Title Page
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Audit Objective:
This form is to be used to monitoring the compliance of QPRC Management Systems and Processes at QPRC Service areas. -
Audit Scope: Implementation of below named process(es).
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QPRC Service Area?
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Location
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Personnel
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Prepared by
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Conducted on
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Document No.
HSEQ Management System Audit Criteria: Element 1 Policy
Intent: Managers, employees, and contractors demonstrate leadership and commitment to excellence in health, safety, environment and quality management
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Is this Element being tested as a part of the Internal Audit?
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Is the QPRC HSEQ Policy and Directive accessible (displayed on intranet/ 3 designated notice boards-one at each depot) <br><br>(Support processes: HSEQ Induction, Contract documents, Noticeboards / intranet)
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Enter actions from Previous Audit (where applicable)
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Have HSEQ responsibilities and accountabilities been clearly defined, documented and communicated to employees and contractors (displayed on intranet/ 3 designated notice boards-one at each depot)<br><br>(Support processes: Induction, Organisation chart, Position descriptions, Promapp processes, Contracts<br>Contract inductions)
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Enter actions from Previous Audit (where applicable)
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Have Senior management provided accountability and commitment for HSEQ system performance; implementation, maintenance and continuous improvement and performance? <br><br>(Support process: Action plans, Global Colab system, Operational Plans, Team briefs,)
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 2 Objectives and Targets
Intent: The business planning process includes the establishment of objectives and targets that will drive continuous improvement in health, safety, environment and quality management
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Is this Element being tested as a part of the Internal Audit?
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Have documented health, safety, environmental and quality objectives and targets been established and cascaded through QPRC?<br><br>(Support process: Service delivery plans/ Action plans)<br>
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Enter actions from Previous Audit (where applicable)
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Have critical processes been identified, established, monitored and reviewed as appropriate?<br><br>(Support process: Asset and Plant strategies )
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 3 Legal compliance and system documentation
Intent: All applicable legislation, standards, codes and performance criteria as specified in the HSEQ management standards will be complied with through a documented management system
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Is this Element being tested as a part of the Internal Audit?
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Have applicable legal and other requirements have been identified, evaluated, incorporated into HSEQ documentation, made accessible/ communicated and their currency monitored?<br><br>(Support process: Corporate Risk Register, HSEQ Operational Risk Register, and Delegations Register)
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Enter actions from Previous Audit (where applicable)
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Are copies of up to date plant licences held on site?
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Enter actions from Previous Audit (where applicable)
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Is a system in place to ensure licences are obtained and current?<br><br>
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Enter actions from Previous Audit (where applicable)
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Have legislative changes been communicated and implemented?
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Enter actions from Previous Audit (where applicable)
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Are document and data control processes in place for controlling system documentation, external documents including legislation and prevention of use of obsolete documents?<br><br>(Support process: HSEQ document control procedure, QPRC Style Guide, EDRMS)
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 4 Training and Competency
Intent: Managers, employees and contractors have appropriate levels of competence to conduct their activities in a safe, effective, efficient and environmentally responsible manner
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Is this Element being tested as a part of the Internal Audit?
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Have training processes been implemented that identify training needs for all positions, develop training plans, include evaluation and provide evidence of records<br><br>(Support process: Training Directive, training registers)
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Enter actions from Previous Audit (where applicable)
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Have training needs been identified in consultation with workers?<br><br>(Support process: Training Directive, Performance appraisals)
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Enter actions from Previous Audit (where applicable)
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Has training been delivered by competent trainers?<br><br>(Support process: Training Directive)
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Enter actions from Previous Audit (where applicable)
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Has refresher training been identified and delivered?
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Enter actions from Previous Audit (where applicable)
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Have relevant inductions been delivered to management, workers (inclusive of contractors) and visitors (as applicable)?<br><br>(Support process: Corporate Induction, HSEQ Induction Process)
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 5 Consultation, communication and engagement
Intent: The organization will consult and communicate effectively with managers, employees and contractors to engage them in health, safety, environment and quality initiatives
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Is this Element being tested as a part of the Internal Audit?
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Are employees involved in identification of hazards, assessment of risks, development and implementation of controls?<br><br>(Support process: Toolbox talks, Team meetings, HSR inspections, WHS Consultation cooperation and coordination (CCC) with Other Duty Holders Process)
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Enter actions from Previous Audit (where applicable)
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Have consultation processes been effectively communicated to all workers?<br><br>(Support process: HSR representatives, WHS Committee, WHs consultation, cooperation and coordination (CCC) with Other Duty Holders Process, WHs Consultation Review Process)
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Enter actions from Previous Audit (where applicable)
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Have internal communication channels been implemented?<br><br>(Support process: All staff emails, 2 weekly Barb-a-que meetings (rotating between the 3 depots), Depot notice boards, team briefs, toolbox meetings)
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Enter actions from Previous Audit (where applicable)
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Are identified issues addressed with actions completed appropriately? (refer to processes, question workers)
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Enter actions from Previous Audit (where applicable)
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Have external communications been conducted in accordance with documented processes and templates?<br><br>(Support process: Style Guide, Community Choice – Customer and communications Service processes)
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Enter actions from Previous Audit (where applicable)
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Is there timely reporting of HSEQ information e.g. results of audits, incident investigations, hazards/risk assessments?<br><br>(Support process: HSEQ Management Reporting processes)
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 6 Risk Management
Intent: Health, safety and environment related risks are identified, assessed, and either eliminated or controlled
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Is this Element being tested as a part of the Internal Audit?
