Vehicle and Traffic Safety Compliance Audit v1

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

3.0 Scope

3.0.1

• Ask staff and contractors if this FPE applies to all mobile equipment and vehicles or are there exceptions.

  Yes

  No

  N/A

• Ask contractors if this FPE is included in their contract. Check their understanding of requirements.

  Yes

  No

  N/A

3.0.2

• Ask drivers, operators if the requirements of this FPE apply to them. If yes check their understanding.

  Yes

  No

  N/A

• Ask operators of vehicles used outside if this FPE applies to their operations. Observe the condition of their vehicles. Ask to see inspection checklists.

  Yes

  No

  N/A

4.0 Accountability

• Ask for the people who have been formally appointed to be available for the audit.

  Yes

  No

  N/A

• Are they aware of their appointment

  Yes

  No

  N/A

• Are they able to explain and show the auditors how the requirements they are accountable for are implemented and maintained?<br>

  Yes

  No

  N/A

4.1 Hazard identification risk assessment and control

4.1.1

• Check the list of vehicles on the risk assessment with the vehicles currently on site.<br>

  Yes

  No

  N/A

• Verify that all operational areas have been assessed.<br>

  Yes

  No

  N/A

4.1.2

• Verify that vehicles/mobile equipment used on site are compliant with local regulations.

  Yes

  No

  N/A

• Observe traffic at different locations and evaluate if compliance has been achieved in practice.

  Yes

  No

  N/A

• Observe pedestrian and vehicle interactions. Are they compliant?

  Yes

  No

  N/A

• Ask how the general operating requirements are enforced.

  Yes

  No

  N/A

• Ask drivers/operators their understanding of the general operating requirements.

  Yes

  No

  N/A

• Ask to see any incident reports on breaches of the general operating requirements.

  Yes

  No

  N/A

4.1.3

• Ask to be taken to equipment requiring high skill.<br>

  Yes

  No

  N/A

• Ask the operator what procedures must the follow.

  Yes

  No

  N/A

• Ask where the procedures are located, are they accessible to all relevant parties?

  Yes

  No

  N/A

• Ask the operator what tests they had to pass in order to operate the equipment in this area.

  Yes

  No

  N/A

• Ask any helpers/spotters about the requirements of this FPE.

  Yes

  No

  N/A

• Ask operators of vehicles used for emergency response purpose what if any special training or procedures they have received.

  Yes

  No

  N/A

• Ask to see weighbridge certificates for a number of trucks. Validate compliance with acceptable load limits

  Yes

  No

  N/A

4.2 Selection, Training, Competency and Authorisation

4.2.1

• Ask how is medical fitness verified, specific emphasis on aspects of fitness which may inhibit the safe operation i.e. vision.

  Yes

  No

  N/A

• Ask drivers/operators what licenses they require to operate vehicles/equipment.

  Yes

  No

  N/A

• Identify requirements for a number of types of vehicles and test compliance in the field.

  Yes

  No

  N/A

• Sight driver and operators licences.

  Yes

  No

  N/A

• Ask drivers and operators when they were last assessed.<br>

  Yes

  No

  N/A

4.2.2

• Speak to personnel who are identified as trainers. Ask them to explain the process they went thorough to become authorized trainers<br>

  Yes

  No

  N/A

• Ask trainers what experience they have in operating the equipment they train on. Does the level of experience match requirements?

  Yes

  No

  N/A

4.2.3

• Ask personnel authorised to performing maintenance activities on brakes, steering, suspension what competency requirements they had to meet to be authorised to do this work. Does this match the element requirements?<br>

  Yes

  No

  N/A

• Observe personnel performing work on steering, brakes and suspension if possible; ask these people what qualification they have to perform the task.

  Yes

  No

  N/A

4.2.3

• Ask operators how safe operating techniques are reinforced.

  Yes

  No

  N/A

• Ask operators to conduct a pre-operation inspection correctly.

  Yes

  No

  N/A

• Ask operators to explain what they are required to do when their equipment breaks down.<br>

  Yes

  No

  N/A

• Select a number of different pieces of mobile equipment and ask operators to describe the limitations of the equipment.

  Yes

  No

  N/A

• Observe the equipment operating for compliance and demonstrated operator skill.

  Yes

  No

  N/A

4.2.4

• Observe operator practice in hazardous and or restricted areas. Does it match requirements

  Yes

  No

  N/A

• Ask a selected number of drivers/operators for their understanding of fatigue management.

  Yes

  No

  N/A

4.2.5

• Observe assistants/spotters in the field. Do they know and use the standard hand signals? Ask them to demonstrate

  Yes

  No

  N/A

• Are they wearing high visibility clothing?

  Yes

  No

  N/A

• Are they able to describe the vision limitations of the equipment they are helping/spotting?

  Yes

  No

  N/A

4.2.6

• Ask operators to produce licences/authorization for the equipment they are operating.

