teams/ Fire marshals appointments / responsibilities.

89. Fire teams and fire marshal training.

90. Fire procedures (actions in the event of a fire drill)- available in the EP manual, and clearly displayed in all relevant areas

91. Automatic sprinkler system provided and maintained.

92. What steps have been taken where the system is partial, improperly installed or faulty ie. stacking, fire equipment, training, procedures and records?

93. Fire alarms and detection systems

94. Hydrant systems and water supplies

95. Hand fire appliances (inspected monthly)

96. Hose reel systems (hose reels included in a register and monthly inspections and annual service is conducted)

97. Fire Doors (Serviced and inspected monthly)

98. Fire escape routes are provided from all areas of the plant.

99. Signage must be provided to indicate the location of the hydrant booster connection at the front of the premises. Signage must be provided indicating the location of manual call points.

100. Is there a formalised preventative maintenance monitoring programme in place?

101. Critical plant identified with list available.

102. Availability of spares established and critical spares available on site?

103. Planned and unplanned downtime monitored and costed.

104. Machines and equipment free from oil leaks?

105. Six monthly vibration probe/ultra sonic monitorings checks done on main bearings of critical high speed rotating equipment etc?

106. Infra -Red inspections done annually on HT and LT systems.

107. Are action plans following infra-red inspections prepared and followed through?

108. Are transformer, HT and OCB oils sent for sampling and at what frequency?

109. Has the entire plant been subjected to an electrical reticulation survey during the past 12 months with results recorded?

110. Submit proof of up-do-date certificate of compliance for electrical reticulation on the entire premises.

111. Are earthing systems tested annually?

112. Any conversation, plans (ie. electric power factor correction, water, compressed air, steam etc.)plans in place? (must be measurable)

113. Detailed monthly breakdown kept of volumes and water,gas, compressed air, efffluent, refuse removal etc.

114. Security organisation

115. Security staffing

116. Arrest, search and use of force.

117. Access control procedures

118. Identity cards.

119. Employee vetting.

120. Firearms

121. Security records/ reporting.

122. Safes, strong rooms and record rooms.

123. Perimeter protection.

124. Security lighting

125. Building security - physical

126. Inruder alarm system.

127. Communications

128. Office security.

129. Cash handling/cheques/credit card handling.

130. Wages procedure.

131. Casual wages, make up, authorizations/pay out.

132. Protection of documents.

133. Is an up to date asset register available on site and who has authority to make changes?

134. Order book control.

135. Goods ordering system - authorities and payment thereof

136. Are suitable receiving procedures in place?

137. Are suitable procedures in place for the handling and accounting of returns?

139. Are all credit notes authorised? Are these audited on a regular base?

140. Suitable controls in place for the despatch of items? Are these seperate from receiving?

141. Are POD's scrutinised?

142. Time and attendance procedure

143. Is there a formal reconcilliation of data capture by line management/supervision?

144. Fidelity guarantee. Collusion and conspiracy

145. Computor security

146. Key control

147. Cash in transit

148. Emergency controller and emergency committee members appointed in writing with signed acceptance and provided with detailed job descriptions. Media spokesperson appointed.

149. Site plans A and B compiled, with site plan A displayed on notice boards. Both site plans to be available in the EEP box.

150. Vital installations, services and vulnerable areas identified and the location thereof indicated on site plan A and B. Additional protective measures planned and recorded to meet the various emergency situations. Emergency shut-down procedures documented for the plant.

151. Emergency control centre (ECC) and equipment established to suit needs of the operation.

152. Emergency personnel appointd in writing with signed acceptance, training, etc. Emergency duty questionnaire and addendum to contract of employment completed.

153. Emergency communication i.e emergency telephone numbers and communication equipment available, liaison with local authority and neighbours/the media.

154. Evacuation procedures drawn up, communicated to all staff and tested at least twice per annum.

155. Fire procedures drawn up, communicated to all staff and drills held at least twice per annum.

156. Strikes/riots/civil unrest

157. Bomb treats/ unexpected explosions

158. Salage/ Recovery

159. Post emergency analysis i.e recording of information, investigations, reporting serious situations, etc.

160. Emergency planning progress checklist compiled to establish the possible shortcomings of the emergency planning on site. Matrix system ustilised.

161. Emergency planning manual available, up to dte and contains all emergncy planning documents, procedures and plans. Copies held by the emergency committee members and a copy available at the ECC.

