Project Compliance Audit

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

Desktop Audit

• Is the previous audit accessible on site and have all associated RAP's been closed out?<br>- RAP's physically closed out<br>- RAP report emailed back to compliance with RAP close out dates

  Yes

  No

  N/A

• Are the following compliance plans on site and have they been signed and implemented?<br>- Health & Safety Management Plan<br>- Construction Environment Management Plan<br>- Quality Plan<br>- Erosion & Sediment Control Plan<br>- Emergency Evacuation Plan<br>Check the internal project pre-start (QA-05-22 - Project Pre-Start Meeting Minutes) to see if required

  Yes

  No

  N/A

• Are the following policies and procedures displayed on site?<br>- Safety Policy<br>- Environmental Policy<br>- Quality Policy<br>- Rehabilitation Policy<br>- Incident Procedure<br>- Issue Resolution Procedure

  Yes

  No

  N/A

• Is there a copy of the internal project pre-start on site or accessible on site?<br>- Document QA-05-22 - Project Pre-Start Meeting Minutes

  Yes

  No

  N/A

• Is the project contract and all associated specifications and standards located on site?<br>- Project Manager must be able to show these to the auditor. Hard copy must be sighted, P drive not acceptable

  Yes

  No

  N/A

• Are all the project drawings located on site and are they all the latest revision?<br>- Check through the use of the project drawing register (Document QA-04-05 ? Project Drawing Register)

  Yes

  No

  N/A

• If required is there a TMP in place for the site and have all associated TGS been implemented?<br>- TGS's available, current and approved by local authority<br>- Signage checks undertaken daily

  Yes

  No

  N/A

• Is there a subcontractor register on site and are all subcontractors that are working or have worked on the job on it? (Grey Folder)<br>- Look through project inductions to check this

  Yes

  No

  N/A

• Are all Subcontractors working on the project prequalified? <br>(Grey Folder)<br>- How many subcontractors are working on the project and how many are prequalified

  Yes

  No

  N/A

• Have all major subcontractors been signed onto a subcontract agreement?<br>- Check project file to ensure subcontract agreements in place<br>- As a guide major subcontractors will be doing $50k of work or more and could be doing any of the following works - electrical / landscaping / concreting / signage / drainage / asphalt / cartage / rock walls

  Yes

  No

  N/A

• Have all subcontractors signed onto Shadforths WH&S agreement?<br>- Document SMS-05-15 - Subcontractors WH&S Agreement found in safety pack

  Yes

  No

  N/A

• Are all suppliers and subcontractors used on the project preferred?<br>- Project Manager can demonstrate they are through having a preferred supplier / subcontractor list on site<br>- If they aren't preferred why not

  Yes

  No

  N/A

• Have all project specifications and standards been sent to the relevant subcontractors?<br>- Check subcontractors have received specs and standards, Project managers will have either emailed them or given them as part of a subcontract agreement

  Yes

  No

  N/A

• Have all project drawings been sent to the relevant subcontractors?<br>- Check subcontractors have received drawings, Project managers will have either emailed them or given them as part of a subcontract agreement

  Yes

  No

  N/A

• Is there a SDS (Safety Data Sheet) register on site and has it been reviewed in the last 2 years?

  Yes

  No

  N/A

• Have all workers / subcontractors received a site specific induction?<br>(Yellow Folder)<br>- Evidence that induction has taken place<br>- Evidence that construction cards have been sighted

  Yes

  No

  N/A

• Are regular TBT (Tool Box Talks) being conducted, has a TBT been undertaken on how to do Risk Assessments, and have all TBT's been emailed to Compliance for the month (Blue Folder)

  Yes

  No

  N/A

• Have any training papers been undertaken for the month and have they been emailed to HR?

  Yes

  No

  N/A

• Is there a person responsible for first aid on site, are they appropriately trained and there details displayed?<br>- Details displayed in the site office

  Yes

  No

  N/A

• Have all risk assessments been conducted and hazards identified for the project? (Red Folder)<br>- Tables 1.1 of the H&S Management Plan & CEMP filled out

  Yes

  No

  N/A

• Is there evidence confirming competencies have been verified for workers operating machinery? (Yellow Folder)<br>- Check that document SMS-05-13 - Verification of Competency forms have been completed<br>- Identify at least 2 machines with operators in them and check that they have got competency cards or are VOC'd

  Yes

  No

  N/A

• Are daily pre-start meetings being undertaken?<br>- Check pre-start book on site for evidence

  Yes

  No

  N/A

• Have any incidents occurred on site and have they been documented?<br> (Blue Folder)<br>- Evidence of incident documentation in safety pack

  Yes

  No

  N/A

• Has there been any complaints on the project, have they been registered and managed? (Orange Folder)<br>- Noise / Dust / Traffic / Access to Local Infrastructure / Disruption