  Yes

  No

  N/A

4.2.7

• Select a number of drivers/operators from different areas and ask to see their records.

  Yes

  No

  N/A

• Are the records up to date? Can they be found?

  Yes

  No

  N/A

4.2.8

• Ask personnel who have completed the general induction if this FPE was covered in the induction and what if anything they can recall.

  Yes

  No

  N/A

4.3 Communication and awareness

4.3.1

• Ask both supervision and operators how are awareness and/or instruction activities managed? Evaluate if it is effective.

  Yes

  No

  N/A

• Are topics relating to the operation of vehicles and mobile equipment included in safety meetings / toolbox talks? Are drivers/operators able to recall these?<br>

  Yes

  No

  N/A

• Ask personnel if they are provided with adequate instructions prior to commencing tasks?

  Yes

  No

  N/A

• Do personnel have a level of awareness of risks relative to their exposure / role I.e. fatigue issues?

  Yes

  No

  N/A

4.3.2

• Verify in the field a documented change.<br>

  Yes

  No

  N/A

• Ask personnel if they are informed of changes to vehicles and mobile equipment, operational requirements, or road traffic rules.<br>

  Yes

  No

  N/A

4.4 Design, Purchase, Fabrication, Installation and Commissioning

4.4.1

• Are design, construction and maintenance personnel aware of the road design specifications?

  Yes

  No

  N/A

• Does the overall condition of roads and intersections indicate that road design specifications are being adhered to?<br>

  Yes

  No

  N/A

• Is the road adequate for the traffic volume?

  Yes

  No

  N/A

• Is there adequate separation of vehicles and people

  Yes

  No

  N/A

• Are roads free draining

  Yes

  No

  N/A

• Are mandatory and advisory traffic control signs in place?

  Yes

  No

  N/A

• Are traffic signs in good condition and visible at a distance?

  Yes

  No

  N/A

• Are the traffic signs being obeyed?

  Yes

  No

  N/A

• Are parking areas clearly indicated and set out as specified?

  Yes

  No

  N/A

4.4.2

• Does the layout separate people and vehicles as much as is practicable?

  Yes

  No

  N/A

• Observe vehicles movements in relation to personnel in the area, is their restricted or no go areas at the loading point for to personnel and are these followed?<br>

  Yes

  No

  N/A

• Is lighting adequate in loading areas?<br>

  Yes

  No

  N/A

• Is traffic management plan being followed?

  Yes

  No

  N/A

4.4.3

• Are quarry personnel aware of the road design specifications?<br> <br>

  Yes

  No

  N/A

• Consider the haulage unit sizes using quarry roads and the interaction with other vehicles at loading points, intersections dumping points (crusher, waste dump, stockpiles etc.).

  Yes

  No

  N/A

• Does the overall condition of the quarry roads and intersections indicate that quarry road design specifications are being adhered to?

  Yes

  No

  N/A

4.4.4.a

• Examine the vehicle fleet. Are vehicles and mobile equipment purchased in accordance with the specifications in this Element Requirement?

  Yes

  No

  N/A

• Are 3 point seatbelts fitted for all passengers

  Yes

  No

  N/A

• Are tray back vehicles fitted as required when used to transport people?<br>

  Yes

  No

  N/A

4.4.4.b

• Inspect busses used to transport company and contractor personnel. Do they meet the specification for now?

  Yes

  No

  N/A

• Check personnel are wearing seatbelts as required

  Yes

  No

  N/A

4.4.4.c

• Check newly purchased vehicles of both company and contractors. Do they meet or exceed the specification?

  Yes

  No

  N/A

4.4.4.d

• Verify that vehicles identified to have IVMS/VDR fitted have been.<br>

  Yes

  No

  N/A

• Verify that the data from the IVMS/VDR is being evaluated and corrective action taken

  Yes

  No

  N/A

• Ask to be shown newly purchased mobile equipment

  Yes

  No

  N/A

• Does it comply with requirements of this and other FPE’s e.g. Work at height?

  Yes

  No

  N/A

4.4.6

• Are Quarry vehicles fitted as required?

  Yes

  No

  N/A

4.4.7

• How are vehicles which have been approved to operate that the operation/facility identified i.e. local sticker, registration number etc.?

  Yes

  No

  N/A

• Select a number of vehicles/mobile equipment on the approved list and validate compliance in the field.

  Yes

  No

  N/A

• Select a number of vehicles/mobile equipment in the field and ask to see their periodic inspection. Does the condition of the equipment match?

  Yes

  No

  N/A

4.5 Work method and condition control

• Ask driver to perform pre-operation inspection. Are they confident and able to complete correctly and quickly?

  Yes

  No

  N/A

• Do drivers /operators hold the appropriate Licence?

  Yes

  No

  N/A

• Ask drivers /operators what they know about the wearing of seatbelts, or approaching mobile equipment t? Do they comply?<br>

  Yes

  No

  N/A

• Ask drivers /operators aware what interactions may occur?

