Internal Audit Record of Attendance - Port Terminals

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

PART A. Validation of general terminal management to include customer related processes, contractor management, internal and external communications (records and other documents will need to be sighted)

• A1. Have all port staff completed the mandatory safety induction.

  Yes

  No

  N/A

• A2. Have all port staff completed a site specific induction - to include any reference to latest "Safety Alerts"

  Yes

  No

  N/A

• A3. Is the port operations manual / CA manual or other instructive documentation current.

  Yes

  No

  N/A

• A4. Are there any current lease agreements related to this terminal I.E land leases / sheds / silos (review lease currency)

  Yes

  No

  N/A

• A5. Does the physical stock sheet / board reflect accurate accounting stock (check and compare stock reports)

  Yes

  No

  N/A

• A6. Are corporate and other internal communications received and distributed to all port staff.

  Yes

  No

  N/A

• A7. Are all external contractors managed on site as required.

  Yes

  No

  N/A

• * have all external contractors reported to site management. Have work orders been sighted and agreed.

  Yes

  No

  N/A

• * have all external contractors completed the safety induction and site induction.

  Yes

  No

  N/A

• * do all external contractors including bunker contractors have the required PPE.

  Yes

  No

  N/A

• * have all external contractors been briefed on environmental obligations whilst on site (spills, waste, etc)

  Yes

  No

  N/A

PART B. Verification and review of records, reports and other documentation, communications and sign off. ( training records)

• B1. Does the maintenance request accurately describe the work or repairs required.

  Yes

  No

  N/A

• B2. Has the machine operators report been completed correctly (also check this report book as on the machine)

  Yes

  No

  N/A

• B.3 Are toolbox talks carried out regularly and completed as expected (Form GC 141/2/ 9sept10)

  Yes

  No

  N/A

• B4. Are safety consultative minutes available providing evidence of closed out action items.

  Yes

  No

  N/A

• B5. Have CPARS been actioned.

  Yes

  No

  N/A

• B6. Have PFR's been raised (within the last month) actioned and closed out.

  Yes

  No

  N/A

• B7. Has the rail safe permit been completed for all rail unloading activities (Form GC 594/ v / 0 / 5 Feb 09)

  Yes

  No

  N/A

• B8. Has the bunker storage inspection form been completed as required (GC 442 / v / 0 / 3 June 08)

  Yes

  No

  N/A

• B9. Has the fumigation activities record been completed correctly (GC 106 / v 3 / 5 may 08)

  Yes

  No

  N/A

• B10. Are fumigation clearance certificates completed and correct (GC 107 / v 6 / 2 April 08)

  Yes

  No

  N/A

• B11. Are daily pesticide mixture prepared work sheets completed correctly (GC 010 / v 6 / 6 may 08)

  Yes

  No

  N/A

• B12. Are regular hygiene reports completed with actions followed up completed and signed off.

  Safe

  At Risk

  N/A

• B13. Are bird control services and records completed.

  Yes

  No

  N/A

• B14. Are rodent control records available and completed.

  Yes

  No

  N/A

• B15. Has the port environmental checklist been completed at regular intervals.

  Yes

  No

  N/A

• B16. Have any noticeable environmental issues been actioned (from the checklist)

  Yes

  No

  N/A

• B17. Has this port terminal received any recent environmental complaints from external parties.

  Yes

  No

  N/A

• B18. Has this port terminal had an external environmental audit within the last 12 months.

  Yes

  No

  N/A

• B19. Have actions from internal and or external audits been auctioned and signed off (EPA, QMS, AQIS, NCSI, etc)

  Yes

  No

  N/A

• B20. Has there been any incident reports raised.

  Yes

  No

  N/A

• B21. Has action been taken to address all issues raised as a result the incident report.

  Yes

  No

  N/A

• B22. Is all the equipment listed on the 'record of equipment calibration' within test date.

  Yes

  No

  N/A

• B23. Are training records available to include (safety, rail, ship loader, learning@GrainCorp etc) Chain of Responsibility.

  Yes

  No

  N/A

• B24. Do machine operators hold certificates / licence or under logbook supervision.

  Yes

  No

  N/A

PART C: Review ships file / processes and documentation to include correct sign off by the responsible person / persons. ( review last three vessels)

• # is this an approved arrangement terminal or AQIS monitored.

