Traffic Management Registration Scheme by 8ZuEVs

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									                             Traffic Management Registration Scheme Audit Checklist
Date:
Company Name:
Company ABN:
Company Contact (name):                                                                    Position:                                               Phone:


Preamble:
This Audit Tool is designed to test a registered company's compliance with the requirements of the Department of Transport and Main Roads Traffic Management Registration
Scheme.

Scheme Elements:
OH&S to AS/NZS 4801-2001 (or the WHS Qld Small Business System), Quality to ISO 9001:2008, Financial Stability based on BSA financial criteria, Industrial Relations, Personnel
Training Ratios (see bottom of audit tool for ratios), Experience.

Reference Documents:
Manual of Uniform Traffic Control Devices part 3, AS/NZS 4801:2001, Traffic Management for Construction or Maintenance Work Code of Practice 2008 , WHS Qld Checklist -
Medium sized Business Initiative Checklist: Are there gaps in your safety system? Phase two; Traffic Controller Accreditation Scheme Approved Procedure, WH&S Act and
Regulations, WHS Checklist developed by Alan Clarke.
Advice to Personnel Undertaking the Compliance Audit:
It is essential that personnel conducting a Traffic Management Registration Scheme Audit have contacted both the auditee and the Principal Contractor for any major permanent
roadwork sites identified for review during the audit of the registered company.
An entry meeting should be convened with the Auditee to obtain all relevant information and documentation from the Auditee and any other relevant sources. Once the audit activities
have been completed and the draft report prepared and Exit meeting should be held with the Auditee to cover the Findings and Recommendations of the Audit.
During the audit, Audit Team personnel should wear appropriate high visibility vests, safety footwear, safety apparel and helmets (where required) and comply with any other safety
requirements that are applicable to the worksite/s being audited.

This information is sourced from a combination of an audit checklist developed by Alan Clarke, internal TMR WH&S checklists, the Traffic Management Site Audit
Checklist (Technical Training Solutions - TMR) and the HWSA Worker Safety on or Near Public Roads Campaign 2011 Desk Audit Tool

Definitions:
Audit Team - The team of people assembled to undertake the audit led by an appropriately competent and experienced team leader.

Auditee - The company registered with the Traffic Management Registration Scheme.

Desk Top Audit - Review of system documentation, will generally occur before the audit begins with documents being sent to the Traffic Management Registration Unit when
requested.
Site Audit - Review on site of how the company systems are being implemented and understood at an operational level.




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                                                                                   Scheme Element                              Possible Sample                                 Desktop Audit                                               Site Audit                               Overall
                                                                                                                                  Indicators                                                                                                                                      Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant        N/A - Not Applicable   NFV - Not Fully Verified
                                                                       Section                          Question                                         Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                 met /                                                            met /
                                                                                                                                                                                                not met                                                          not met
                                                             Quality Management System
                                                             Quality Management System
                                                             4.2.2                         Scope of system               any exclusions to be
                                                             Quality Manual                                              stated
                                                                                           Documented Procedures         a table, in-text
                                                                                           established or make reference reference

                                                                                           Description - Interaction of the overview of how the
                                                                                           system                           services sequence,
                                                                                                                            diagram of interface
                                                             Quality Management System
                                                             4.2.3                 Approval of document
                                                             Control of Documents
                                                             (Documented
                                                             Procedure) (Is a
                                                             selected element for
                                                             small business model)
                                                                                   Review and update as
                                                                                   necessary and re-approve
                                                                                   Changes and current revision
                                                                                   status of documents are
                                                                                   identified
                                                                                   Applicable documents are
                                                                                   available at points of use
                                                                                   Documents remain legible and min requirements - doc
                                                                                   readily identifiable         name and date of issue

                                                                                           Documents of external origin      Aust Stds, MR
                                                                                           are identified and distribution   Manuals, Councils
                                                                                           controlled                        Regs, Acts of
                                                                                                                             Parliament, Awards
                                                                                           Obsolete documents. Apply
                                                                                           suitable identification - if
                                                                                           retained
                                                                                           Data Backups

                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.4                         Has the organisation
                                                             Documentation                 established, implemented and
                                                                                           maintained information in a
                                                                                           suitable medium such as in
                                                                                           print or electronic form to:
                                                                                           *describe the core elements of
                                                                                           the OHSMS and their
                                                                                           interaction?
                                                                                           *provide direction to related
                                                                                           documentation?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.5                         Are procedures and
                                                             Document and Data             responsibilities established
                                                             Control                       and maintained concerning the
                                                                                           creation, modification, storage
                                                                                           and destruction of the various
                                                                                           types of documents and data?

                                                                                           Does the procedure ensure
                                                                                           that:
                                                                                           *they can be readily located?

                                                                                           *They are reviewed
                                                                                           periodically and revised as
                                                                                           necessary and approved for
                                                                                           adequacy by competent and
                                                                                           responsible personnel?
                                                                                           *Current versions of relevant
                                                                                           documents and data are
                                                                                           available from all locations?
                                                                                           *Obsolete documents are
                                                                                           removed promptly from points
                                                                                           of use, or other options used
                                                                                           to ensure against unintended
                                                                                           use?
                                                                                           *Archival of documents and
                                                                                           data for legal and knowledge
                                                                                           preservation use are
                                                                                           identified?
                                                                                           *Does the documented
                                                                                           procedure identify who is
                                                                                           responsible for the creation of
                                                                                           OHS documents and data?

                                                                                           * Does the OHSMS ensure
                                                                                           that data is legible and dated
                                                                                           with the date of the revision
                                                                                           and readily identifiable and
                                                                                           maintained in an orderly
                                                                                           manner for a specified period?

                                                             Quality Management System




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                                                                                   Scheme Element                              Possible Sample                                      Desktop Audit                                               Site Audit                               Overall
                                                                                                                                  Indicators                                                                                                                                           Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant        N/A - Not Applicable        NFV - Not Fully Verified
                                                                       Section                          Question                                              Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                      met /                                                            met /
                                                                                                                                                                                                     not met                                                          not met
                                                             4.2.4                 Identification, storage,                  record management
                                                             Control of Records    protection, retrieval, retention          system
                                                             (Documented           time & disposition of records
                                                             Procedure) (Is a
                                                             selected element for
                                                             small business model)

                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.5.3                         Have procedures been              Procedure documents,
                                                             Records and Record            established, implemented and      flowcharts, disposal
                                                             Management                    maintained for the                schedules, version
                                                                                           identification, maintenance       control mechanisms,
                                                                                           and disposition of OHS            formal or informal
                                                                                           records (as well as the results   arrangements in place
                                                                                           of OHS audits and reviews)?       for recording OHS
                                                                                                                             issues as appropriate
                                                                                                                             for the type and size of
                                                                                                                             the workplace eg
                                                                                                                             incident reports, diary
                                                                                                                             notes, notebook notes,
                                                                                                                             meeting outcomes,
                                                                                                                             audit reports, corrective
                                                                                                                             and preventive action
                                                                                                                             schedules,
                                                                                                                             investigation reports,

                                                                                           Are OHS records legible and
                                                                                           traceable to the activity,
                                                                                           product or service?
                                                                                           Are OHS records stored and        Needs to cover natural
                                                                                           maintained in such as way as      disaster recovery,
                                                                                           to protect against damage,        security and control
                                                                                           deterioration or loss?            and recover of
                                                                                                                             electronic records of
                                                                                                                             both their company and
                                                                                                                             client information
                                                                                           Are the retention times
                                                                                           established and recorded?
                                                                                           Are appropriate records
                                                                                           maintained to demonstrate
                                                                                           conformance to this Standard?

                                                             Quality Management System
                                                             5                             Management Commitment to who turns up to
                                                             Management                    Quality Management System meeting, how often they
                                                             Responsibility                (QMS)                     are held, what
                                                                                                                     resources available
                                                                                           Quality Policy -
                                                                                           * Appropriate to purpose of org


                                                                                           *Commitment to continual
                                                                                           improvement

                                                                                           *Provides a framework for
                                                                                           establishing & reviewing
                                                                                           quality of objectives
                                                                                           *Communicated, understood
                                                                                           and reviewed for continuing
                                                                                           suitability
                                                                                           Quality Objectives
                                                                                           established -

                                                                                           *Measurable                       Reviewed? Used for
                                                                                                                             making business
                                                                                                                             decisions?
                                                             (Is a selected element        Responsibility and Authority
                                                             for small business            -
                                                             model)
                                                                                           *Defined and communicated



                                                             (Is a selected element        *Management Representative management rep to be
                                                             for small business                                       a member of
                                                             model)                                                   company/council
                                                                                                                      management team) Is
                                                                                                                      this reflected in the PD
                                                                                                                      of person/position
                                                                                           Internal Communication     team meetings,
                                                                                                                      briefings, email, toolbox
                                                                                                                      talks, newsletters, take
                                                                                                                      5s
                                                                                           Management Reviews -
                                                                                           *Planned intervals                shd be in policy - policy
                                                                                                                             vs. reality, via meeting
                                                                                                                             minutes etc
                                                                                           *Review for improvement to
                                                                                           Quality Policy & Objectives

                                                                                           *Records


                                                                                           *Inputs (5.6.2)



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                                                                                   Scheme Element                             Possible Sample                                      Desktop Audit                                               Site Audit                               Overall
                                                                                                                                 Indicators                                                                                                                                           Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant       N/A - Not Applicable        NFV - Not Fully Verified
                                                                       Section                          Question                                             Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                     met /                                                            met /
                                                                                                                                                                                                    not met                                                          not met
                                                                                           *Outputs (5.6.3)                 Council meetings, CEO-
                                                                                                                            Director meetings,
                                                                                                                            monthly reports, team
                                                                                           Resource needs                   meetings, toolbox talks


                                                                                           Customer focus


                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.6                           Has the organisation's top       Meeting minutes,
                                                             Management Review             management, at intervals that    schedule of meetings
                                                                                           it determines, reviewed the      (check attendees and if
                                                                                           OHSMS to ensure its              they occurred)
                                                                                           continuing suitability,
                                                                                           adequacy and effectiveness?
                                                                                           Has management reviewed
                                                                                           processes to ensure that the
                                                                                           necessary information is
                                                                                           collected to allow management
                                                                                           to carry out this evaluation?

