2019 Standards Audit Assessment Tool

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Ensure the identifier number you have created for a non-conformance is also written on the non-conformance report.

Section 1 of 8 - Audit Details

AUDIT DETAILS

Audit Type(Required)

Entry

First Compliance

Ongoing Compliance

Random

Triggered

Animal Welfare

An animal Welfare audit must be completed in conjunction with a TruckSafe audit.

Audit Date(Required)

Address of Audit(Required)

Auditor Name(Required)

Auditor ID(Required)

Company Trading Name(Required)

Member ID(Required)

Is the Company Office Address the same as the Address of Audit?(Required)

Company Office Address(Required)

Is the Company Postal Address the same as the Company Office Address?(Required)

Company Postal Address(Required)

Compliance Person Name(Required)

Compliance Person Contact Number(Required)

Compliance Person Email(Required)

Number of Powered Vehicles(Required)

Number of Trailing Equipment(Required)

Business Activities(Required)

Do not include Lead Auditor (Operator Representative Details Required)

BUSINESS MANAGEMENT

A.1 - Your organisation must document its transport activities.

Assessment Step

This can be in form of a statement or introduction that identifies the type of activities the operator engages in daily.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.2 - Your organisation must identify company positions and how they relate to each other.

Assessment Step

This chart should be in hierarchy form and shows what position answers to which manager.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.3 – Your organisation must make sure that the authorities, responsibilities, and duties of all the positions involved in the management, operation, administration, participation, and verification of your risk management systems are current, clearly defined, and documented.

Assessment Step

The responsibilities can be listed under the organisational chart from Standard A.2.1 and can be in dot form.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.4 - Your organisation must document and implement a process for communication with relevant supply chain partners to achieve co-operation and co-ordination.

Assessment Step

This could be in the form of a statement or agreement.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

There are many ways this can be achieved, through email, toolbox talks, or group meetings. Evidence of previous consultation needs to be sighted.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.5 - Your organisation must identify the obligation the HVNL imposes on all CoR parties, as far as is reasonably practicable, to achieve an overall and positive duty of care.

Assessment Step

The statement of primary duty is a way of the operator documenting they have systems in their business to reduce their risks in relation to the HVNL. The statement should also promote a safety culture within the business. It could be in the form of a mission statement so long as it covers the requirements of the standard.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.6 - Your organisation must have a statement detailing that your business has in-place controls. Your organisation must, so far as is reasonably practicable, take steps that will ensure company processes can demonstrate CoR obligations are met and CoR risks have been identified and controlled.

Assessment Step

The ‘so far as reasonably practicable’ statement is different from the statement of primary duty in that it is about what criteria the operator uses to determine what is reasonably practicable when assessing risks in their business.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.7 - Your organisation must document and implement an Executive Officer Due Diligence policy that covers HVNL requirements and how they will be achieved.

Assessment Step

Executive Officer Due Diligence is a document that outlines the obligations of the executive officer to ensure their business and others that their business deals with are compliant with their requirements under the HVNL.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.8 - Your organisation must document and implement a training management system.

Assessment Step

The training management system must outline who is responsible for ensuring employees receive the correct training. The system must encompass induction training, refresher training every 3 years (or more often) and that a review of the operators training requirements is carried out annually.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Induction training covers all aspects of the task(s) the employee is required to perform. In the case of a driver, they must also undergo a verification of driver competency. This involves the driver being assessed by another driver or supervisor that has a licence of equal or higher class than the driver being assessed. Verify that the inductions and driver verifications have been taking place and are up to date.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

This forms part of the training management system and requires the operator to re-induct every driver at least once every 3 years as a minimum. The induction process can be broken down into sections and spread out (such as toolbox talks) so long as everything is covered within the 3-year time frame. A driver verification assessment must also be included in the refresher training. Confirm there are records showing this is occurring.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

An analysis of the operator’s training requirements needs to be carried out annually to identify any areas that may need additional training. The result of the analysis is then incorporated into the training management system if additional training is required. Verify that a TNA is being carried out at least annually.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.9 - Your organisation must develop and implement a system to make sure all drivers hold valid licences and accreditations to operate their assigned vehicles and transport specific loads (eg -dangerous goods or forklifts).

Assessment Step

Copies of licences can be stored on file or on a spreadsheet that can be used to keep track of the details. Licence checks can include a recurring reminder in a calendar, software that tracks due dates, or a spreadsheet that is checked weekly. Along with maintaining copies of driver licence details and regularly checking, some states allow the currency of a drivers’ licence to be checked online. On-the-spot checks along with detected breaches are another way of checking licence details.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.10 - Your organisation must implement documented reporting and notification processes as part of your business practices to verify they are working as planned.