  Yes

  No

  N/A

• Ask drivers /operators what are the considerations for interactions with personnel? Do they know the blind spots on their vehicles?

  Yes

  No

  N/A

• Do drivers no how to secure the load?

  Yes

  No

  N/A

• Do drivers know the acceptable GVM for their Vehicle?<br>

  Yes

  No

  N/A

• Do drivers, spotters, helpers and road workers wear high Visibility clothing.

  Yes

  No

  N/A

4.6 Maintenance

• Ask the maintenance staff about the maintenance program. Does it comply with the element requirements?

  Yes

  No

  N/A

• Ask to be shown how are records maintained?

  Yes

  No

  N/A

• Is there a way of checking on the vehicles if the maintenance schedules being adhered to?

  Yes

  No

  N/A

• Are appropriate records kept?

  Yes

  No

  N/A

• What is the general condition of vehicles and mobile equipment e.g. do they reflect that maintenance is being performed as required?

  Yes

  No

  N/A

• Ask to be shown how contractors and hire equipment maintenance programs being applied for their vehicles and mobile equipment.<br>

  Yes

  No

  N/A

4.7 Emergency control

4.7.1

• Do personnel know the remote area and or emergency response procedure?

  Yes

  No

  N/A

• Check selected vehicles for first aid kit and status.

  Yes

  No

  N/A

• Does the operation or facility have the equipment to recover a person from a vehicle incident involving heavy mobile equipment (cut a person from a ROPS cabin)?

  Yes

  No

  N/A

• Does the emergency response for offsite incidents cover all area where company drivers operate including identifying closest medical facilities?

  Yes

  No

  N/A

4.7.2

• Is the signage used to meet the standards of the country?

  Yes

  No

  N/A

• Does each vehicle carry the correct fire extinguisher for its load capacity?

  Yes

  No

  N/A

• How does the operation/facility ensure it complies with the permit requirements, including any service which has been contracted and the contractor holds the permit?<br>Check in the field if possible.

  Yes

  No

  N/A

4.8 Monitoring, inspection and audits

4.8.1

• Ask to see the road inspection process being applied.

  Yes

  No

  N/A

• Ask to see records of inspections conducted in last 6 months.

  Yes

  No

  N/A

• How well do the road inspectors understand the inspection requirements?<br>

  Yes

  No

  N/A

• Review the quality of inspection records.

  Yes

  No

  N/A

• Check the condition of roads. Are there any non-conformances that indicate the inspection program needs attention?

  Yes

  No

  N/A

4.8.2

• Observe a range of specific checklists being applied in the field.<br><br>

  Yes

  No

  N/A

• Ask to see a number of inspections from 3 months ago.<br>

  Yes

  No

  N/A

• How well do personnel understand the inspection requirements for vehicles and mobile equipment?

  Yes

  No

  N/A

• Review the quality of inspection records.<br>

  Yes

  No

  N/A

• Check the general condition of vehicles and mobile equipment. Are there any non-conformances that indicate the inspection program needs attention?<br>Are defects reported?

  Yes

  No

  N/A

• Is unsafe equipment stood down?

  Yes

  No

  N/A

4.8.3

• Observe safety Observations may being performed.

  Yes

  No

  N/A

• Review the records of planned task observations. Are they being performed correctly i.e. focus on hazardous tasks/ operational procedures?

  Yes

  No

  N/A

• Are there any trends in the non-conformances identified?

  Yes

  No

  N/A

4.8.4

• Is an auditing program in place, which incorporates these element requirements?

  Yes

  No

  N/A

• Are audits performed in accordance with the audit schedules?

  Yes

  No

  N/A

• Review completed audit reports.

  Yes

  No

  N/A

• Have the audits verified the quality and effectiveness of the requirements set out in this element?

  Yes

  No

  N/A

4.9 Reporting, assessment and corrective actions

4.9.1

• Are speed limits and traffic rules observed/followed?<br>

  Yes

  No

  N/A

• Are speed limits and traffic rules enforced?

  Yes

  No

  N/A

• Are speed limits and traffic rules relevant to conditions?

  Yes

  No

  N/A

4.9.2

• Ask personnel what sort of road hazards or defects must be reported/<br>

  Yes

  No

  N/A

• Ask employees what sort of defect would require a vehicle to be stood down.

  Yes

  No

  N/A

• Check a sample of vehicles and mobile equipment. Does the condition indicate hazards or defects are not being reported and/or corrected?

  Yes

  No

  N/A

• Are road hazards or defects reported, assessed, recorded and corrected?

  Yes

  No

  N/A

• Review records of hazard / defect reports and the associated corrective actions. Are corrective actions being implemented promptly?

  Yes

  No

  N/A

Conclusion and auditor's comments

• Date of audit completed

  Date

• Signature of auditor

  Sign

• Date of auditor's signature

  Date

• Signature of auditee

  Sign

• Date of auditee's signature

  Date