                                                                                           Are tasks systematically         Safe work procedures
                                                                                           assessed to identify safety      and risk assessments
                                                                                           hazards and risks?               are regularly completed
                                                                                                                            and reviewed, Risk
                                                                                                                            management
                                                                                                                            framework considered,
                                                                                                                            Identified hazards listed
                                                                                                                            in hazard register and
                                                                                                                            prioritised for action


                                                                                           Are records kept of
                                                                                           management reviews and
                                                                                           actions taken?
                                                                                           Does management review the       Audit reports,
                                                                                           continued relevance of and       corrective and
                                                                                           change where appropriate,        preventive action
                                                                                           policy, objectives,              schedules, review
                                                                                           responsibilities and other       reports, meeting
                                                                                           elements of the OHSMS in the     minutes, employee
                                                                                           light of OHSMS audit results,    feedback, investigation
                                                                                           changing circumstances and       reports
                                                                                           the commitment to continual
                                                                                           improvement?

                                                                                           Are concerns of internal and     employee and
                                                                                           external stakeholders            customer feedback,
                                                                                           considered in reviews?           WHS Qld audit reports,
                                                                                                                            other external agency
                                                                                                                            audit reports
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.2                           Does your company have a
                                                             OHS Policy                    documented policy relating to
                                                             Requirements                  OHS management, that has
                                                                                           been endorsed by the CEO,
                                                                                           Directors, Partners or Senior
                                                                                           Management? (whichever is
                                                                                           appropriate)?
                                                                                           Is the OHS Policy consistent
                                                                                           with other corporate policies
                                                                                           affecting your business?
                                                                                           Is the policy appropriate to
                                                                                           OHS hazards/risks associated
                                                                                           with your business activities,
                                                                                           products and/or services?

                                                                                           Does the policy indicate a       The policy should
                                                                                           commitment to continual          broadly specify how
                                                                                           improvement in OHS               your business will
                                                                                           performance and prevention of    continually improve its
                                                                                           incidents and injuries?          OHS performance
                                                                                           Does the policy commit your      Other OHS
                                                                                           business to comply with OHS      requirements may
                                                                                           laws and any other relevant      include industry codes
                                                                                           OHS requirements?                of practice,
                                                                                                                            customer/client
                                                                                                                            requirements and best
                                                                                                                            practice guidelines
                                                                                           Does the policy provide an       i.e. training strategy,
                                                                                           overall framework for setting    consultation strategies,
                                                                                           OHS improvement objectives       incident reporting and
                                                                                           and targets by specifying        investigation
                                                                                           broad organisational goals?      requirements, data
                                                                                                                            collection and analysis,
                                                                                                                            hazard management
                                                                                                                            program, employee
                                                                                                                            health program




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                                                                                   Scheme Element                             Possible Sample                                    Desktop Audit                                               Site Audit                               Overall
                                                                                                                                 Indicators                                                                                                                                         Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant       N/A - Not Applicable      NFV - Not Fully Verified
                                                                       Section                          Question                                           Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                   met /                                                            met /
                                                                                                                                                                                                  not met                                                          not met
                                                                                           Is the policy communicated to Business functions may
                                                                                           all employees and all business include
                                                                                           functions?                     production/service
                                                                                                                          processes, general
                                                                                                                          management,
                                                                                                                          marketing,
                                                                                                                          accounting/finance,
                                                                                                                          human resources,
                                                                                                                          research and
                                                                                                                          development, training,
                                                                                                                          and information
                                                                                                                          systems
                                                                                           Is it also effectively
                                                                                           communicated to
                                                                                           subcontractors, other
                                                                                           contractors and suppliers?
                                                                                           Is the policy accessible to
                                                                                           interested
                                                                                           parties/stakeholders?
                                                                                           Is the policy reviewed on a
                                                                                           defined regular schedule for
                                                                                           ongoing relevance?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.3.3                         Have OHS improvement             Business functions may
                                                             Objectives and                objectives been established      include
                                                             Targets                       for relevant business            production/service
                                                                                           functions?                       processes, general
                                                                                                                            management,
                                                                                                                            marketing,
                                                                                                                            accounting/finance,
                                                                                                                            human resources,
                                                                                                                            research and
                                                                                                                            development, training,
                                                                                                                            and information
                                                                                                                            systems
                                                                                           Is safety considered when        Risk assessments of
                                                                                           purchasing items?                work processes and
                                                                                                                            equipment undertaken
                                                                                                                            before purchased.
                                                                                                                            Safety included for
                                                                                                                            evaluating options
                                                                                                                            leading to purchasing
                                                                                                                            decisions
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.3.4                         Has the organisation
                                                             OHS Management                established and maintained
                                                             Plans                         management plans for
                                                                                           achieving its objectives and
                                                                                           targets? Do they include:
                                                                                           *designation of responsibility
                                                                                           for achievement of objectives
                                                                                           and targets at relevant
                                                                                           functions and levels of the
                                                                                           organisation
                                                                                           *outlining the means and
                                                                                           timeframe by which objectives
                                                                                           and targets are to be
                                                                                           achieved?
                                                                                           Has the organisation             Current plan and
                                                                                           established procedures to        objective and reporting
                                                                                           ensure that current plans are    documents, Document
                                                                                           reviewed at regular and          change records, risk
                                                                                           planned intervals, and if        and hazard registers,
                                                                                           necessary amended the            management review
                                                                                           procedures to address            minutes
                                                                                           changes to the activities,
                                                                                           products or services of the
                                                                                           organisation or significant
                                                                                           changes to the operating
                                                                                           conditions?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.1.1                       Is there an established
                                                             Resources                     organisational structure?
                                                                                           Are safety issues resolved       Mechanisms exist to
                                                                                           when raised?                     communicate
                                                                                                                            outcomes,
                                                                                                                            Management signs off
                                                                                                                            on safety issues, Items
                                                                                                                            such as PPE, first aid
                                                                                                                            kits, mechanical aids
                                                                                                                            are purchased as
                                                                                                                            needed
                                                                                           Is time set aside for safety     Time available to
                                                                                           activities?                      prepare safe work
                                                                                                                            procedures, deliver
                                                                                                                            training, complete risk
                                                                                                                            assessments, site
                                                                                                                            walkthroughs, pre-start
                                                                                                                            checks. Regular
                                                                                                                            meetings of safety
                                                                                                                            committee (with
                                                                                                                            minutes), Ask
                                                                                                                            workers/supervisors




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                                                                                   Scheme Element                             Possible Sample                                     Desktop Audit                                               Site Audit                               Overall
                                                                                                                                 Indicators                                                                                                                                          Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant       N/A - Not Applicable       NFV - Not Fully Verified
                                                                       Section                          Question                                            Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                    met /                                                            met /
                                                                                                                                                                                                   not met                                                          not met
                                                                                           Are safety activities            Safe Work Australia
                                                                                           undertaken within the            Week activities, Safety
                                                                                           workplace?                       suggestion box,
                                                                                                                            Toolbox talks/take
                                                                                                                            5's/pre-start meetings,
                                                                                                                            Training, Ask
                                                                                                                            workers/supervisors

                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.1.2                       Have OHS roles,                  Safe work procedures
                                                             Responsibility and            responsibilities and             exist, Safety roles
                                                             Accountability                accountabilities been            covered in pre-start
                                                                                           specifically allocated,          meetings/briefings,
                                                                                           documented and                   WHSO appointed
                                                                                           communicated at the              where required, WHS
                                                                                           workplace, including             representative elected
                                                                                           contractors and                  where requested, WHS
                                                                                           subcontractors?                  policy exists, Specific
                                                                                                                            safety responsibilities
                                                                                                                            outlined in position
                                                                                                                            descriptions for all
                                                                                                                            roles

                                                                                           Are safety responsibilities      Job descriptions have
                                                                                           communicated throughout the safety components,
                                                                                           organisation?                    Safety is openly and
                                                                                                                            often discussed, Ask
                                                                                                                            workers/supervisors
                                                                                           Has the CEO, Partners, the
                                                                                           Board or Directors (whichever
                                                                                           is most applicable) nominated
                                                                                           a specific management
                                                                                           representative with
                                                                                           responsibility and authority for
                                                                                           establishing, implementing
                                                                                           and maintaining OHSMS
                                                                                           requirements and for reporting
                                                                                           back on the OHSMS
                                                                                           performance?