Assessment Step

The use of this assessment tool is an easy way to conduct a yearly internal review. A checklist or table may also be used providing there is an option to leave notes. Over the current accreditation period there must have been at least 2 x yearly internal reviews conducted (except for an entry or 1st compliance audit). The date of the most recent review is to be noted on this assessment.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

The quarterly compliance statement is a snapshot of the level of compliance a business has at a given point in time. The statement can be in the form of a table, or a printout if done using software. The most recent statement must have been completed no earlier than 3 months before this audit. A random sample of previous statements must be viewed for compliance. The date of the most recent statement is to be noted on this assessment.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Based on the type of business activity the operator engages in, any breach of a serious nature should be considered as a trigger to conduct a review. The review could be in the form of a non-conformance report.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Evidence can include generating a non-conformance when a breach has occurred and then follow through on correcting the non-conformance, along with incorporating the data into the appropriate risk assessment.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

The non-conformance process needs to include details on what the non-conformance was, the steps taken to resolve it, whether the steps to resolve it were successful, and that recurring non-conformances have had additional steps added until it was successfully resolved.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

If there are non-conformances in the register from A.10.6, check to ensure if there have been any changes to procedures, policies, or processes and that the compliance manual has been updated and the amendment page completed.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

This may be spread over several different systems and may be controlled by an app. This is fine provided the system(s) cover all the requirements of the standard.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.11 - Your organisation must have written procedures to ensure compliance with the TruckSafe standards, incorporating CoR, HVNL and the Master Code.

Assessment Step

This may be in the form of one or several manuals and can be spread over several different systems. This is fine provided the system(s) and manuals cover all the requirements of the standard. The operator may also have each document stored as individual files on a local server or in the cloud.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.12 - Your organisation must document and implement a management process that includes a system to uniquely identify and control currency of TruckSafe and HVNL related documents and records and keep these securely for three years (or longer if required by law).

Assessment Step

The unique identification can be in the header, footer, or front page of the document. It is not sufficient if the only way of identifying a document is by the file name if stored electronically.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

The document register can be in the compliance manual or a file on its own, either in a table or spreadsheet. Randomly check to ensure the details on the register match the versions of documents in use.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

A.13 - Your organisation must document and implement policies and procedures to manage contractors.

Assessment Step

The management plan checklist must include important information such as what accreditations, licences, insurances the contractor needs to show to prove they are meeting their CoR obligations. The plan does not have to delve too deep but should show sufficient evidence to satisfy that the contractor is safe, minimising their risks, and are meeting their CoR obligations. If the subcontractors are also TruckSafe accredited providing the operator can show certificates that are current this is sufficient for the requirement. Check that the reviews have been taking place and are up to date.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

RISK MANAGEMENT

B.1 - Your organisation, as a party in the supply chain, must implement a risk-based approach to manage safety and ensure compliance with all requirements of the Master Code. Your organisation must complete the risk management process in the context of your business for all identified risks relating to the four (4) CoR areas of Speed, Fatigue, Mass, Dimension, Loading & Load Restraint, and Vehicle Standards (Maintenance).

Assessment Step

The process must outline all the steps listed in the standard as a minimum. The operator’s process may have extra steps depending on the type of activities they engage in. The process does not have to be too complicated but should reflect the size of the business and the type of activities they perform.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

B.2 - Your organisation must complete a risk assessment in the context of your business for all identified risks relating to the four (4) CoR areas of Speed, Fatigue, Mass, Dimension, Loading and Load Restraint, and Vehicle Standards (Maintenance).

Assessment Step

The easiest way to show this information is in a table. Some operators might use a software app to generate a report based on the information provided. Either way is fine providing it clearly shows the steps for this standard. It is important that at the risk assessments cover all the hazards in each area of the operator’s business. The operator cannot simply use an unaltered generic or sample assessment as their own.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

There will be reviews annually, but also cross check against any serious breaches that have been detected. Ensure the reviews have been carried out and are up to date.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Toolbox talks, emails, posters prominently displayed in the work area, and documented group meetings are all acceptable forms of communicating instructions.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

DRIVER HEALTH & WELLBEING

C.1 - Your organisation must document and implement a Driver Health Management policy.

Assessment Step

The health policy outlines the expectations of what is required by both the driver and the business including a commitment to abstaining from drugs, having regular medicals, and allowing time for sufficient rest. Sometimes the operator will also incorporate their drug and alcohol policy into their driver health policy.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

C.2 - Your organisation must document and implement a Driver Health Management process.