  Yes

  No

  N/A

• Has a VMP (Vehicle Management Plan) been implemented for the site?<br>- Site evidence that a plan for movement of traffic and parking has been implemented and communicated<br>- TBT done for site specific VMP

  Yes

  No

  N/A

• Are the appropriate SWMS in place for the project and have all workers and subcontractors (if applicable) signed onto them? (Green Folder)<br>- Check table 1.2 of the H&S Management Plan. Table 1.2 must reflect and compliment table 1.1<br>- Have tables 1.1 and 1.2 been reviewed

  Yes

  No

  N/A

• Are any high risk activities being undertaken on site?<br>- If their is are there SWMS in place for the activity and have workers signed onto them<br>- Have associated permits been filled out (Excavation Permit, Confined Space Permit, Hot Work Permit, DBYD)

  Yes

  No

  N/A

• Have all subcontractor SWMS been reviewed and signed off?<br>(Grey Folder)<br>- Evidence documented on Table 1.2 of the H&S Management Plan <br>- Document SMS-05-07 - Subcontractor Work Method Statement Review Form has been filled out

  Yes

  No

  N/A

• Have random spot checks been undertaken on subcontractors?<br>(Grey Folder)<br>- Document SMS-05-16 - Subcontractor Spot Checklist

  Yes

  No

  N/A

• Have emergency drills been carried out as per the H&S Management Plan?<br>- Evidence sited

  Yes

  No

  N/A

• Have all necessary development approvals been obtained as listed in table 1.2 of the CEMP?

  Yes

  No

  N/A

• If required are the following forms being filled out at appropriate intervals / within the requirements of the contract?<br>- Weekly Environmental Inspection Checklist <br>- Daily Environmental Conditions<br>- Water Quality Monitoring Form (Only required if there is a significant waterway on or near site that needs monitoring)<br>- Dust Monitoring Form (Complaint driven, enviro officer to advise if required)<br>- Noise Monitoring Form (Complaint driven, enviro officer to advise if required)<br>- Sediment basin discharge Form (Required when water is been discharged from sed basin)<br>- Lime Register (Only required where acid sulphate soils are present and lime is utilised to neutralise soils)

  Yes

  No

  N/A

• If the site has been identified as being in a high or low risk fire ant area<br>- Has an initial fire ant inspection been undertaken and is there an approved risk management plan on site?<br>- Have 28 day inspections been carried out and recorded?<br>- Is movement certification in place for all imported fill from high or low risk fire ant areas? (Certificate should be in fill transportation machinery)

  Yes

  No

  N/A

• Can the Project Manager identify the testing requirements for the below? Placed Fill - Compactions / Level 1 / Material Quality's<br>Pavement Testing - Compactions / Material Quality's<br>Sewer Main - Compactions / CCTV / Vacuum Tests / Ovality Tests<br>Stormwater Infrastructure - Compactions / CCTV<br>Water Main - Compactions / Bacterial / Chlorination / Hydrostatic<br>Concrete Works - Strength / Slump<br>Asphalt - Compactions / Material Quality<br>Other - Biopods / Retaining Walls / Footings

  Yes

  No

  N/A

• Is there a Lot Register for the project and is it being kept up to date?<br>- Only required on TMR projects<br>- Lot register must identify each individual work lot and status

  Yes

  No

  N/A

• Are Lots easily identifiable, include the relevant information and getting signed of as and when required?<br>- Only required on TMR projects<br>- Lots broken up into easily identifiable work sections<br>- Lots include the relevant information (ITP / Test Results / Survey Results / Conformance Reports etc)<br>- Lots signed of by the client / clients representative

  Yes

  No

  N/A

• Are ITP's in place and have they been made project specific in accordance with the drawings, specifications and standards?<br>- Only required on TMR projects<br>- Relevant information included on ITP<br>- Testing requirements and frequencies match specifications

  Yes

  No

  N/A

• Is there a Non Conformance register in place for the project and is it up to date?<br>- All identified non-conformances are included on the register and there current status i.e. open / closed / pending

  Yes

  No

  N/A

• Are all identified Non Conformances (NCR's) documented and have they been submitted to the client / clients representative and signed off?<br>- Non Conformance reports filled out and include details of NCR<br>- Non Conformances submitted to client / clients rep for sign off

  Yes

  No

  N/A

• Has all placed fill been tested?<br>- Testing records emailed to the Project Manager and Compliance<br>- Test records have been put on P drive in the Projects Q.A folder

  Yes

  No

  N/A

• Have pavement tests been taken for the sections of pavement that are complete?<br>- Subgrade / Subbase / Base tests undertaken for complete sections of pavement<br>- Testing records emailed to the Project Manager and Compliance<br>- Test records have been put on P drive in the Projects Q.A folder