                                                                                           Are Managers involved in theManagers provide
                                                                                           safety activities?          opening address at
                                                                                                                       events/launch
                                                                                                                       activities, Managers
                                                                                                                       participate in activities
                                                                                           Do Managers lead by example Managers wear
                                                                                           in relation to safety?      required PPE,
                                                                                                                       Managers participate in
                                                                                                                       safety activities, Safety
                                                                                                                       is identified in key
                                                                                                                       performance indicators,
                                                                                                                       ask workers

                                                             Quality Management System
                                                             6.2.2                  Determine the necessary                 Performance Planning
                                                             Competence,            competence for personnel                and Review
                                                             Awareness and Training                                         documents, Position
                                                             (Is a selected element                                         descriptions, Award
                                                             for small business                                             descriptors, EBA
                                                             model)                                                         descriptors, Legislative
                                                                                                                            requirements (i.e. Code
                                                                                                                            of Practice, MUTCD)


                                                                                           Provide Training                 Training records,
                                                                                                                            certificates or licences
                                                                                                                            on site, records on
                                                                                                                            selection of training
                                                                                                                            providers
                                                                                           Evaluate the effectiveness of    on-job assessment by
                                                                                           the training                     workplace trainer -
                                                                                                                            assessor, records of
                                                                                                                            competency
                                                                                                                            challenges, provider
                                                                                                                            assessment; evaluation
                                                                                                                            of training providers;
                                                                                                                            feedback from trainees

                                                                                           Ensure personnel aware of        Performance Planning
                                                                                           their contribution to the        Sessions, information
                                                                                           achievement of the quality       sessions with
                                                                                           objectives                       employees, induction
                                                                                                                            records
                                                                                           Maintain appropriate records     induction training = new
                                                                                           of education, training, skills   staff, WH&S, site
                                                                                           and experience                   inductions, HR or WHS
                                                                                                                            rep may hold any/all of
                                                                                                                            these/ personnel or
                                                                                                                            training records

                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.2                         Is there a procedure in place
                                                             OHS Training and              for identifying competency
                                                             Competency                    needs of employees,
                                                                                           contractors and suppliers?

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                                                                                 Scheme Element                            Possible Sample                                     Desktop Audit                                               Site Audit                               Overall
                                                                                                                              Indicators                                                                                                                                          Assessment
                                                             Legend:       C - Conforms       N/C - Non-Compliant        N/A - Not Applicable       NFV - Not Fully Verified
                                                                       Section                       Question                                            Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                 met /                                                            met /
                                                                                                                                                                                                not met                                                          not met
                                                                                         Has the organisation, in        Consultation
                                                                                         consultation with employees,    procedure, records of
                                                                                         identified training needs in    minutes, process flows
                                                                                         relation to performing work     to identify when
                                                                                         activities competently,         updates are required
                                                                                         including OHS training?         (i.e. new plant or
                                                                                                                         equipment, change to
                                                                                                                         service or product
                                                                                                                         offered by company),
                                                                                                                         Ask
                                                                                                                         workers/supervisors
                                                                                         Is this training carried out by Trainer credentials,
                                                                                         persons with appropriate        evaluation of
                                                                                         knowledge, skills and           trainers/training
                                                                                         experience in OHS and           company performance,
                                                                                         training?                       feedback forms from
                                                                                                                         trainees
                                                                                         Do supervisors routinely check Processes and site
                                                                                         whether workers follow safety walk
                                                                                         procedures/established work throughs/forms/checklis
                                                                                         processes?                      ts for routine checks,
                                                                                                                         Quality supervision
                                                                                                                         used, Frequency of
                                                                                                                         routine checks,
                                                                                                                         Disciplinary process
                                                                                                                         used for safety
                                                                                                                         breaches, Records
                                                                                                                         maintained, ask
                                                                                                                         workers/supervisors/ma
                                                                                                                         nagers if spot checks
                                                                                                                         are done and if they
                                                                                                                         are given adequate
                                                                                                                         time to do this task
                                                                                         Is action taken if safety       Processes for
                                                                                         breaches are identified?        identifying safety
                                                                                                                         breaches, Processes
                                                                                                                         for responding to safety
                                                                                                                         breaches, Records of
                                                                                                                         Corrective and
                                                                                                                         Preventive actions
                                                                                                                         taken, communication
                                                                                                                         of actions taken,
                                                                                                                         Records of actions
                                                                                                                         taken maintained
                                                                                         Have documented procedures Should ensure
                                                                                         been established to make        awareness of OHS
                                                                                         employees, contractors,         policy and procedures,
                                                                                         subcontractors and suppliers significant OHS
                                                                                         aware of OHS management         impacts, specific OHS
                                                                                         requirements?                   management roles and
                                                                                                                         responsibilities,
                                                                                                                         emergency response
                                                                                                                         and operational
                                                                                                                         processes to control
                                                                                                                         OHS impacts
                                                                                         Are workers inducted before     Induction program,
                                                                                         they start work?                Induction attendance
                                                                                                                         records, ask workers
                                                                                         Does the induction program      Induction program
                                                                                         cover relevant health and       suited to the type of
                                                                                         safety information and          work being undertaken,
                                                                                         issues/risks/hazards?           Generic health and
                                                                                                                         safety and site specific
                                                                                                                         issues covered

                                                                                         Is OHS Training systematically Training schedules,
                                                                                         planned, executed and          attendance sheets,
                                                                                         documented?                    competency/challenge
                                                                                                                        testing records, training
                                                                                                                        files
                                                                                         Are workers trained to perform Training programs,
                                                                                         their job safely, including    Training records, Ask
                                                                                         training in safe work          workers/supervisors
                                                                                         procedures?
                                                                                         Is the worker's understanding exam or test results,
                                                                                         of the training assessed?      competency/challenge
                                                                                                                        testing records, training
                                                                                                                        files, check
                                                                                                                        workers/supervisors
                                                                                                                        understanding, observe
                                                                                                                        work tasks
                                                                                         Are OHS training records
                                                                                         retained?
                                                             Quality Management System
                                                             6.3                         Provide -
                                                             Infrastructure
                                                                                         *Buildings, workspace and       Vehicle maintenance
                                                                                         associated facilities           records, records on
                                                                                                                         testing of: quality and
                                                                                                                         cleanliness of signs,
                                                                                                                         flashing lights and VMS
                                                                                                                         boards operational and
                                                                                                                         tested on regular basis




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                                                                                 Scheme Element                              Possible Sample                                      Desktop Audit                                               Site Audit                               Overall
                                                                                                                                Indicators                                                                                                                                           Assessment
                                                             Legend:       C - Conforms        N/C - Non-Compliant         N/A - Not Applicable        NFV - Not Fully Verified
                                                                       Section                      Question                                                Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                    met /                                                            met /
                                                                                                                                                                                                   not met                                                          not met
                                                                                         *Process equipment (both          Testing of equipment
                                                                                         hardware and software and         (electrical, up to date
                                                                                         information systems)              with current versions,
                                                                                                                           IT information/data
                                                                                                                           protection systems)
                                                                                         *Supporting services (eg          Internal audits, external
                                                                                         transportation or                 audits (i.e. WHS Qld,
                                                                                         communications)                   transport inspectors)

                                                             Quality Management System
                                                             6.4                         Suitable Work Environment         Internal audits, OH&S
                                                             Work Environment                                              audits, WH&S Qld
                                                             (Is a selected element                                        audits, records of
                                                             for small business                                            breaks, toilet provision,
                                                             model)                                                        clean water provision

                                                                                         The organisation has
                                                                                         established, implemented and
                                                                                         maintains documented
                                                                                         procedures to ensure that the
                                                                                         following are conducted:
                                                                                         * Hazard Identification

                                                                                         * Hazard/Risk Assessment

                                                                                         * Control of hazards/risks; and
                                                                                         then
                                                                                         * Evaluation of steps above

                                                             Quality Management System
                                                             7.1                         Determine the following:          How is the product (job)
                                                             Planning or Product                                           planned?
                                                             Realisation
                                                                                         *Quality objectives and
                                                                                         requirements of the product
                                                                                         *The need to establish
                                                                                         processes, documents and
                                                                                         provide resources specific to
                                                                                         the product
                                                                                         *Required verification,
                                                                                         validation, monitoring,
                                                                                         measurement, inspection and
                                                                                         test activities specific to the
                                                                                         product and the criteria for
                                                                                         product performance
                                                                                         *Records                          Project plans, prestart,
                                                                                                                           construction, post-
                                                                                                                           construction meetings,
                                                                                                                           budget reviews,
                                                                                                                           planning meetings,
                                                                                                                           MR/Customer Annual
                                                                                                                           performance reports

                                                                                         Has the organisation             OH&S procedures,
                                                                                         established, implemented and safety plans, traffic
                                                                                         maintained documented            management plans
                                                                                         procedures to identify the OHS
                                                                                         hazards and assessed and
                                                                                         controlled the associated risks
                                                                                         of activities, products and
                                                                                         services over which the
                                                                                         company has control or
                                                                                         influence, including activities,
                                                                                         products or services of
                                                                                         contractors and suppliers

                                                                                         Has the organisation tested for OH&S procedures,
                                                                                         competence of workers           safety plans, traffic
                                                                                         attending each                  management plans
                                                                                         site/situation/environment (eg
                                                                                         high speed highway
                                                                                         environment vs. low speed/low
                                                                                         volume roads)
                                                             Quality Management System
                                                             7.2                         Determine the following:
                                                             Customer Related
                                                             Processes
                                                             (Is a selected element
                                                             for small business
                                                             model)
                                                                                         *Requirements specified by
                                                                                         the customer
                                                                                         *Requirements not stated by
                                                                                         the customer but necessary
                                                                                         *Statutory and regulatory
                                                                                         requirements (related)
                                                                                         applicable to the product
                                                                                         *Any additional requirements
                                                                                         (determined) considered
                                                                                         necessary by the organisation
                                                                                         Review of the requirements
                                                                                         to include:
                                                                                         *Review prior to commitment
                                                                                         to supply
                                                                                         *Requirements are defined



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                                                                                 Scheme Element                            Possible Sample                                   Desktop Audit                                               Site Audit                               Overall
                                                                                                                              Indicators                                                                                                                                        Assessment
                                                             Legend:       C - Conforms        N/C - Non-Compliant       N/A - Not Applicable     NFV - Not Fully Verified
                                                                       Section                      Question                                           Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                               met /                                                            met /
                                                                                                                                                                                              not met                                                          not met
                                                                                         *Differing requirements
                                                                                         resolved
                                                                                         *Ability to meet requirements

