Digging and Excavation Compliance Audit v2

• Audit Title

• Document No.

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

3.0 Scope

• Test Knowledge and awareness of staff of FPE

  Yes

  No

  N/A

4.0 Accountability

• 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

4.1.1

• If any excavation is occurring during the audit ask to be taken and observe for compliance with this requirement.<br>Review previously issued permits. Ask the permit issue to explain the process.

  Yes

  No

  N/A

4.1.2

• Review past risk assessments for digging and excavation. <br>

  Yes

  No

  N/A

• Are the risk assessments adequate? <br>

  Yes

  No

  N/A

• Do they identify the issues/requirements of this section of the FPE?<br>

  Yes

  No

  N/A

• Do they identify adequate controls?<br>

  Yes

  No

  N/A

• Ask persons who have undertaken a digging and excavation risk assessment to explain the process to you.<br>

  Yes

  No

  N/A

4.1.3

• Ask to be shown where the stored documents are kept.

  Yes

  No

  N/A

• Is the process compliant with the document and records management system?

  Yes

  No

  N/A

4.1.4

• Ask staff and contractors who undertake digging and excavation to explain how they apply the change management process to their work

  Yes

  No

  N/A

4.2 Selection, Training, Competency and Authorisation

4.2.1

• Select a number of trained staff and or contractors from the list and select an area of the plant for a simulated excavation (nominally 1.8 meters deep, 600 mm wide and 20 meters long.<br>

  Yes

  No

  N/A

• Ask the selected staff to completed a risk assessment and excavation permit for the area of the plant<br>

  Yes

  No

  N/A

• Have the staff completed the permit correctly<br> <br>

  Yes

  No

  N/A

• Have other hazards such as underground services been identified and adequate controls established

  Yes

  No

  N/A

4.2.2

• Select a number of trained staff and or contractors from the list and select an area of the plant for a simulated excavation.<br> <br>

  Yes

  No

  N/A

• Ask the selected staff to completed a risk assessment and excavation permit for the area of the plant<br>

  Yes

  No

  N/A

• Have the staff undertaken the risk assessment correctly<br> <br>

  Yes

  No

  N/A

• Have other hazards such as underground services been identified and adequate controls established

  Yes

  No

  N/A

4.2.3

• For the simulated excavation ask how and what methods of protective systems would be applied

  Yes

  No

  N/A

4.2.4

• Ask a range of people who have undertaken the induction what they can recall on the requirements for excavation

  Yes

  No

  N/A

4.3 Communication and awareness

4.3.1

• If possible observe a digging work area during the audit.<br>

  Yes

  No

  N/A

• Ask staff and or contractors to explain what barricading requirements are and why they are important.

  Yes

  No

  N/A

4.3.2

• Ask staff and or contractor to recall training awareness sessions and explain the key messages.

  Yes

  No

  N/A

4.4 Design, Purchase, Fabrication, Installation and Commissioning

4.4.1

• Ask personnel responsible for the design of excavations to explain how they put the requirements of this FPE into their designs

  Yes

  No

  N/A

4.4.2

• Ask personnel responsible for the design of excavations to explain how they incorporate the requirements of this section of the FPE into their designs.

  Yes

  No

  N/A

• Get them to talk you through a past design.

  Yes

  No

  N/A

4.5 Work method and condition control

4.5.1

• Ask personnel responsible for the supervision of excavations to explain the processes which must occur before an excavation can commence and once it has commenced.

  Yes

  No

  N/A

4.6 Maintenance

4.7 Emergency control

4.7.1

• Ask emergency response personnel to explain how they would effect a rescue from the simulated excavation.<br>

  Yes

  No

  N/A

• Ask to shown training programs for extracting personnel from excavations

  Yes

  No

  N/A

4.8 Monitoring, inspection and audits

4.8.1

• Ask to be shown how an excavation inspection is undertaken.<br> <br>

  Yes

  No

  N/A

• Does the staff performing the inspection process meet the requirements

  Yes

  No

  N/A

4.8.2

• Ask auditors how they would conduct an audit of this FPE? Ask what aspects they would concentrate on and how they would evaluate effectiveness and quality of implementation<br>

  Yes

  No

  N/A

4.9 Reporting, assessment and corrective actions

4.9.1

• Ask staff and or contractors to explain what they do if they notice a defect or hazard associated an excavation or excavating equipment.<br>

  Yes

  No

  N/A

• Select a few hot work incident reports and test if actions have actually been undertaken

  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