Assessment Step

All drivers of vehicles over 4.5 ton are required to have a current Fit to Drive certificate. The only exceptions are those that only drive a truck within the operator’s property (for example a tug driver), or those that only drive a forklift. Use discretion for drivers that are used rarely to drive a vehicle for a short distance (such as someone who normally works in the warehouse dropping a vehicle off to a local service provider).

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

The operator may use other certificates in place of the TruckSafe medical so long as the medical meets the requirements of the latest AFTD commercial standards and covers the items on the TruckSafe clinical assessment as a minimum. An example of an acceptable medical is a state licensing authority medical, a dangerous goods medical, rail medical, or a BFM medical. Even if an alternative medical is used, the interval between assessments as defined in C.2.1 must be followed irrespective of any review date noted on the certificate.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Most of these details will be available on the driver’s medical certificate. A way of monitoring and alerting when a medical is due can include a spreadsheet, calendar reminders, or use of an app that sends notifications. All driver medicals must be up to date.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

C.3 - Your organisation must document a Fitness for Duty Management Policy.

Assessment Step

This may form part of the driver health policy. It must include provisions for drivers who are confirmed not fit for duty.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

The fitness for duty procedure must be inclusive of provisions for drivers to present for work not impaired by fatigue, alcohol, or drugs, that consideration will be given to a driver’s medical condition when assigning tasks, how the operator will deal with a driver who is in breach of the policy, and that a driver who presents unfit for work is sent home safely. The policy must also include how to safely re-engage a driver who is coming back after a period of illness or injury.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

C.4 - Your organisation must implement and maintain a drug and alcohol policy that provides guidance about managing any staff members who come to work under the influence of drugs or alcohol.

Assessment Step

The drug and alcohol policy may be included in the driver health policy. It may also be referenced in their fitness for duty policy. The policy must include a commitment to reducing risk due to the misuse of drugs and alcohol. The policy must also provide information on the steps taken if a driver is found to be under the influence of drugs or alcohol.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

C.5 - Your organisation must document how it meets its obligations so far as is reasonably practicable to ensure the safety of drivers.

Assessment Step

Confirm drivers are being inducted before working on site or commencing employment. The induction must include a policy outlining the safety requirements for a driver while on site.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

The operator must have a policy that allows for a driver to report a situation where there is a risk to the safety of themselves, other staff members, the public, or the business. The policy must provide a clear path for reporting irrespective of the circumstance. The person making the report must also have an avenue to report to an external agency. This policy may appear in the driver manual.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

SPEED MANAGEMENT

D.1 - Your organisation must document and implement a Speed Management Policy stating your intention to manage speed to comply with the HVNL, meet CoR obligations, provide a safe work environment, and minimise public risk.

Assessment Step

The speed management policy must refer to it being unacceptable to encourage or promote speeding through scheduling or other means, to promote a safe working environment, and to act on those that are caught speeding.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

D.2 - Your organisation must document and implement control measures to manage identified risks to Speed Management.

Assessment Step

This can form part of an operator’s speed policy but must cover these dot points.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

This could be covered in the operator’s speed policy or dealt with separately. Confirm the operator has a procedure or process in place for capturing the information and then taking action to follow through on an infringement. View examples if speed breaches have been identified.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Ways of complying with this standard include the use of telematics and checking work diary pages for time verses distance travelled. Any complaints can be recorded in an app, on a spreadsheet, or saved emails. Confirm the operator has a way of complying with this standard.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

FATIGUE MANAGEMENT

E.1 - Your organisation must document and implement a Fatigue Management Policy stating your intention to manage fatigue to comply with the HVNL, meet CoR obligations, provide a safe work environment, and minimise public risk.

Assessment Step

The policy must include a statement on not encouraging drivers to breach their driving hours, promote a culture of not encouraging drivers to drive whilst fatigued, and to maintain a safe working environment.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

E.2 - Your organisation must document and implement control measures to manage identified risks to Fatigue Management.

Assessment Step

Check that the schedules created by the scheduler have not caused (or will not cause) a driver to breach their work/rest hours or drive while fatigued. Confirm a process is in place to deal with unforeseen circumstances, such as roadworks or a missed timeslot.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

View a selection of work diary sheets (or reports generated if using an app) to confirm drivers are not driving while in breach of their work/rest hours.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Confirm what method the operator is using to monitor schedules, and what steps they are taking when a breach is detected.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

MASS, DIMENSION, LOADING & LOAD RESTRAINT MANAGEMENT

F.1 - Your organisation must document a Mass Dimension, Loading & Load Restraint (MDLR) Policy stating your intention to manage MDLR to comply with the HVNL, meet CoR obligations, provide a safe work environment, and minimise public risk.

Assessment Step

The policy must refer to encouraging drivers not to drive a vehicle that is incorrectly loaded, if the load is not safely secured, or the load is over mass or over dimension (without a permit).