                                                                                         *Records Kept

                                                                                         *Amendments to documents

                                                                                         *Changes advised to relevant
                                                                                         personnel
                                                                                         Effective Customer                     Pre-start
                                                                                         Communication:                  information/meetings,
                                                                                         *Product information               post construction
                                                                                                                            meetings, budget
                                                                                         *Enquiries, contracts and         reviews, planning
                                                                                         amendments                       meetings, MR/other
                                                                                         *Customer feedback                   corporation
                                                                                                                         performance reporting
                                                             Quality Management System
                                                             7.3                         Design and Development          Planning processes
                                                             Design and                  Planning - Determine:
                                                             Development
                                                                                         *Design and development
                                                                                         stages
                                                                                         *Review, verification and
                                                                                         validation
                                                                                         *Responsibilities

                                                                                         Design and Development
                                                                                         Inputs - to include:
                                                                                         *Functional and performance     Inputs
                                                                                         requirements
                                                                                         *Statutory and Regulatory
                                                                                         requirements
                                                                                         *Information from previous
                                                                                         designs
                                                                                         *Other as required

                                                                                         Design and Development
                                                                                         Outputs - to:
                                                                                         *Meet input requirements        Outputs

                                                                                         *Provide appropriate
                                                                                         information for provision of
                                                                                         *Contain/Reference
                                                                                         acceptance criteria
                                                                                         *Specify product
                                                                                         characteristics for use
                                                                                         Design and Development
                                                                                         Review -
                                                                                         *Undertake as planned           Review

                                                                                         *Evaluate ability to meet
                                                                                         requirements
                                                                                         *Identify problems and
                                                                                         solutions
                                                                                         *Records maintained

                                                                                         Design and Development
                                                                                         Verification -
                                                                                         *Undertake as planned

                                                                                         *Outputs meeting input          Verification
                                                                                         requirements
                                                                                         *Records maintained

                                                                                         Design and Development
                                                                                         Validation
                                                                                         *Undertake as planned

                                                                                         *Product meeting required       Validation
                                                                                         application
                                                                                         *Records maintained

                                                                                         Control of Design and
                                                                                         Development Changes
                                                                                         *Changes identified, recorded, Development
                                                                                         reviewed and passed through
                                                                                         same process
                                                                                         *Records maintained

                                                             Quality Management System
                                                             7.4                         Evaluate and select suppliers   Sub contractor
                                                             Purchasing                                                  information/arrangeme
                                                                                                                         nts, sourcing of
                                                                                                                         materials and services
                                                                                                                         (training, signs,
                                                                                                                         vehicles)
                                                                                         Are records of evaluations
                                                                                         maintained
                                                                                         Adequate description of
                                                                                         product being purchased



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                                                                                  Scheme Element                               Possible Sample                                     Desktop Audit                                               Site Audit                               Overall
                                                                                                                                  Indicators                                                                                                                                          Assessment
                                                             Legend:       C - Conforms        N/C - Non-Compliant           N/A - Not Applicable       NFV - Not Fully Verified
                                                                       Section                      Question                                                 Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                     met /                                                            met /
                                                                                                                                                                                                    not met                                                          not met
                                                                                         Appropriate verification of         Records of financial
                                                                                         purchased product                   audits/assessments,
                                                                                         undertaken. Where performed         internal reviews, for
                                                                                         at supplier's premises, this is     local governments -
                                                                                         stated in purchasing                may refer to local govt
                                                                                         information                         purchasing policy
                                                             Quality Management System
                                                             7.5                         Control of Production &             How was the service or
                                                             Product & Service           Service Provision -                 product executed?
                                                             Provision
                                                                                         Availability of information on      Project Plans - Quality
                                                                                         the product                         or Safety or
                                                                                                                             Environment or Traffic
                                                                                                                             Management
                                                                                         Availability of work instructions

                                                                                         Use of suitable equipment           Plant - equipment
                                                                                                                             maintenance records,
                                                                                                                             workshop -
                                                                                                                             registrations or tagging
                                                                                                                             or inspections by
                                                                                                                             machinery inspectors

                                                                                         Use of monitoring and
                                                                                         measuring devices
                                                                                         Implementation of monitoring        Accident/incident
                                                                                         and measuring                       reports, diary notes,
                                                                                                                             Traffic guidance
                                                                                                                             scheme changes, log
                                                                                                                             book records
                                                                                         Implementation of release,
                                                                                         delivery and post delivery
                                                                                         activities
                                                                                         Validation of Processes for
                                                                                         Production & Service
                                                                                         Provision (as required):
                                                                                         Defined criteria for review and
                                                                                         approval of processes
                                                                                         Approval of equipment and       Records of competency
                                                                                         qualification of personnel      challenges, training
                                                                                                                         records, assessment
                                                                                                                         for the environmental
                                                                                                                         and site requirements

                                                                                         Use of specific methods and
                                                                                         procedures
                                                                                         Requirements of records

                                                                                         Revalidation

                                                             Quality Management System
                                                             7.5.3                       Product identified throughout
                                                             Identification and          product realisation
                                                             Traceability
                                                                                         Indentify the product status

                                                                                         Where traceability required,        Record management
                                                                                         control and record the unique       system
                                                                                         identification
                                                             Quality Management System
                                                             7.5.4                       Identify, verify, protect and       Policy, procedures,
                                                             Customer Property           safeguard and report damage         processes that outline
                                                                                         of customer property (can           how this will occur (in
                                                                                         include intellectual property)      particular confidential
                                                                                                                             project/financial client
                                                                                                                             information both
                                                                                                                             electronic and hard
                                                                                                                             copy records), vehicle
                                                                                                                             impacts, signage
                                                                                                                             impacts on vegetation
                                                             Quality Management System
                                                             7.5.5                   Identification                          MSDS information,
                                                             Preservation of Product                                         OH&S audits, Internal
                                                             (Is a selected element                                          audits, stock take
                                                             for small business                                              results
                                                             model)
                                                                                     Handling

                                                                                         Storage

                                                             Quality Management System
                                                             7.6                         Determine devices and
                                                             Calibration of              processes required
                                                             Monitoring and
                                                             Measuring Equipment
                                                             MAY NOT BE
                                                             RELEVANT FOR
                                                             TRAFFIC
                                                             MANAGEMENT
                                                             COMPANIES
                                                                                         Equipment is:
                                                                                         Calibrated at specified             Calibration
                                                                                         intervals                           spreadsheet, service
                                                                                                                             records, diary notes for
                                                                                                                             2-peg test, asset
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                                                                                   Scheme Element                               Possible Sample                                     Desktop Audit                                               Site Audit                               Overall
                                                                                                                                   Indicators                                                                                                                                          Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant         N/A - Not Applicable       NFV - Not Fully Verified
                                                                       Section                          Question                                              Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                      met /                                                            met /
                                                                                                                                                                                                     not met                                                          not met
                                                                                           Identified to enable calibration
                                                                                           status to be determined

                                                                                           Safeguarded from adjustments
                                                                                           that would invalidate the
                                                                                           measurement
                                                                                           Protected from damage and
                                                                                           deterioration during handling,
                                                                                           maintenance and storage
                                                                                           Assess validity of previous
                                                                                           results
                                                                                           Take appropriate action on
                                                                                           equipment and any product
                                                                                           affected
                                                                                           Is equipment used for
                                                                                           monitoring and measurement
                                                                                           of OHS risks identified,
                                                                                           calibrated, maintained and
                                                                                           stored as necessary?
                                                                                           Records maintained

                                                                                           Ability of computer software to
                                                                                           satisfy intended application
                                                                                           confirmed
                                                             Quality Management System
                                                             8.2.1                         Monitor information about          Survey results,
                                                             Customer Satisfaction         customer perception as to          feedback, complaints
                                                                                           whether the organisation has       and compliments
                                                                                           met customer requirements          received, phone
                                                                                                                              contacts made,
                                                                                                                              MR/other contractor
                                                                                                                              performance reports,
                                                                                                                              post construction
                                                                                                                              meetings
                                                             Quality Management System
                                                             8.2.2                         Manage system effectively,
                                                             Internal Audit                implemented and maintained
                                                             (Documented
                                                             Procedure)
                                                                                           Planned intervals - Status and
                                                                                           importance of areas,
                                                                                           resourcing, previous audits
                                                                                           Reporting results

                                                                                           Actions taken in a timely
                                                                                           manner
                                                                                           Audit records kept and follow
                                                                                           up activities undertaken
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.5.4                         Has the organisation               Audit schedule,
                                                             OHMS Audit                    established, implemented and       qualifications of the
                                                                                           maintained and audit program       auditor (if internal) or
                                                                                           and procedures for periodic        the auditors company
                                                                                           OHSMS audits to be carried         (if external)
                                                                                           out by a competent person, in
                                                                                           order to:
                                                                                           (a) determine whether the
                                                                                           OHSMS:
                                                                                           *conforms to planned
                                                                                           arrangements for OHS
                                                                                           management including the
                                                                                           requirements of this standard
                                                                                           *has been properly
                                                                                           implemented and maintained
                                                                                           *is effective in meeting the
                                                                                           organisation's policy as well as
                                                                                           objectives and targets for
                                                                                           continual OHS improvement;
                                                                                           and
                                                                                           (b) provides information on the
                                                                                           results of audits to
                                                                                           management and employees
                                                                                           Is the audit program based on
                                                                                           the OHS importance of the
                                                                                           activity concerned, and the
                                                                                           results of previous audits?