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Is the service HSEQ risk register maintained and up to date?<br><br>(Support processes: HSEQ Portfolio Operational Risk Register Development, implementation and monitoring Process, WHS Operational Field Based safe system of Work (SSOW), HSEQ Risk assessment Form, Project Risk registers)
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Enter actions from Previous Audit (where applicable)
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Are documented risk management processes and related forms used to identify, assess and apply the hierarchy of controls to the management of hazards and related risks?<br><br>(Support processes: HSEQ Portfolio Operational Risk Register Development, implementation and monitoring Process, WHS Operational Field Based safe system of Work (SSOW), HSEQ Risk assessment Form, Project Risk registers)
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Enter actions from Previous Audit (where applicable)
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Is the Environmental Management Plan in place for the site/ service delivery?
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Enter actions from Previous Audit (where applicable)
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Are field based site risk assessments being performed and documented?
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Enter actions from Previous Audit (where applicable)
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Are HSEQ risks controlled adequately?
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Enter actions from Previous Audit (where applicable)
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Are First Aid Kit in stock?<br><br>(Operational control Support processes: HSEQ Portfolio Operational Risk Register Development, implementation and monitoring Process, WHS Operational Field Based safe system of Work (SSOW), HSEQ Risk assessment Form, and Project Risk registers)
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Enter actions from Previous Audit (where applicable)
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Are restocking arrangements in place?
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Enter actions from Previous Audit (where applicable)
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Is the First Aid Register available?
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Enter actions from Previous Audit (where applicable)
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Are there sufficient First Aid trained staff?
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Enter actions from Previous Audit (where applicable)
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Is the Personal; Protective Equipment (PPE) adequate?
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Enter actions from Previous Audit (where applicable)
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Is the level of housekeeping across the site in good order?
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Enter actions from Previous Audit (where applicable)
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Are spill kits suitable and accessible to potential spill area?
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Enter actions from Previous Audit (where applicable)
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Are all fire extinguishers and emergency equipment inspected and tagged 6 monthly?
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Enter actions from Previous Audit (where applicable)
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Are emergency exit signs in place and illuminated?
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Enter actions from Previous Audit (where applicable)
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Are electrical safety management systems adequately managed?
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Enter actions from Previous Audit (where applicable)
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Is risk methodology applied to work processes, plant and equipment procurement of goods and services, service provision, health and hygiene?
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Enter actions from Previous Audit (where applicable)
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Is the hazard register available and reviewed regularly?
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Enter actions from Previous Audit (where applicable)
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Have all outstanding actions closed out?
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Enter actions from Previous Audit (where applicable)
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Are field based Safe Systems of Work (SSOW) used and applied <br>(ref: SWMs, SOPs, Field folders etc)
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Enter actions from Previous Audit (where applicable)
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Are hazardous chemicals managed in accordance with the WHS Hazardous Chemicals Management Process?
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Enter actions from Previous Audit (where applicable)
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Are Hazardous Chemicals listed on the QPRC Chemwatch Register?
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Enter actions from Previous Audit (where applicable)
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Are Chemical Safety Data Sheets (SDS) current and located where chemicals are being used?
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 7 Emergency preparedness and response (including site entry and controls)
Intent: Procedures are available and adequate resources are allocated to effectively manage probable health, safety and environmental emergency situations
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Is this Element being tested as a part of the Internal Audit?
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Are site entry procedures being followed for visitors and contractors?<br><br>(Support processes: HSEQ Induction Process, WHS Field Operations Site Emergency Response Plans (ERP) Process, Project safety management plans)
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Enter actions from Previous Audit (where applicable)
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Are contractors aware of Emergency response processes for the site?
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Enter actions from Previous Audit (where applicable)
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Is there a current Emergency Response Plan in appropriate locations?
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Enter actions from Previous Audit (where applicable)
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Do workers have access to the site emergency response processes and plans?
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Enter actions from Previous Audit (where applicable)
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Do workers know the emergency response process for the site/ building?
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Enter actions from Previous Audit (where applicable)
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Have emergency response plans been tested through exercise and drills commensurate with risk?
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 8 Incident Management
Intent: Respond to and investigate with appropriate rigor, health, safety, environment and quality incidents that occur and take appropriate corrective and preventive actions
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Is this Element being tested as a part of the Internal Audit?
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Do workers have access to incident reporting processes and forms?<br><br>(Support processes: HSEQ Incident (worker injury, Hazard, Near miss) Reporting Process, HSEQ Incident Reporting Form (online and in Feld folders), HSEQ Incident investigation Level1, Level 2 and Level3 Processes)
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Enter actions from Previous Audit (where applicable)
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Are incidents reviewed according to processes and corrective actions monitored?