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

F.2 - Your organisation must document and implement controls to manage identified risks to MDLR Management.

Assessment Step

Confirm the operator is using a measuring instrument to check the dimensions of an over-dimension load, or that they have a record of the dimensions of a vehicle if it is of fixed dimensions (the specifications sheet or a spreadsheet is sufficient proof of this). Where an operator is carrying loads of variable sizes, that the driver has a suitable method of measuring the dimensions of a load. This can be as simple as a tape measure, laser measure, or a measuring pole. The operator must confirm whether the measuring device is carried with the driver or stored in the vehicle.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

If the operator uses a route that requires permits ensure they have a system in place to apply and obtain the permits, and that they can show how they plot the journey the vehicles will take. The route a vehicle takes should consider infrastructure that could pose as obstacles, such as overpasses.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

The operator can use various methods to determine the weight of a load including a weigh bridge, scales on a forklift, calculating the cubic area the stock will occupy if the weight of the stock is known, or adding up the total weight of stock if the weight is known.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

The instructions can be in printed or digital format. Make sure the operator can provide evidence they have supplied the instructions to their drivers and loaders. Evidence can include having the information in the driver’s manual, emails, large posters easily visible in the work area, toolbox talks, etc.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Check for documentation that provides the GVM, dimensions, axle weights etc for all types of vehicles the operator is using including trailers.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

VEHICLE STANDARDS (MAINTENANCE) MANAGEMENT

G.1 - Your organisation must document and implement a Vehicle Standards (Maintenance) Management Policy stating your intention to manage vehicle standards (maintenance) to comply with the HVNL, meet CoR obligations, provide a safe work environment, and minimise public risk.

Assessment Step

Ensure the operator’s maintenance policy includes not forcing or encouraging drivers to drive vehicles that are unsafe, to report any faults or defects that are found so they can be repaired, ensure speed limiters operate correctly and are not tampered with, regular maintenance is carried out and unsafe vehicles are removed from service until they are satisfactorily repaired.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

G.2 - Your organisation must document and implement controls to manage identified risks to Vehicle Standards (Maintenance) Management.

Assessment Step

This may be completed using a checklist or app. The method used must cover all the items listed in the standard as a minimum. The checklist or app must have an acknowledgement that the driver is fit for duty. Inspect a random selection of daily checks to ensure checks are being completed (and completed properly).

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Confirm the operator has a way of allowing drivers to log a fault that is detected when doing their daily check, or when they are out on the road. The faults must be recorded with a copy kept in the vehicle.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Confirm the operator has a procedure for the driver to conduct a secondary daily check when a trailer is added or changed. Check for evidence of this.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

The operator must have a system in place to determine the severity of a fault that has been reported by a driver or mechanic. There needs to be a written record and a way for the mechanics and/or operations manager to track and monitor the faults, so they are not forgotten. There needs to be evidence that faults are being repaired in a timely manner and closed out The written record must include all the dot points. This could be on a spreadsheet, on fault reports that are kept with the vehicle records, or on an app that manages this type of data.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

A roadworthy can be completed by a qualified in-house mechanic but they must have written evidence it has been completed. This can be in the form of a checklist. A vehicle that is new and being registered for the first time does not require a roadworthy for entry Check a sample of records for vehicles that have been added to the TruckSafe equipment list within the last 12 months to ensure roadworthies are being carried out.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Each type and make of vehicle needs to have its own schedule. The schedule should be one provided by the OEM and will cover all the maintenance requirements for that vehicle including the time/distance between services and what servicing is required. The schedule(s) defined in their policy and procedure manual must match the services being performed. Trailers must be included.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Confirm records have been kept. For external service providers this will be in the form of an invoice. For in-house mechanics it would be a spreadsheet or database detailing what work was performed and invoices detailing parts that were purchased. Check that the services have been completed according to the schedule in their policy and procedures manual and that they are up to date.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

This can be in the form of a table but can also be contained in a service manual. The tolerances must relate to each type and make of vehicle. A generic or sample table of tolerances is not acceptable (with exception to vehicles using TruckSafe to claim FTC or the table has been created based on information provided in the current HVIM).

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Evidence of qualifications can be in the form of certificates or proof of practical experience, such as time in their current position. A person who has been servicing vehicles for 5 or more continuous years would be considered experienced.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

Assessment Step

Check to ensure the operator is using a checklist or spreadsheet to verify roadworthies are being done. A roadworthy can be done by a qualified in-house mechanic. The roadworthies must be up to date.

Evidence of Compliance(Required)

Audit Result(Required)

Non Conformance Identifier(Required)

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