                                                                                           Have OHSMS audits with time Audit schedules that
                                                                                           schedules been documented map what
                                                                                           and implemented?                sections/business risks
                                                                                                                           are to be covered in
                                                                                                                           what period by whom,
                                                                                                                           with what skills
                                                                                           Does the audit procedure
                                                                                           cover the scope, frequency,
                                                                                           methodologies and
                                                                                           competencies, as well as the
                                                                                           responsibilities and
                                                                                           requirements for conducting
                                                                                           audits and reporting results?
                                                                                           Are timely corrective actions      Corrective Actions
                                                                                           taken to remedy deficiencies          register and
                                                                                           found during OHSMS audits?       Management Review
                                                                                           Are corrective actions followed minutes, Audit reports
                                                                                           up to assess their
                                                                                           effectiveness?
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                                                                                   Scheme Element                             Possible Sample                                     Desktop Audit                                               Site Audit                               Overall
                                                                                                                                 Indicators                                                                                                                                          Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant       N/A - Not Applicable       NFV - Not Fully Verified
                                                                       Section                          Question                                            Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                    met /                                                            met /
                                                                                                                                                                                                   not met                                                          not met
                                                                                           Are OHSMS audit records          File/document
                                                                                           retained?                        management system,
                                                                                                                            disposal schedules
                                                             Quality Management System
                                                             8.2.3                         Suitable methods for
                                                             Monitoring and                monitoring and measurement
                                                             measurement of                of system
                                                             Processes
                                                                                           If planned results not
                                                                                           achieved, correction and
                                                                                           corrective action shall be
                                                                                           undertaken
                                                             Quality Management System
                                                             8.2.4                         Monitor and measure the
                                                             Monitoring and                product to verify requirements
                                                             Measurement of Product        met -
                                                             (Is a selected element
                                                             for small business
                                                             model)
                                                             MAY NOT BE                    *At appropriate stages
                                                             APPLICABLE FOR
                                                             TRAFFIC
                                                             MANAGEMENT
                                                             COMPANIES
                                                                                           *Evidence of conformity

                                                                                           *Records to indicate that the    Lot test results, client
                                                                                           person's) authorising the        feedback
                                                                                           release of the product
                                                             Quality Management System
                                                             8.3                           Documented procedure
                                                             Control of                    noting -
                                                             Nonconforming
                                                             Product or Service
                                                             (Documented
                                                             Procedure)
                                                             (Is a selected element
                                                             for small business
                                                             model)
                                                                                           *Responsibilities and
                                                                                           authorities
                                                                                           *Take action to eliminate
                                                                                           nonconformity
                                                                                           *Use under concession

                                                                                           *Records maintained

                                                                                           *Reverification to demonstrate
                                                                                           conformity to the requirements

                                                                                           *If N/C product detected after
                                                                                           delivery or use, take action
                                                                                           appropriate to the effects or
                                                                                           potential effects of the
                                                                                           nonconformity
                                                             Quality Management System
                                                             8.4                           To provide information
                                                             Analysis of Data              relating to -
                                                                                           *Effectiveness of QMS & its         Analysis of survey
                                                                                           continual improvement               results, complaints
                                                                                                                                 handling, phone
                                                                                                                                contacts, supplier
                                                                                                                                   performance,
                                                                                           *Customer satisfaction (see            accidents/near
                                                                                           8.2.1)                               misses/incidents,
                                                                                           *Conformance to customer          tender success rates,
                                                                                           requirements (see 7.2.1)         customer feedback, is a
                                                                                           *Characteristics and trends of    source of information
                                                                                           processes and products            for business planning
                                                                                           including opportunities for
                                                                                           preventive action
                                                                                           *Suppliers (see 7.4)

                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.3.3                       Are there procedures for         Hazard reporting
                                                             Reporting                     relevant and timely reporting    system, Suggestions
                                                                                           of information and safety        box, Processes for
                                                                                           issues to ensure that OHSMS      workers to
                                                                                           is monitored and performance     communicate matters to
                                                                                           improved?                        management on issues
                                                                                                                            such as near misses,
                                                                                                                            injuries, maintenance
                                                                                                                            issues, opportunities
                                                                                                                            for improvement,
                                                                                                                            Processes for
                                                                                                                            managers to
                                                                                                                            communicate to
                                                                                                                            workers how matters
                                                                                                                            raised are being
                                                                                                                            addressed

                                                                                           Does the reporting cover:

                                                                                           *OHS performance reporting
                                                                                           (including OHS audits and
                                                                                           reviews)
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                                                                                   Scheme Element                                Possible Sample                                      Desktop Audit                                               Site Audit                               Overall
                                                                                                                                    Indicators                                                                                                                                           Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant          N/A - Not Applicable        NFV - Not Fully Verified
                                                                       Section                          Question                                                Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                        met /                                                            met /
                                                                                                                                                                                                       not met                                                          not met
                                                                                           *Reporting incidents and
                                                                                           system failures
                                                                                           *Reporting on hazard
                                                                                           identifications
                                                                                           *Reporting on risk
                                                                                           assessments
                                                                                           *Reporting on preventive and
                                                                                           corrective actions proposed
                                                                                           and taken
                                                                                           *Reporting on statutory
                                                                                           requirements
                                                                                           *Reporting on employee
                                                                                           health initiatives if appropriate

                                                             Quality Management System
                                                             8.5.1                         Organisation shall continually      Evidence of
                                                             Continual Improvement         improve the effectiveness of        incorporation/analysis
                                                                                           the QMS through the use of          of data into actions to
                                                                                           quality policy, quality             improve systems -
                                                                                           objectives, audit results,          Project reviews,
                                                                                           analysis of data, corrective        management review
                                                                                           and preventive actions and          outcomes,
                                                                                           management review                   Workcover/Insurance
                                                                                                                               premium reductions,
                                                                                                                               number of
                                                                                                                               incidents/accidents,
                                                                                                                               productivity changes,
                                                                                                                               MR/other contractor
                                                                                                                               performance reports,
                                                                                                                               budget performance
                                                             Quality Management System
                                                             8.5.2                         Reviewing nonconformities            Management review
                                                             Corrective Action             (including customer                      outcomes
                                                             (Documented                   complaints)
                                                             Procedure)
                                                                                           Determining causes of
                                                                                           nonconformities
                                                                                           Evaluation action to ensure
                                                                                           that nonconformities do not
                                                                                           reoccur
                                                                                           Determining and implementing
                                                                                           action
                                                                                           Records of the results of
                                                                                           action taken
                                                                                           Reviewing effectiveness of
                                                                                           corrective action
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.5.2                   Have procedures been
                                                             Incident Investigation, established, implemented and
                                                             Corrective and          maintained for:
                                                             Preventive Action

                                                                                           *Investigating and responding
                                                                                           to minimising harm caused by
                                                                                           incidents?
                                                                                           *Investigating and responding
                                                                                           to system failures?
                                                                                           *Initiating and completing      Incident reports, Other
                                                                                           appropriate corrective action paperwork relating to
                                                                                           as a result of each incident?   corrective action taken,
                                                                                                                           Corrective actions
                                                                                                                           reflect hierarch of
                                                                                                                           controls, Controls
                                                                                                                           eliminate or minimise
                                                                                                                           the risk
                                                                                           *Initiating and completing
                                                                                           appropriate preventive action
                                                                                           to ensure that type of incident
                                                                                           or any others related that the
                                                                                           activity does not recur

                                                                                           Are procedures reviewed after Process for regular
                                                                                           an incident?                  reviews, records of
                                                                                                                         reviews undertaken
                                                                                                                         (should be linked to
                                                                                                                         incident investigation
                                                                                                                         reports or
                                                                                                                         corrective/preventive
                                                                                                                         action registers)
                                                                                           Are any changes recorded in
                                                                                           the OHSMS procedures
                                                                                           resulting from incident
                                                                                           investigations and corrective
                                                                                           and preventive actions?
                                                             Quality Management System
                                                             8.5.3                         Determining potential                 Management review
                                                             Preventive Action             nonconformities and causes           outcomes (This is risk
                                                             (Documented                                                         mitigation activity for
                                                             Procedure)                                                              the business)
                                                                                           Evaluating the need for action
                                                                                           to prevent occurrence of non
                                                                                           conformities
                                                                                           Determining and implementing
                                                                                           action needed
                                                                                           Actions recorded

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                                                                                                                            Management review
                                                                                                                           outcomes (This is risk
                                                                                                                            mitigation activity for
                                                                                                                                the business)
                                                                                    Scheme Element                          Possible Sample                                      Desktop Audit                                                        Site Audit                                     Overall
                                                                                                                               Indicators                                                                                                                                                          Assessment
                                                             Legend:          C - Conforms     N/C - Non-Compliant        N/A - Not Applicable        NFV - Not Fully Verified
                                                                        Section                     Question                                               Document/Evidence/Comments            Standard     Rating Observations/Site Evaluation/Evidence/Comments Standard Rating                    Rating
                                                                                                                                                                                                   met /                                                              met /
                                                                                                                                                                                                  not met                                                            not met
                                                                                         Reviewing effectiveness of
                                                                                         preventive action taken


                                                             Industrial Relations
                                                             Preamble: This section of the checklist deals with Industrial Relations (IR) matters and will provide both desktop and on site evidence to confirm the information provided by the company at the time of application or verification of an enhanced
                                                             IR system that has been created since the time of application.