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Enter actions from Previous Audit (where applicable)
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Have incident investigations been adequately completed where required?
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Enter actions from Previous Audit (where applicable)
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Are processes followed for the control of non-conforming products?<br>(ref: process and Non-conformance Report Forms)
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 9 Monitoring and Measurement
Intent: Health, safety, environment and quality performance is monitored periodically using defined measurement techniques and processes to ensure established objectives and targets are achieved
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Is this Element being tested as a part of the Internal Audit?
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Are preventative maintenance systems implemented that identify all plant and equipment requiring maintenance, methods of maintenance and frequency?<br><br>(Support processes: Asset/ plant registers and strategies, maintenance / fleet management systems, WHS Isolation, maintenance and repair of plant and equipment Process, WHS Plant Related Processes)
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Enter actions from Previous Audit (where applicable)
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Are plant Pre-start inspection forms completed?
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Enter actions from Previous Audit (where applicable)
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Has necessary equipment been calibrated?<br>(e.g. confined space monitors)
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 10 Health Surveillance and Hygiene
Intent: Identify occupational health hazards through appropriate health surveillance processes and eliminate or control work related illnesses and injuries
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Is this Element being tested as a part of the Internal Audit?
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Are pre-employment medicals providing Fit for Work assessments? <br><br>(Support processes: HR process - Pre-employment medicals, WHS Drug and Alcohol related processes, WHS Nose and Preventing Hearing Loss related processes, Health Monitoring Program, schedules)
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Enter actions from Previous Audit (where applicable)
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Is health surveillance being implemented according to schedule?
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Enter actions from Previous Audit (where applicable)
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Is health surveillance monitoring (where required) up to date?
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 11 Management system audits, reviews and reporting
Intent: Periodical management system audits and management reviews are undertaken and reported upon to verify the effective implementation and the suitability, adequacy and continuous improvement of the HSEQ management system
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Is this Element being tested as a part of the Internal Audit?
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Are internal audits of the HSEQ management systems being scheduled according to a frequency based on risk, previous audit results or external requirements?<br><br>(Support processes: HSEQ Management System Audit Process, Service Standards (eg: for external assessments/ certifications), Auditor training records, Internal audit scheduler)
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Enter actions from Previous Audit (where applicable)
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Are management review processes performed by Senior management?
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 12 Customer support
Intent: Procedures and processes are available to determine customer requirements, efficient delivery of products and services, effective customer communication and measurement of customer satisfaction
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Is this Element being tested as a part of the Internal Audit?
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Are processes followed to determine customer requirements?<br><br>(Support processes: HSEQ Control of non-conforming product, service, program or project, Control of externally provided services and products, HSEQ Products and Service Delivery Requirements)
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Enter actions from Previous Audit (where applicable)
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Are processes followed to provide customer feedback?
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 13 Materials and Service Management
Intent: Processes are available to eliminate or control health, safety, environment and quality risks associated with the contracting of services and the purchase, hire or lease of equipment and materials
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Is this Element being tested as a part of the Internal Audit?
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Are contractors registered with BNG Conserve?<br> <br>(Support processes: HSEQ Consultation, cooperation and coordination (CCC) with Other Duty Holder, BNG Conserve Contractor Management System)
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Enter actions from Previous Audit (where applicable)
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Are contractor sites inspected during and after completion of work?
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Enter actions from Previous Audit (where applicable)
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Is the contractor’s contract reviewed at the end of contracts?
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 14 Product and Service Provision
Intent: Processes are available to eliminate or control health, safety, environment and quality risks associated with product and service provision
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Is this Element being tested as a part of the Internal Audit?
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Is information provided to customers on services and programs up to date? (ref: Internet and Intranet)<br><br>(Support processes: HSEQ Design of Products, Service Programs and Projects Process)
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 15 Design and development
Intent: Plan and control design and development to ensure specified functional, performance and regulatory requirements are achieved
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Is this Element being tested as a part of the Internal Audit?
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Can the service area evidence a risk analysis to the application of Designing Services and projects?<br><br>(Support processes: HSEQ Design of Products, Service Programs and Projects Process)
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Enter actions from Previous Audit (where applicable)
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Can the service area evidence approval process for design changes?
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Enter actions from Previous Audit (where applicable)
HSEQ Management System Audit Criteria: Element 16 Waste Management
Intent: Wastes generated by organizations operations are identified, assessed and managed through processes aimed at elimination, minimization, substitution, re-use/recover and disposal
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Is this Element being tested as a part of the Internal Audit?
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Is waste separation being followed at the site?<br><br>(Support processes: HSEQ Waste Management Systems, QPRC Waste Management Strategy, ACTSmart program)
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Enter actions from Previous Audit (where applicable)
Sign Off
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Close out meeting conducted with Program Coordinator/ Service Manager. During the meeting set out agreed staff for assignment of any items raised as Non Compliant or Opportunity for Improvement for rectifying the issue in ProMapp..
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Audit Team Sign Off
Signature
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