  Yes

  No

  N/A

• Have sewer tests been undertaken for sections of main that have been installed?<br>- Tests have been undertaken for complete sections of the main<br>- Testing records emailed to the Project Manager and Compliance<br>- Test records have been put on P drive in the Projects Q.A folder

  Yes

  No

  N/A

• Have stormwater tests been undertaken for sections of stormwater infrastructure that has been installed?<br>- Tests have been undertaken for complete sections of infrastructure<br>- Testing records emailed to the Project Manager and Compliance<br>- Test records have been put on P drive in the Projects Q.A folder

  Yes

  No

  N/A

• Have water tests been undertaken for sections of water main that have been installed?<br>- Tests have been undertaken for complete sections of the water main<br>- Testing records emailed to the Project Manager and Compliance<br>- Test records have been put on P drive in the Projects Q.A folder

  Yes

  No

  N/A

• Has concrete testing been undertaken?<br>- Tests have been taken for concrete works that have been completed<br>- Testing records emailed to the Project Manager and Compliance<br>- Test records have been put on P drive in the Projects Q.A folder

  Yes

  No

  N/A

• Has asphalt testing been undertaken?<br>- Testing has been undertaken for complete areas of asphalt surfacing<br>- Testing records emailed to the Project Manager and Compliance<br>- Test records have been put on P drive in the Projects Q.A folder

  Yes

  No

  N/A

• Have other testing requirements been identified by the project manager and undertaken if work complete?<br>- Biopods / Retaining Walls / Footings<br>- Testing records emailed to the Project Manager and Compliance<br>- Test records have been put on P drive in the Projects Q.A folder

  Yes

  No

  N/A

Site Inspection

• Does the site have the following amenities and are they clean and tidy?<br>- Toilets<br>- Hand Washing Facilities<br>- Clean Water

  Yes

  No

  N/A

• Are there sufficient first aid kits in the workplace and are all there contents in date?<br>- Check expiry dates on contents<br>- Sharps kit included in first aid kit

  Yes

  No

  N/A

• Is there a spills kit located on site?

  Yes

  No

  N/A

• Is the below signage and mandatory signage in place and is it sufficient?<br>- First Aid<br>- Fire Extinguisher<br>- Hazardous Chemicals<br>- PPE<br>- Site Contacts<br>- Entry Sign as per section 4 of the H&S Management Plan

  Yes

  No

  N/A

• Is the general house keeping on site good?<br>- Well organised<br>- Free from litter<br>- Tidy

  Yes

  No

  N/A

• Is electrical equipment tested and tagged?

  Yes

  No

  N/A

• Is the site shed protected by an RCD?

  Yes

  No

  N/A

• Are there fire extinguishers on site, are they accessible and in date?<br>- Extinguishers appropriately marked<br>- Extinguisher test dates in date

  Yes

  No

  N/A

• Have all hazardous chemicals been identified, labelled and stored correctly?<br>- Stored on bunds<br>- Each hazardous chemical labelled

  Yes

  No

  N/A

• Is the sites storage area clean, tidy and appropriately ventilated?

  Yes

  No

  N/A

• Is all lifting equipment on site registered, tested, checked for appropriate testing and tagging and stored appropriately?<br>- Stored on hangers not on the ground

  Yes

  No

  N/A

• Are all trenches benched, shored, battered or certified as per the regulations?<br>- All trenches over 1.5m benched, shored or battered<br>- Benching or battering not more than 1.5m:1.5m

  Yes

  No

  N/A

• Are there adequate access ladders provided along the length of the trench and is the access / egress appropriate?

  Yes

  No

  N/A

• Are daily pre-start checks been conducted on plant and machinery?<br>- Pick a few machines and site evidence<br>- Pre-start books kept in mahines

  Yes

  No

  N/A

• Are safety pins on excavators inserted?

  Yes

  No

  N/A

• Are warning lights and reversing beepers operational on all plant and machinery?<br>- Check operational plant at time of audit

  Yes

  No

  N/A

• Are barricades correctly erected around work areas and are safety caps on all star pickets?

  Yes

  No

  N/A

• Is the site compound stabilised with gravel and are adequate erosion and sediment controls in place?<br>- Access points minimised<br>- Compound area free draining

  Yes

  No

  N/A

• Are there adequate supplies or ESC material stored on site?<br>- Straw Bales<br>- Wire / Stakes<br>- Sediment Fence Fabric<br>- Flocculent

  Yes

  No

  N/A

• Are appropriate drainage and ESC controls in place prior to new areas being cleared or disturbed?