                                                             1.                          Has CEO/Senior Management *Copy of policy (signed
                                                             Industrial Relations        support?                           by CEO, Directors or
                                                             Policy Statement -                                             Partners and Senior
                                                             Do you have a policy                                             Management as
                                                             statement on industrial                                     appropriate). The policy
                                                             relations management                                             statement should
                                                             which:                                                         contain objectives or
                                                                                         sets enterprise goals for            goals relating to
                                                                                         industrial and employee          industrial or employee
                                                                                         relations?                        relations. The contact
                                                                                         indentifies responsible          person should be able
                                                                                         personnel for managing            to discuss and clarify
                                                                                         industrial and employee          the industrial relations
                                                                                         relations, and provides contact          policy. The
                                                                                         details?                              communication
                                                                                         outlines communication                processes and
                                                                                         processes with workers,                subcontractor
                                                                                         unions, other contractors, and assessment measures
                                                                                         sub contractors?                   should be described
                                                                                         outlines measures for                  (for examples
                                                                                         assessing subcontractors'           meetings, bulletins,
                                                                                         compliance with industrial              consultative
                                                                                         relations and employment                committees)
                                                                                         obligations?
                                                             Industrial Relations
                                                             2.                          Awards                           Relevant industrial
                                                             Industrial Relations                                         instruments and
                                                             Obligations -                                                agreements should be
                                                             Do you have a                                                documented.
                                                             statement of your legal
                                                             and other obligations
                                                             relating to industrial
                                                             relations and
                                                             employment, including
                                                             the names of the
                                                             applicable :
                                                                                         Enterprise, workplace or other
                                                                                         enforceable agreement
                                                                                         Federal or Queensland
                                                                                         legislation
                                                                                         Any relevant Project
                                                                                         Agreements
                                                             Industrial Relations
                                                             3.                          Indentifies the Industrial       The Industrial Relations
                                                             Industrial Relations        Relations issues relevant to     Management Plan
                                                             Management and              your company?                    should provide
                                                             Responses -                                                  information about the
                                                             Do you have an                                               key industrial relations
                                                             Industrial Relations                                         issues that affect the
                                                             Management Plan that:                                        company (These may
                                                                                                                          be part of the industrial
                                                                                                                          relations policy
                                                                                         Details the actions you will     The plan should
                                                                                         take in the event of incidents   address items that are
                                                                                         such as:                         likely to emerge as part
                                                                                                                          of the contractor's work
                                                                                                                          and describe what the
                                                                                                                          contractor will do to
                                                                                                                          address problems that
                                                                                                                          may emerge

                                                                                         * Grievances

                                                                                         *Inclement weather

                                                                                         *Site issues                     "Site issues" may
                                                                                                                          include situations
                                                                                                                          arising from site
                                                                                                                          allowances, amenities,
                                                                                                                          clothing, tools, breaks
                                                                                                                          etc
                                                                                         *Threatened or actual
                                                                                         Industrial action
                                                                                         *Other unforseen risks           The plan should
                                                                                                                          include a contingency
                                                                                                                          plan which outlines a
                                                                                                                          process for responding
                                                                                                                          to unforseen risks
                                                             Industrial Relations
                                                             4.                          Payment of remunerations to      A signed statement
                                                             Compliance -                employees including the          outlining this
                                                             Can you provide a           location of time and wage        information
                                                             signed declaration or       records
                                                             statement verifying         annual leave
                                                             compliance in the
                                                             preceding 12 month with     long service leave
                                                             all employment and
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                                                             including:
                                                             4.                                                               A signed statement
                                                             Compliance -      Scheme Element                                 outlining this Sample
                                                                                                                                Possible                                           Desktop Audit                                               Site Audit                               Overall
                                                             Can you provide a                                                information
                                                                                                                                    Indicators                                                                                                                                        Assessment
                                                             signed declaration or
                                                             statement C - Conforms
                                                             Legend: verifying             N/C - Non-Compliant                N/A - Not Applicable      NFV - Not Fully Verified
                                                             compliance in the
                                                                      Section                  Question                                                      Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                             preceding 12 month with                                                                                                                 met /                                                            met /
                                                             all employment and                                                                                                                     not met                                                          not met
                                                             legal obligations       workers' compensation
                                                             including:              insurance
                                                                                     superannuation fund
                                                                                     membership and contributions

                                                             Industrial Relations
                                                             5.                            the measures you will take toYour approach to the
                                                             Subcontractors -              select subcontractors who    selection of
                                                             Do you have a                                              subcontractors who
                                                                                           comply with industrial relations
                                                             procedure that provides       law and employment           comply with industrial
                                                             an outline of:                obligations                  relation laws and
                                                                                           how your dealings with       obligations may be in
                                                                                           subcontractors and other     your company industrial
                                                                                           contractors are to be managedrelations policy. You
                                                                                                                        may require
                                                                                                                        subcontractors to
                                                                                           how you will monitor and     provide similar
                                                                                           assess ongoing subcontractor information to what you
                                                                                           compliance with industrial   have provided to TMR.
                                                                                           relations requirements       You will need to
                                                                                                                        demonstrate effective
                                                                                                                        industrial relations

                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.1                           What is the scope of the
                                                             General OHS                   safety management system?
                                                             Management System
                                                             Requirements
                                                                                           Does your company have an
                                                                                           OHS management system
                                                                                           (OHMS) aimed at controlling
                                                                                           operations, processes,
                                                                                           products and services that
                                                                                           may have OHS risks and
                                                                                           impacts?
                                                                                           Is the OHMS fully in place and
                                                                                           operational?
                                                                                           Has the scope of application of The scope of your
                                                                                           the OHSMS been defined          OHSMS should cover
                                                                                                                           management of
                                                                                                                           relevant sites,
                                                                                                                           operations, processes
                                                                                                                           products and services
                                                                                           Is your OHMS:

                                                                                           *a stand alone system? Or

                                                                                           *Integrated into existing
                                                                                           business management
                                                                                           systems?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.3.1                         Is there a documented OHS
                                                             Planning Identification       risk assessment process to
                                                             of Hazards,                   evaluate operations,
                                                             Assessment and                processes, products and/or
                                                             Control of Risks              services that may have
                                                                                           significant OHS hazards/risks?

                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.3.2                         Is there a documented process      Other OHS
                                                             Legal and other               for identifying legal and other    requirements may
                                                             Requirements                  requirements relating to OHS       include industry codes
                                                                                           hazards/risks associated with      of practice,
                                                                                           your business?                     customer/client
                                                                                                                              requirements and best
                                                                                                                              practice guidelines
                                                                                           Is information on significant
                                                                                           OHS hazards and risks, legal
                                                                                           and other requirements kept
                                                                                           up to date?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.3
                                                             Consultation, Communication and Reporting
                                                             4.4.3.1                       Are there procedures in place      Ask
                                                             Consultation                  to ensure employer/employee        workers/supervisors if
                                                                                           involvement and consultation       they know what it is
                                                                                           take place on OHS issues?          and how to feed into it

                                                                                           Are there mechanisms in place Safety Committee,
                                                                                           for discussing safety?         Documents about
                                                                                                                          safety committee role,
                                                                                                                          functions and
                                                                                                                          membership, Other
                                                                                                                          forums to discuss
                                                                                                                          safety i.e. pre-start
                                                                                                                          meetings/take
                                                                                                                          5's/toolbox
                                                                                                                          talks/suggestion box,
                                                                                                                          Ask workers
                                                                                           Does the system ensure that
                                                                                           employees are:
                                                                                           *involved in the development               Ask
                                                                                           and implementation of policies   workers/supervisors
                                                                                           and procedures to manage
                                                                                           risk?
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                                                                                   Scheme Element                              Possible Sample                                     Desktop Audit                                               Site Audit                               Overall
                                                                                                                                  Indicators                                                                                                                                          Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant        N/A - Not Applicable       NFV - Not Fully Verified
                                                                                                                                       Ask
                                                                       Section                          Question               workers/supervisors           Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                     met /                                                            met /
                                                                                                                                                                                                    not met                                                          not met
                                                                                           *are consulted when there are
                                                                                           OHS changes to the
                                                                                           workplace?
                                                                                           *select staff to represent them
                                                                                           on OHS matters?
                                                                                           *are staff informed of their
                                                                                           OHS representative and their
                                                                                           management representative?
                                                                                           *do the procedures cover
                                                                                           employer/employee training to
                                                                                           undertake OHS duties?
                                                                                           Are the safety mechanisms       Staff from all levels of
                                                                                           functioning effectively?        the organisation are
                                                                                                                           involved in decision
                                                                                                                           making, Items
                                                                                                                           discussed and
                                                                                                                           solutions raised,
                                                                                                                           Solutions implemented,
                                                                                                                           Follow up/corrective
                                                                                                                           action taken as
                                                                                                                           required, Safety
                                                                                                                           committee to meet at
                                                                                                                           least quarterly, records
                                                                                                                           of decisions maintained

                                                                                           Are workers given                 Safety activities
                                                                                           opportunities to participate in   communicated to all
                                                                                           safety activities?                workers, Ask
                                                                                                                             workers/supervisors
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.3.2                       Are there procedures for          Processes
                                                             Communication                 communicating issues related      /mechanisms for
                                                                                           to OHS aspects and the            communicating
                                                                                           OHSMS to workers?                 procedures
                                                                                           Are changes to procedures         Processes for
                                                                                           communicated?                     communication,
                                                                                                                             Refresher training,
                                                                                                                             Competency testing,
                                                                                                                             Ask
                                                                                                                             workers/supervisors
                                                                                           Do you know which incidents       Process for reporting,
                                                                                           are required to be notified to    Incident notification
                                                                                           Workplace Health and Safety       reports, Incident
                                                                                           Queensland?                       reports, Ask
                                                                                                                             supervisors
                                                                                           Are external communication
                                                                                           records retained?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.6
                                                             Hazard Identification, Risk Assessment and Control
                                                             of Risks
                                                             4.4.6.1                  Has the OHSMS established,             Look at hazard register
                                                             General                  implemented and maintained             and risk assessments,
                                                                                      procedures to ensure:                   Observe work tasks.
                                                                                                                                  Are hazards
                                                                                           *hazards are identified?            controlled? Is there
                                                                                                                               evidence of higher
                                                                                           *risks are assessed?              order controls, not just
                                                                                                                                admin controls?
                                                                                           *risks are controlled?