162. First aid and fire fighting

163. Emergency evacuation procedures

164. Emergency management techniques

165. Adress of premises

166. Nature of activities

167. Number of office/factory staff any one time

168. Location and contents of ECC

169. Fire and emergency evacuation alarms

170. Contact details of EP committee members

171. History of incidents on premises

172. Important features/landmarks with the location of premises

173. Key info of adjacent premises

174. Hazardous products/process location

175. Any socia-economics/other threats and potential impact of same

176. Location of fire fighting equipment

177. First aid equipment

178. Emergency doors

179. Emergency assembly areas

180. Entrance/exit gates on premises.

181. Updated register of emergency evacuation plan.

182. Drill register of emergency evacuation plan

183. Fire procedures

184. Emergency shut-down procedures

185. Emergency evacuation procedure

186. A bomb threat questionaire.

187. EEP Box provided near main enterance containing the Emergency Evacuation Plan, properly locked, painted in orange and to read EEP.

188. MSDS Box provided near main enterance containing copy of site MSDS, properly locked, painted day-glow orange and marked in black capital letters to read ''MSDS'' box.

189. Motor Fleet risk control policy - Policy statement accident frequency and severity ratios, incident cost analysis.

190. Motor fleet co-ordinator - duties communicated legal and statutory provisions known.

191. Road transport quality systems - Operator discs displayed on vehicles, appointments, responsibilities delegated.

192. Driving licenses - Valid Prof. drivers licenses held, drivers licences correctly updated, drivers licences examined/copied, AARTO implemented.

193. Transport permits and cross border transport - Company owned vehicles - roadworthy certificates, valid cross border permits in use.

194. Driver Selection - Vetting undertaken as per standards, medical considerations covered, driving test undertakeen for: Company drivers, Company and allowance cars.

194. Driver Selection - Vetting undertaken as per standards, medical considerations covered, driving test undertaken for: Company drivers,Company and allowance cars.

195. Driver Training - Heavy vehicle re-training, advanced driver training, driver motivation projects, standing instructions issued.

196. Vehicle equipment/maintenance/safety - vehicle equipment and roadworthiness in order. Recently appraised. Vehicle maintenance planned and recorded, company workshop administration well controlled. Defect reporting system in place, safety equipment assessed and issued, reversing equipment provided.

197. Freight - General hazard, substances/extra heavy loads/dangerous substances.

198. Fire - Fire extinguishers issued to all vehicles, Drivers trained in use of FE parking lots equipped with FE.

199. Security - Vehicle security appropriate to vehicle value, fuel issue procedures, fuel installation protection.

200. Accident Procedures - Accident procedures issued, Motor accident report form issued, do's and don'ts for drivers issued. Incident investigation report recorded and kept?

201. Fleet Administration - Trip planning undertaken, MFC Management of Goods Vehicle, Management of Pools Cars, Tachograph or electronic/satelite vehicle monitoring facilities in use if applicable. Cost controls per standard implemented.

202. Vehicle hijack prevention management assessment of exposures under took, action before the event known & practised by Management and driver?

203. Are exhaust systems of diesel and petrol operated forklift trucks equipped with spark arrestors?

204. Have all forklift drivers beed medically examined every two years?

205. Have all forklift drivers undergone an accredited training course, and are they re-assessed every two years thereafter?

206. Do all forklift drivers carry their certificates of competence at all times?

207. In large organisations with many forklift drivers, has an internal driving licence been considered, designed to incorporate merit/demerit points for good/poor and reckless driving practices?

208. Where forklifts are driven on public roads, have the vehicles been registered and licensed, and are those drivers in possesion of valid driving licences?

209. Has each forklift truck got its individual ignition immobiliser key, securely locked away when not in use?

210. Are forklift trucks prominently and individually numbered, so as to be noticed from a distance?

211. Are any special safty devices fitted to forklifts?

212. Are passangers strictly prohibited to ride on forklift trucks?

213. Where forklift trucks are used as an elevated working platform, is a special safety cage approved by the department of labour in compliance with Regulation 6 of the GSR utilised?

214. Has each forklift truck been provided with its own logbook and daily checklist, covering basic maintenance and safety features, completed by the responsible driver on each shift?

215. Are required statutory inspections and load testing conducted?

216. Have convex mirrors been installed at blind corners and inter-sections?

217. Wherever possible, is traffic flow designed for a one-way operation?

218. Are special precautions taken in areas where there are obstructions, pipes, cables, beams, etc?

219. In the case of battery operated forklift trucks, do battery charging bays comply with the necessary safety regulations?

220. Are daily forklift checklists completed and verified by the responsible person?

221. Does the cylinder filling of LP gas operated forklift trucks comply with the applicable standards?

222. Have speed limits been imposed for forklifts, trucks, and are they being adhered to?

223. Where applicable, have all forklift drivers been trained and appointed in terms of the safe stacking operations?

224. What procedures are in place to deal with forklift incidents?