  Yes

  No

  N/A

• C1. Is the approved arrangement - Ex Register form 611 / v / 0 completed correctly.

  Yes

  No

  N/A

• C2. Is the approved arrangement - Phytosanitary certificate register complete.

  Yes

  No

  N/A

• C3. Is the approved arrangement pre - shipping checklist complete.

  Yes

  No

  N/A

• C4. Is the pre - shipment hygiene checklist complete.

  Yes

  No

  N/A

• C5. Is the authority to load complete (GC709 / v5 / 15 jan 10)

  Yes

  No

  N/A

• C6. Is the authority to load - multiple parcel complete (GC712 / v4 / 15 jan 10)

  Yes

  No

  N/A

• C7. Has the blending report been completed and verified (form 679 / v 0)

  Yes

  No

  N/A

• C8. Does the file contain the NRS Report (National Residue Survey)

  Yes

  No

  N/A

• C9. Is there a certificate of weight and quality.

  Yes

  No

  N/A

• C10. Is the loading plan complete and agreed.

  Yes

  No

  N/A

• C11. Does the file contain the Proposed Bin Profile.

  Yes

  No

  N/A

• C12. Is the cargo aggregation sheet complete.

  Yes

  No

  N/A

• C13. Is the ship to shore safety checklist complete and signed off (form 648 / v0)

  Yes

  No

  N/A

• C14. Has the shipping analysis been completed (GC710 / v 5 / 1 April 11)

  Yes

  No

  N/A

• C15. Has the shipping analysis been completed (GC580 / v 0 / 12 Jan 2008)

  Yes

  No

  N/A

• C16. Has the statement of fact / vessel details been completed correctly.

  Yes

  No

  N/A

• C17. Is the record of inspection and testing complete.

  Yes

  No

  N/A

• C18. Has the vessel loading log been completed and correct.

  Yes

  No

  N/A

• C19. Has the Wood chip loading log been completed.

  Yes

  No

  N/A

• C20. Has the wood chip summary sheet been completed.

  Yes

  No

  N/A

PART D: Review documentation and process for container packing ( review files for last three export destinations)

• D1. Is the export clearance declaration ( EX28 or EX 222) complete.

  Yes

  No

  N/A

• D2. Has the declaration of inspection of empty shipping containers been completed.

  Yes

  No

  N/A

• D3. Has the notice of intention to export been completed.

  Yes

  No

  N/A

• D4. Has the grain inspection worksheet been completed.

  Yes

  No

  N/A

• D5. Has the Phytosanitary information been confirmed and completed.

  Yes

  No

  N/A

• D6. Has the work register / checklist been completed.

  Yes

  No

  N/A

• D7. Are the container shipping and packing instructions agreed and signed off? (GC 681 / v0 / 2 April 09)

  Yes

  No

  N/A

• D8 does the communication log contain all client correspondence.

  Yes

  No

  N/A

• D9. Has flow path screening been completed.

  Yes

  No

  N/A

• D10. Is the record of inspection and testing been fully completed.

  Yes

  No

  N/A

• D11. Is there any additional customer or AQIS documentation for the file.

  Yes

  No

  N/A

• D12. Is there a RFP ( request for permit ) or PIG?<br>

  Yes

  No

  N/A

PART E: Control Room

• E1. Is there a control room diary or control room log ( any ship notations - other)

  Yes

  No

  N/A

• E2. Is there documented control room action using (form GC614 / v0 / march 09)

  Yes

  No

  N/A

• E3. Is there a daily summary of receivables completed (GC 582 / v0 / 13 jan 09)

  Yes

  No

  N/A

• E4. Has a blending report been authorised and completed (form 678 / v0)

  Yes

  No

  N/A

• E5. Has a grading worksheet been completed (form 616)

  Yes

  No

  N/A

• E6. Has a loading / discharge sequence summary form been completed.

  Yes

  No

  N/A

• E7. Has the MR - vessel outload / in load sheet been completed.

  Yes

  No

  N/A

PART F: Review laboratory and testing processes.

• F1. Has the composite bin defect sheet been completed. (Queensland)

  Yes

  No

  N/A

• F2. Has the shipping analysis report been completed and communicated (GC710 / v5 / april 2011)

  Yes

  No

  N/A

• F3. Has the shipping analysis been completed (GC 580 / v 0 / 12 jan 08)

  Yes

  No

  N/A

• F4. Are all instrument calibrations within date.

