Working Near Water Compliance Audit v1

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

3.0 Scope

3.0.1

• Knowledge and awareness of FPE in areas requiring application of this FPE

  Yes

  No

  N/A

3.0.2

• During field inspections determine if all areas which should be included within the scope of this FPE have been or not. If not determine why not

  Yes

  No

  N/A

4.0 Accountability

4.0.1

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

  Yes

  No

  N/A

• Are they aware of their appointment?<br>

  Yes

  No

  N/A

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

  Yes

  No

  N/A

4.1 Hazard identification risk assessment and control

• Select an appropriate sample of Survey results. Go to the locations identified on the completed surveys and review hazards and controls. <br>

  Yes

  No

  N/A

• Have the surveys been completed as required by the procedure?<br> <br>

  Yes

  No

  N/A

• Have the risks been correctly identified and appropriate controls implemented?<br>

  Yes

  No

  N/A

• Observe and Talk to personnel on location to determine their awareness of the survey and controls

  Yes

  No

  N/A

4.1.2

• Determine which of the 4 procedures apply to the operation. Go to at least one of the locations for each.<br>

  Yes

  No

  N/A

• Ask personnel working at the location to explain the hazards and controls.<br>

  Yes

  No

  N/A

• Observe activities at the location. Are they compliant with the written procedures?<br>

  Yes

  No

  N/A

• Repeat with other procedures identified

  Yes

  No

  N/A

4.1.3

• Collect a number of JSA forms.<br>

  Yes

  No

  N/A

• At a working near water location ask personnel to perform a JSA on their current activity. Are they able to undertake this requirement?

  Yes

  No

  N/A

4.1.4

• While at a working near water location ask personnel working there if there have been any changes to their activities or the equipment they use within the last 12 months.

  Yes

  No

  N/A

• Check if these changes have been recorded in the change management process.

  Yes

  No

  N/A

4.2 Selection, Training, Competency and Authorisation

4.2.1

• From the training records select an appropriate sample of personnel to test their understanding of these 3 requirements. Ask these personnel to explain these requirements in their own words

  Yes

  No

  N/A

• Ask to be taken to a number of working near water locations and ask personnel to explain in own words these requirements

  Yes

  No

  N/A

4.2.2

• Identify a number of working near water locations. Ask to be taken there by your audit guide. Ask personnel operating a dredge, boat or vessel what qualifications, training and or competency tests they have to operate the equipment. Do they comply with group company specifications?

  Yes

  No

  N/A

4.2.3

• Ask a selected number of people on site if they have attended the general induction and if they recall if working near water safety issues where presented.<br>

  Yes

  No

  N/A

• Ask them to explain in their own words the basic requirements. Does this match the presentation?

  Yes

  No

  N/A

4.3 Communication and awareness

4.3.1

• Ask personnel at a selected number of working near water locations to explain in their own words what training and communication they have received for tasks which require them to work near water or when drowning hazards exist.<br>

  Yes

  No

  N/A

• Do their explanations match what the topics taught?

  Yes

  No

  N/A

4.4 Design, Purchase, Fabrication, Installation and Commissioning

4.4.1

• Using the FPE recommendation and the specifications developed by the group Company validate in the field that equipment meets the specifications

  Yes

  No

  N/A

4.4.2

• Ask personnel using pontoons, dredges, boats or vessels to explain in their own words how they know the equipment they are using is appropriate for the task?<br>

  Yes

  No

  N/A

• Inspect water craft for certification, if applicable.<br>

  Yes

  No

  N/A

• Using at least one record of assessment ask for site personnel to explain the process for acceptance. Preferably do this in the field at the vessel in questions

  Yes

  No

  N/A

4.4.3

• Inspect facilities which have been assessed as compliant with the specifications. Is the assessment valid? Are the protection measures adequate?

  Yes

  No

  N/A

4.5 Work method and condition control

4.5.1

• In field check that flotation devices are kept in easily accessible places and are in good condition.<br>

  Yes

  No

  N/A

• Ask personnel to perform a inspection of a floatation device. Can they do this according to the procedure<br>

  Yes

  No

  N/A

• Ask personnel to demonstrate how to use a personal floatation device. Can they put the device on with ease or is it unfamiliar to them.<br>

  Yes

  No

  N/A

• Ask personnel to perform a gangway, platform, ladder or working structure check according to the developed list. Can they perform this task correctly.<br>

  Yes

  No

  N/A

• Ask a supervisor to explain how they would take any of the specific precautions listed in this element requirement into account when working on or near water.

  Yes

  No

  N/A

4.6 Maintenance

4.6.1

• Using a selected number of completed inspection and or maintenance checklists undertake an inspection of the devices or facilities. Has the inspection been undertaken correctly? Has/is the equipment maintained as per manufactures specifications

  Yes

  No

  N/A

• Ask personnel to undertake or demonstrate how they would undertake and inspection or typical maintenance activity on a floatation device, gangway or access platform over water.

  Yes

  No

  N/A

4.6.2

• Yes

  No

  N/A

• Yes

  No

  N/A

4.7 Emergency control

4.7.1

• Ask trained first aiders to demonstrate how they would address an emergency situation where a rescued person is suffering from hypothermia.

  Yes

  No

  N/A

4.7.2

• Using the checklists/registers available inspect ocean going vessels for compliance with requirements<br>

  Yes

  No

  N/A

• Ask personnel who are responsible for checking the equipment to demonstrate how they undertake an inspection

  Yes

  No

  N/A

• Ask personnel on the vessel to explain how they would use such equipment in the event of such an emergency.

  Yes

  No

  N/A

4.7.3

• Identify a selected number of people from the training records. Ask these personnel to demonstrate/describe how they would put these requirements into practice

  Yes

  No

  N/A

• Ask personnel working near water to demonstrate how they would put these requirements into practice

  Yes

  No

  N/A

4.7.4

• Ask personnel working near water to demonstrate how they would put these requirements into practice

  Yes

  No

  N/A

4.8 Monitoring, inspection and audits

4.8.1

• Ask personnel who regularly work near water to conduct a task observation. Are they comfortable with the process and can undertake it with ease or are they unfamiliar and find it difficult.<br>

  Yes

  No

  N/A

4.8.2

• Ask personnel who undertake inspections according to this requirement of the FPE to perform an inspection. Are they able to undertake the process easily?

  Yes

  No

  N/A

• Inspect equipment in the field. Is their evidence to support the records? I.e. do the inspection results match what you observe in the field.

  Yes

  No

  N/A

4.8.3

• Ask personnel in the field when the last audit was conducted<br>

  Yes

  No

  N/A

• Ask the person who undertook the last audit to demonstrate how they conducted the audit<br>

  Yes

  No

  N/A

• Review finding/corrective actions and verify if they have been completed

  Yes

  No

  N/A

4.9 Reporting, assessment and corrective actions

4.9.1

• Ask personnel in the field to describe the process used to identify and remove from service defective working near water equipment?

  Yes

  No

  N/A

• Select a representative sample of defective equipment reports. Verify that required actions have been completed

  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