  Yes

  No

  N/A

• Are permanent and temporary access roads stabilised where appropriate?<br>- Sealed<br>- Gravel Capped

  Yes

  No

  N/A

• Are non disturbance areas adequately protected, clearly marked and workers made aware of them?<br>- Buffer Zones<br>- Protected Trees<br>- TBT of protected area

  Yes

  No

  N/A

• Is there separate waste and recycling bins on site and are they getting used and emptied properly?<br>- Skips / Eco bins / Recycle Bins

  Yes

  No

  N/A

• Are stockpiles located at least 20m away from water bodies and positioned in such a way that they are away from flow paths?

  Yes

  No

  N/A

• Do the stockpiles have sediment fences at the bottom and are they located far enough away so they don?t overflow with sediment?

  Yes

  No

  N/A

• Are all stockpiles that are 10 days old or more adequate stabilised?<br>- Hydromulch Cover<br>- Mulch Cover<br>- Geofab Cover

  Yes

  No

  N/A

• Are all erosion and sediment control measures been adequately maintained and in proper working order?<br>- Earth batters free of rill erosion<br>- Erosion blankets free from damaged, secure and overlapped properly<br>- Mulch secure and free from movement by wind

  Yes

  No

  N/A

• Are clean and dirty water drains separated and do clean water drains lead to clean water discharge points and dirty water drains lead to sediment basins?

  Yes

  No

  N/A

• Is sediment laden water filtering through sediment traps?

  Yes

  No

  N/A

• Are all flow diversion channels / drains stabilised against erosion?

  Yes

  No

  N/A

• Are all flow diversion channels / drains free from scour and sediment deposition?<br>- Filtration systems free from sediment blockage<br>- Rock sizes appropriate for the drain and flow

  Yes

  No

  N/A

• Is clean and dirty water not been unlawfully discharged into an adjacent property?

  Yes

  No

  N/A

• Is a shaker grid installed at the site entry / exit and is it functioning properly?<br>- Shaker grid stabilised with rock 15m either side<br>- Rock large enough to not get carried away by vehicles<br>- Shaker grid and rock pads free of excessive sediment deposition

  Yes

  No

  N/A

• Are all roads leading in and out of the site free from dirt, excessive sedimentation or mud production?

  Yes

  No

  N/A

• Are all sediment fences installed correctly?<br>- Bottom of fabric secured and buried<br>- Fabric appropriately overlapped at joints<br>- Fabric appropriately attached to posts<br>- Sediment fences free from damage and excessive sediment deposition<br>- Support posts are at correct spacing's (2-3m with backing)

  Yes

  No

  N/A

• Are all sediment basins adequately sized, installed and maintained properly?<br>- Basin size calculated to hold run off for the area<br>- Inlets and outlets appropriately stabilised with rock and free from sediment blockage<br>- Sediment depth marker installed and maintained properly<br>- Excessive sediment removed form the basin

  Yes

  No

  N/A

• Is all water being discharged from the sediment basin within the required parameters and been recorded on the sediment discharge form?

  Yes

  No

  N/A

• Is dust being appropriately controlled on site?<br>- Adequate amount of water trucks on site<br>- Exposed areas stabilised where possible to minimise dust<br>- No dust visually leaving site

  Yes

  No

  N/A

• Is refuelling occurring as per the CEMP?<br>- Refuelling occurs in an area away from residents, water features, fauna habitat and sensitive areas<br>- Spill kit close to refuelling area

  Yes

  No

  N/A

• Is noise being controlled on site?<br>- Working within the allowed hours<br>- Noise barriers / bunds installed if required

  Yes

  No

  N/A

• Is there a site stabilisation plan in place and are finished areas left in a stabilised and unexposed condition?

  Yes

  No

  N/A

• Have acid sulphate soils been identified on site and is there an acid sulphate management plan in place?<br>- Water treated and discharged properly<br>- Adequate amount of lime on site for treatment

  Yes

  No

  N/A

• Has the site been identified as containing or potentially containing cultural heritage artefacts and if so have all required parties been notified and all site workers informed?

  Yes

  No

  N/A

• Are all sections of kerb and footpaths installed in good condition?<br>- Free from cracking and damage<br>- Not ponding water<br>- Good alignment

  Yes

  No

  N/A

• Are all other concrete works in good condition?<br>- Visible headwalls<br>- Pram Ramps<br>- Other

  Yes

  No

  N/A

• Is the road surface in good condition?<br>- Asphalt in good condition, tight, no visible cracks / deformities / evenness<br>- No water ponding

  Yes

  No

  N/A

• Is all road furniture in good physical condition?<br>- Signs reflective<br>- Guardrail free from damaged<br>- Permanent fencing free from damage<br>- Street lights and road lighting free from damage<br>- Linemarking straight and reflective

  Yes

  No

  N/A

Worker Observation

• Is the worker aware of the sites emergency evacuation plan and where it is located?

  Yes

  No

  N/A

• Can the worker identify who is the first aider on site?

  Yes

  No

  N/A

• Can the worker identify the site communication channel?

  Yes

  No

  N/A