PBPL Internal Audit Report

Audit Details

• Audit Title (Section/Work Stream)

• Key Processes defined for Audit (in accordance with Internal Audit Plan)

• Key Stakeholder/s

• Other Stakeholders (engaged during the Internal Audit)

• Auditor Name

• Date of Audit Completion

  Date

• To ensure we are achieving robust internal audit results, wherever possible please include detailed examples of process and documented evidence (document names and CREWS IDs) for each question in this report.

1. Planning and Process

• 1a. Is the process fully documented and are there sufficient resources in place to support the process? (I.e written procedures, process maps, forms, etc)

  Yes

  No

  N/A

• Documents/Resources

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 1b. What are the risks relating to the process and are controls in place?

• Are all the relevant risks included on the Operational or Corporate Risk Register?

  Yes

  No

  N/A

• Comments

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 1c. Is the process required to comply with specific legislation?

  Yes

  No

  N/A

• What legislation is relevant to the process?

• Who is the relevant Legislation Advisor/s for the process?

• Is there a process in place to manage legislative compliance/changes?

  Yes

  No

  N/A

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 1d. Is there a process to monitor customer perception/satisfaction (for internal and/or external customers), including actions for process improvements?

  Yes

  No

  N/A

• Documents/Resources

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 1e. Is the sequence of the process and interaction with other business areas effective, and why/why not?

  Yes

  No

  N/A

• Documents/Resources

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 1f. Are all parts of the process required to achieve desired outcomes, and why/why not?

  Yes

  No

  N/A

• Documents/Resources

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 1g. Does the process meet the requirements of the Quality Policy?

  Yes

  No

  N/A

• Documents/Resources

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 1h. Does the process meet the requirements of the Health and Safety Policy?

  Yes

  No

  N/A

• Documents/Resources

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 1i. Does the process meet the requirements of the Environment Policy?

  Yes

  No

  N/A

• Documents/Resources

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 1j. Does the process satisfy company requirements to achieve The Vitals and Business Plan objectives and targets?

  Yes

  No

  N/A

• Documents/Resources

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

2. Communication

• 2a. Is there evidence of communication of clear authorities and responsibilities for the process?

  Yes

  No

  N/A

• Documents/Resources:

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 2b. Is there evidence of communication regarding safe work practices to deliver outcomes of the process?

  Yes

  No

  N/A

• Documents/Resources:

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 2c. Are the objectives of the process clearly identified and communicated?

  Yes

  No

  N/A

• Documents/Resources:

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

3. Capability, Competence, Training and Awareness

• 3a. Is required training in place to achieve competence in effectively implementing the process?

  Yes

  No

  N/A

• Documents/Resources:

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 3b. Are people aware of the relevance and importance of their work, and how they contribute to the achievement of the objectives of the process?

  Yes

  No

  N/A

• Documents/Resources:

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 3c. Are there resources and infrastructure in place to ensure the effective delivery of the process?

  Yes

  No

  N/A

• Documents/Resources:

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

4. Improvement and Corrective/Preventative Action

• 4a. Is there evidence of continual improvement to the process?

  Yes

  No

  N/A

• Documents/Resources:

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

• 4b. Is there evidence of corrective/preventative action to the remedy any problems with the process?

  Yes

  No

  N/A

• Documents/Resources:

• Recommendations

• Audit Actions

• Opportunities for Improvement

• Attach photos, if relevant:

  Media

5. Audit Summary

• Recommended Audit Actions

Audit Action

• Audit Section Number

• Audit Finding

• Recommended Action

• Related Opportunity for improvement

• Key Stakeholder/s Responsible for Audit Action

• Required Date of Completion for Action Item

  Date

• Stakeholder Comment re Recommended Audit Action

Opportunities for Improvement

• Audit Section Number

• Opportunity for Improvement

• Audit Overview (by Auditor)

• Auditee's Comments

• Please ensure you obtain Auditee's Comments and Stakeholder Comment/acceptance of recommended audit actions before forwarding your completed Audit Report.
  
  When you have completed your audit:
  
  1. Select "Export" - located in the bottom right-hand corner of the screen.
  2. In the "Export As" box, select either "PDF" or "Word" (either format will be fine).
  3. Select "Send" in the top right-hand corner of the box.
  4. The document will attach to an email - send to donna.mccormack@portbris.com.au and cc to yourself.
  5. Close down all boxes - your final report will be saved on the iPad.
  6. Return the loan iPad to Donna McCormack (if relevant).
  
  Once received, we will circulate your Audit Report for review by the Auditee, relevant General Manager, BMS Team and Management Review (Executive). Review meetings will be scheduled, when you will be required to present your findings.
  
  Please contact Donna McCormack (email or ext 4970) if you have any queries regarding the internal audit process.