  Yes

  No

  N/A

• F5. Have all hatch sample reports been completed and communicated.

  Yes

  No

  N/A

• F6. Does the laboratory have all latest commodity charts and reference materials.

  Yes

  No

  N/A

• F7. Have the latest PFR's been auctioned (PFR's within last 3 months)

  Yes

  No

  N/A

PART G: This section relates to the terminal walk-around inspection and review of on site activity.

• G1. Are roadways and traffic areas clear and un obstructed.

  Yes

  No

  N/A

• G2. Are all areas around the storage and administration area clean and uncluttered.

  Yes

  No

  N/A

• G3. Is the weigh bridge platform clean and free of dust and other rubbish build up.

  Yes

  No

  N/A

• G4. Are the weigh bridge approached level and compliant for the weighing purposes.

  Yes

  No

  N/A

• G5. Is there a current vehicle identification chart available for the weighed as reference.

  Yes

  No

  N/A

• G6. Does the weigher have a good knowledge of mass limits on road vehicles for both intake and out turn.

  Yes

  No

  N/A

• G7. Has the weigher been provided with Chain of Responsibility information (been trained in COR)

  Yes

  No

  N/A

PART H. Verify compliance to all bunker requirements for both intake and outload.

• H1. Is the bunker covered.

  Yes

  No

  N/A

• H2. Are the covers secure.

  Yes

  No

  N/A

• H3. Are all seams sealed and water tight as required.

  Yes

  No

  N/A

• H4. Is there any noticeable water ingress or other issue that could affect the quality of the commodity being stored.

  Yes

  No

  N/A

Site Environmental Review.

• 1. Are external contractors compliant with site requirements (no old tyres, no oil changes on site, control of other fluids)

  Yes

  No

  N/A

• 2. Are elements such as dust and noise controlled.

  Yes

  No

  N/A

• 3. Are fuel tanks bundled and protected from impact.

  Yes

  No

  N/A

• 4. Are fuel hoses and pipes in good condition.

  Yes

  No

  N/A

• 5. Is there evidence of any fuel leaks, oil leaks or chemical spills.

  Yes

  No

  N/A

• 6. Are there adequate spill kits available in vulnerable areas.

  Yes

  No

  N/A

• 7. Is there any build up of waste plastic on site (bunker cover waste)

  Yes

  No

  N/A

• 8. Is the disposal of waste grain and dust compliant to environmental waste management guidelines.

  Yes

  No

  N/A

• 9. Is the storm water run off controlled so as not to cause excessive ground erosion or excessive pounding.

  Yes

  No

  N/A

• 10. Is there secondary containment or silt traps in the storm water catchment.

  Yes

  No

  N/A

• 11. Are the storm water drains cleaned regularly.

  Yes

  No

  N/A

• 12. Is there trackable waste on site: old tyres,waste oils, lead based paints, asbestos,water/ oil mix, volumes of PVC.

  Yes

  No

  N/A

• 13. Have there been any environmental improvement plans developed for this terminal.

  Yes

  No

  N/A

Site safety compliance to include all safety reporting and completion of mandatory forms and permits.

• # is the site safety notice board compliant with current document.

  Yes

  No

  N/A

• # Heath and Policy Statement

  Yes

  No

  N/A

• # Rehabilitation Policy Statement

  Yes

  No

  N/A

• # Drug and Alcohol Policy Statement

  Yes

  No

  N/A

• # incident Reporting Flowchart

  Yes

  No

  N/A

• # Initial Verbal Escalation Chart

  Yes

  No

  N/A

• # Safety Alerts ( 3 month on board)

  Yes

  No

  N/A

• # who represents you poster

  Yes

  No

  N/A

• # What to do if you are injured at work - poster

  Yes

  No

  N/A

• # Have the latest Safety Alerts been signed off.

  Yes

  No

  N/A

• # is the gas monitor withincalibrationdate

  Yes

  No

  N/A

• # Is the first aid kit stocked

  Yes

  No

  N/A

AUDIT CLOSE OUT.

• ACTIONS:

  Yes

  No

  N/A