                                                                                           *that these three tasks are
                                                                                           evaluated?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.6.2                       Does the hazard identification
                                                             Hazard Identification         process take into
                                                                                           consideration:
                                                                                           *The nature of the injury or
                                                                                           illness of the activity?
                                                                                           *The situation or events or
                                                                                           combination of circumstances
                                                                                           that could give rise to injury or
                                                                                           illness?
                                                                                           *Past injuries, incidents or
                                                                                           illnesses?
                                                                                           *The way the work is
                                                                                           organised, managed and
                                                                                           changes that may occur?
                                                                                           *The design of workplaces,
                                                                                           work processes, materials,
                                                                                           plant and equipment?
                                                                                           *The fabrication, installation,
                                                                                           commissioning, handling and
                                                                                           disposal (of materials, plant
                                                                                           and equipment)
                                                                                           *The purchasing of services       Review purchasing
                                                                                           and goods?                        arrangements
                                                                                           The contracting and sub-
                                                                                           contracting of plant,
                                                                                           equipment, services and
                                                                                           labour including contract
                                                                                           specification and
                                                                                           responsibilities to and by
                                                                                           contractors?



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                                                                                   Scheme Element                              Possible Sample                                  Desktop Audit                                               Site Audit                               Overall
                                                                                                                                  Indicators                                                                                                                                       Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant        N/A - Not Applicable    NFV - Not Fully Verified
                                                                       Section                          Question                                          Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                  met /                                                            met /
                                                                                                                                                                                                 not met                                                          not met
                                                                                           *The inspection, maintenance,     Review maintenance
                                                                                           testing, repair and               logs/records, examine
                                                                                           replacement (of plant and         equipment
                                                                                           equipment)?
                                                                                           Have safe work procedures      Safe work procedures
                                                                                           been developed for all high    exist, Safe work
                                                                                           risk tasks?                    procedures include
                                                                                                                          provisions for
                                                                                                                          controlling hazards (eg
                                                                                                                          guard must always be
                                                                                                                          down when operating
                                                                                                                          plant), Safe work
                                                                                                                          procedures require use
                                                                                                                          of mechanical aids
                                                                                                                          where possible (eg use
                                                                                                                          pallet jack to transport
                                                                                                                          heavy loads)
                                                                                           Are workers who do the job     Processes to ensure
                                                                                           involved in hazard             workers involved,
                                                                                           identification and development Hazard identification
                                                                                           of safe work procedures for    processes exist
                                                                                           that job?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.5.3                       Are all risks associated with
                                                             Risk Assessment               each identified hazard
                                                                                           assessed?
                                                                                           Have risk control priorities,
                                                                                           based on the established level
                                                                                           of risk, been assigned for the
                                                                                           assessed risk?
                                                                                           Is safety considered when      Risk assessments of
                                                                                           designing work processes?      work processes and
                                                                                                                          equipment undertaken
                                                                                                                          prior to change being
                                                                                                                          implemented (eg
                                                                                                                          staffing requirements,
                                                                                                                          psychosocial factors,
                                                                                                                          work flows etc
                                                                                                                          considered, manual
                                                                                                                          task risks assessed
                                                                                                                          before new procedures
                                                                                                                          implemented), Safety
                                                                                                                          included for evaluating
                                                                                                                          options leading to
                                                                                                                          purchasing decisions
                                                             4.4.6.4                       Have hazards and assessed
                                                             Risk Control                  risks been controlled through
                                                                                           a hierarchy of control based
                                                                                           on reasonably practicable?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.6.5                       Has there been a documented
                                                             Evaluation                    evaluation of the effectiveness
                                                                                           of the process (hazard ID, risk
                                                                                           assessment and control of
                                                                                           risks) and modified as
                                                                                           necessary?
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.4.7                         Are all potential emergency
                                                             Emergency                     situations identified and
                                                             Preparedness and              emergency procedures
                                                             Response                      documented for preventing
                                                                                           and mitigating the associated
                                                                                           illness and injury?

                                                                                           Are there procedures to
                                                                                           respond to emergencies and
                                                                                           to minimise OHS risks from
                                                                                           such situations?
                                                                                           Are emergency response         The procedures should
                                                                                           procedures periodically tested be tested where
                                                                                           and reviewed?                  practical. This may
                                                                                                                          include desk top
                                                                                                                          analyses where
                                                                                                                          physical testing is not
                                                                                                                          possible. Emergency
                                                                                                                          response procedures
                                                                                                                          should also be
                                                                                                                          reviewed after
                                                                                                                          occurrence of
                                                                                                                          emergencies or
                                                                                                                          accidents
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.5
                                                             Measurement and Evaluation
                                                             4.5.1.1              Does the documented
                                                             General              procedure detail the process
                                                                                  to monitor and measure on a
                                                                                  regular basis, the key activities
                                                                                  of operational aspects that
                                                                                  could cause injury or illness?

                                                                                           Are records maintained?




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                                                                                   Scheme Element                            Possible Sample                                  Desktop Audit                                               Site Audit                               Overall
                                                                                                                                Indicators                                                                                                                                       Assessment
                                                             Legend:        C - Conforms          N/C - Non-Compliant      N/A - Not Applicable    NFV - Not Fully Verified
                                                                       Section                          Question                                        Document/Evidence/Comments            Standard   Rating Observations/Site Evaluation/Evidence/Comments Standard Rating     Rating
                                                                                                                                                                                                met /                                                            met /
                                                                                                                                                                                               not met                                                          not met
                                                                                           Are procedures regularly        Processes for regular
                                                                                           reviewed?                       reviews, Review dates
                                                                                                                           marked on procedures
                                                                                                                           for currency
                                                             Desktop Audit requirements for Section of AS/NZS 4801:2001
                                                             4.5.1.2                       Has there been identification
                                                             Health Surveillance           of situations where employee
                                                                                           health surveillance is
                                                                                           required? And appropriate
                                                                                           systems implemented?
                                                                                           Do employees have access to
                                                                                           their individual results?




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Desktop Audit requirements specific to Traffic Management
Preamble: This section of the checklist deals with Industrial Relations (IR) matters and will provide both desktop and on site ev
verification of an enhanced IR system that has been created since the time of application.
This information is taken from the HWSA Worker Safety on or Near Public Roads Campaign 2011 Desk Audit Tool

                       Scheme Element                               Possible Sample                              Desktop Audit
                                                                       Indicators
Legend:        C - Conforms          N/C - Non-Compliant        N/A - Not Applicable        NFV - Not Fully Verified
          Section                            Question                                         Document/Evidence/Comments


Training
(Reg 29(e), COP 5.2,           Traffic controllers have been
MUTCD Pt 3 Section             provided with adequate traffic
4.10.6, TCASAP 5.1 and         control training
5.2)
(Reg 301 and 302, COP          Registered company ensures
6.2 and 6.3)                   that employees have completed
                               construction induction/safety
                               awareness training, when
                               working on a construction site

Desktop Audit requirements specific to Traffic Management

Risk Management
(COP 3.2, MUTCD Pt 3    The registered company has a
Section 1.5 and 2.2.3)  system in place for identifying,
                        assessing and controlling risks
                        prior to developing a Traffic
                        Control Plan
(MUTCD Pt 3 Section     The assessment is conducted in
1.5)                    consultation with relevant parties
                        (i.e. person in control of the
                        construction project, sub-
                        contractors etc)
(Reg 29(e), COP Section Persons responsible for
6.3)                    developing and implementing the
                        traffic control plan are competent
                        and appropriately trained

(MUTCD Pt 3 Section 1.5 The registered company has                 See OHSMS
and 2.2.3, TCASAP        systems in place for identifying          references for this
Section 3.1.2 and 3.1.4) hazards and assessing and                 information as well to
                         controlling risks on site as they         ensure linkages are
                         emerge                                    clear
(Reg 294, MUTCD Pt 3 Site-specific Safe Work Method                See OHSMS to
Section B2.2)            Statements are available for all          ensure procedures
                         high risk construction work               are consistent
(TCASAP Section 3.6)           The registered company has         See OHSMS to
                               adequate systems in place for      ensure procedures
                               hazard reporting and               are consistent
                               investigation
Desktop Audit requirements specific to Traffic Management

Fatigue
(MUTCD Pt 3 Section    The registered company has                 Fatigue management
4.10.5, TCASAP Section adequate systems in place for              policy
3.2.14)                fatigue management
                       Traffic control services are
                       provided at times when staff are
                       on extended breaks (i.e. lunch)
                       The employer considers the
                       following issues of managing
                       fatigue:
                       *length of shift

                               *break between shifts

                               *whether the worker works for
                               more than one employer
Desktop Audit requirements specific to Traffic Management

Manual Tasks
(COP 8.9)                      The registered company has
                               identified hazards and assessed
                               risk in relation to manual tasks

                               The registered company has
                               adequate control measures in
                               place to manage risks related to
                               manual tasks for instance:
                               *equipment is maintained

                               *safe systems for
                               loading/unloading
                               *safe systems for moving signs

                               *hand held equipment does not
                               pose a risk of injury due to
                               factors such as weight or
                               awkward posture
                               *regular breaks/seating provided

                               Employees have been provided       Training program,
                               with adequate instruction and      attendance records,
                               training on manual handling        incident/injury reports
                               (manual tasks)
ement
s and will provide both desktop and on site evidence to confirm the information provided by the company at the time of application or
lication.
oads Campaign 2011 Desk Audit Tool

                      Desktop Audit

 NFV - Not Fully Verified
   Document/Evidence/Comments           Standard Rating             Observations/Site               Standard Rating
                                          met /               Evaluation/Evidence/Comments            met /
                                         not met                                                     not met
the time of application or




                Overall
              Assessment


                  Rating
On Site Audit requirements specific to Traffic Management
This information is taken from the Traffic Management Site Audit Checklist (Technical Training Solutions - TMR) and the HWSA
Safety Notes before beginning on site audits at roadwork sites:
Ensure that you have received a safety induction to the site (particularly in the case of large and complex permanent work sites
Working on the road is particularly hazardous and require the safe and effective control of traffic to ensure the safety of the wor
to allow the work to continue safely.
People working on or near a road must: Be dressed appropriately (high visibility vests and/or night safety vests. Be aware that s
traffic, Be alert to constrcution traffic working within the site, entering or leaving the site, Be aware of changing traffic conditions


Name of Person with control of the construction project:

Name of the Principal Contractor/Superintendant
Representative if different from above:
Site Address:

                         Scheme Element                                Possible Sample                                  Desktop Au
                                                                          Indicators
Legend:        C - Conforms           N/C - Non-Compliant     N/A - Not Applicable      NFV - Not Fully Verified
            Section                              Question                                          Document/Evidence/Comments


Part 1 - Person with control of a construction project (This includes principal contractors, main contractors

Risk Management                    The person with control of the
                                   construction project has an
                                   occupational health and safety
                                   plan on site.
                                   There is a traffic management
                                   plan, procedure of traffic
                                   guidance scheme for the site.
                                   (where required, the TMR M994
                                   form for road corridor access has
                                   been submitted, approved and
                                   provided to the traffic
                                   management provider (whether
                                   the service is internal or
                                   externally provided)
                                   The person with control of the    Procedure, forms,
                                   construction project has a        communication strategy,
                                   procedure to identify, assess and Pre-start records
                                   control known and emerging
                                   OHS risks on site including
                                   mechanisms for reporting
                                   hazards
On Site Audit requirements specific to Traffic Management
Training                           The person with control of the      Copies of licences,
                                   construction project has ensured    challenge test records,
                                   that traffic control employees      observation logs
                                   have been provided with
                                   adequate traffic control training
                                   and are competent
                                   The person with control of the      attendance records, copy
                                   construction project has ensured    of certificates
                                   that all traffic controllers have
                                   completed construction
                                   induction/safety awareness
                                   training
On Site Audit requirements specific to Traffic Management

Consultation                       The person with control of the     pre-start meeting records,
                                   construction project consults with committee meeting
                                   traffic management providers on attendance and minutes
                                   work related matters affecting
                                   safety and that they are included
                                   in the site consultation process

On Site Audit requirements specific to Traffic Management
Part 2 - Registered Company (This means a company registered with the Traffic Management Registration Sche

Traffic Management Systems
COP 3.2 and 4.3, MUTCD   The registered company has
Pt 3 Section 2.2.3       conducted a risk assessment
                         prior to the development of the
                         traffic management plan(tmp) or
                         traffic guidance scheme (tgs)
MUTCD Pt 3 Section 2     The tmp is relevant for the works
                         in progress
MUTCD Pt 3 Section 2.4.1 Have all the necessary approvals
    and MRTS 6.4         been obtained for the worksite?
                         Such as:
                         *Permits (M994, QPS permit,
                         Local Govt approvals)
                         *tmp approved for suitability

                          *where regulatory signs have
                          been installed/removed
 MUTCD Pt 3 Section 2.2.2 If applicable, an assessment of
                          projected traffic flow has been
                          undertaken to determine the best
                          time for the works to proceed

   MUTCD Pt 3 Section              An adequate number of traffic
  4.10.5, TCASAP 3.2.14            controllers are engaged, taking
                                   into account meal breaks/rest
                                   pauses
                                   The tmp/tgs is correctly
                                   implemented, check:
On Site Audit requirements specific to Traffic Management

Signs
MUTCD Pt 3 Section 3.2.3           *The signs are appropriate size?

MUTCD Pt 3 Diagrams                *Are the signs placed correctly      ensure set out distances
                                   and in accordance with               are adequate allowing for
                                   current/updated tmp/M994             terrain and any obstruction

MUTCD Pt 3 Section 2.5.2           *the signs are visible

MUTCD Pt 3 Table 4.7               *Are there correct distances
                                   between the speed reduction
                                   signs?
MUTCD Pt 3 Section 4.9.5           *Are the site speeds signs
                                   reduced in the correct
                                   increments? Or 60/40 ahead
                                   signs used where appropriate?
MUTCD Pt 3 Appendix F              *Are all side roads and
                                   approached considered and
                                   signed accordingly?
MUTCD Pt 3 Section 2.5.2           *Are signs mounted at the correct e.g. 1 metre clear of the
and 3.3.1                          height when measured from the travelled path, built-up
                                   bottom edge of the sign?          area long term 2.2 metres,
                                                                     open road area 1-1.5
                                                                     metres, short term 200mm

MTUCD Pt 3 Section 2.5.1           *Are the signs in a serviceable     lettering is clearly visible,
                                   condition, particularly signs being background of sign is
                                   used at night?                      clean, no surface damage
                                                                       and not faded
MRTS 6.1                           *Are the names and contact
                                   details of the nominated out-of-
                                   hours contact listed?
MUTCD Pt 3 Section 3.4.8           *Are the END ROADWORK
                                   signs installed where required?
MUTCD Pt 3 Section 3.5.5           *Are the speed restoration signs
                                   installed where required?
                                   *Where reduction to 40kph is
                                   required, are the workers actually
                                   on site working, if not are the
                                   appropriate signs covered?

On Site Audit requirements specific to Traffic Management

Tapers
MUTCD Pt 3 Section 4.8.1           Is the full length of the taper
                                   visible to approaching traffic?
MUTCD Pt 3 Section 4.8.2           Is the taper length sufficient?      Traffic control taper,
c and Table 4.6                                                         Lateral shift taper, Merge
                                                                        taper, Mult-lane roads -
                                                                        distance between tapers
On Site Audit requirements specific to Traffic Management
Delineation
MUTCD Pt 3 Section 2.4.2, Is the delineation suitable and
MRTS 7.3.14               leaves no doubt which part of the
                          roadway is available to traffic?

MUTCD Pt 3 Section 3.9.1           Is the spacing of delineation
                                   acceptable?
MUTCD Pt 3 Section 3.9.2           Is the colour of delineation
                                   acceptable?
MUTCD Pt 3 Section 3.9.1           If traffic cones/bollards are used,
                                   are they the correct size and
                                   place at 5-25 metre spacing?

MUTCD Pt 3 Section 3.9.1           Traffic cones/bollards at night,      not dirty, torn or removed,
                                   are the fitted with white retro-      450mm - 500mm cones
                                   reflective bands?                     have 150mm band and
                                                                         greater than 700mm
                                                                         cones/bollards have
                                                                         250mm band

On Site Audit requirements specific to Traffic Management

Traffic Control
MUTCD Pt 3 Section                 Are the traffic controller's
4.10.6, TCASAP 5.4.1               certificates/license current?
MUTCD Pt 3 Section 3.5.2           Are stop/slow bats of the correct     1.8 metres from the
                                   type and in good condition?           ground to the underside of
                                                                         the sign, Made of class
                                                                         1W retro-reflective
                                                                         material
MUTCD Pt 3 Section 4.11.2 If portable traffic signals are in
                          use, are time lapses between
                          signals correct for the volume of
                          traffic using that section of road?

MUTCD Pt 3 Section        Are traffic controllers operating
4.10.4, COP 5.2           with a 60kp/h or less speed
                          zone?
MUTCD Pt 3 Section 3.5.2, Are "traffic controllers
COP 5.2                   ahead/prepare to stop" signs
                          being removed when traffic
                          controllers are not in attendance?

MUTCD Pt 3 Section 4.10.3 Are traffic controller                         where the value of D is the
                          ahead/prepare to stop" signs                   greater of the dimensions
                          located the required distance 2D               shown in Table 4.2 of the
                          in advance of traffic controllers?             MUTCD

On Site Audit requirements specific to Traffic Management

Side Tracks
MUTCD Pt 3 Section         Is the side track being maintained Potholes being repaired,
4.14.2, MRTS 8.4           in a serviceable condition?        Dust being controlled, The
                                                              alignment of the sidetrack
                                                              enables
                                                              vehicles/trucks/caravans
                                                              to remind in their lane
                                                              while entering
                                                              /transversing/exiting the
                                                              detour
MUTCD Pt 3 4.14.6 and      Is the delineation adequate along Red on the left and white
MRTS 8.3.2                 the length of sidetrack?           on the right, Spacing ( (a)
                                                              straights and curves
                                                              greater than 200 metres -
                                                              20 metre spacing, (b)
                                                              curves up to 200 metres -
                                                              high volume 6 metres on
                                                              outside radius, 12 metre
                                                              on inside radius, (c Low
                                                              volume - straight 100
                                                              metres, Undulating
                                                              straights 50 metres,
                                                              Curves greater than 200
                                                              metres - up to 25 metres,
                                                              Delineators - 1 metre
                                                              height and 1 metre from
                                                              the travelled path
MUTCD Pt 3 4.9.8           Check the repeater sign are
                           placed as follows: 1 k/m spacing,
                           Re-seals up to 5 k/m
                           Detours
MRTS 9.2, COP 4.5.5       Has the contractor liaised with        Permits, approval letters
                          relevant local authorities?
MUTCD Pt 3 Section 4.14.7 Is the full length of the detour
                          signed at all changes in
                          direction?
MUTCD Pt 3 Section        Have high or heavy vehicles
4.14.10                   been considered?
MUTCD Pt 3 Section 4.14.5 Has access for local traffic been
                          considered?

Records
MUTCD Pt 3 Appendix A,     Are daily records kept detailing      TMP or TGS records, TC
MRTS 7.3.19, COP 7.1       dates, all signs used, location         log book, supervisors
                           and times?                             notes, pre-start minutes
                           Are daily records kept detailing
                           times of review of signage (at a
                           minimum after set up in both
                           directions and at the end of work
                           for the day or at dusk and again
                           at night if work is 24 hours/day in
                           both directions)
On Site Audit requirements specific to Traffic Management

Managing health and safety on site
COP 2.2, MUTCD Pt 3                Traffic controllers on site have
Section 1.5, TCASAP 5.3            received adequate traffic control
                                   training
TCASAP 4.0                         Traffic controllers are supplied      High visibility garment -
                                   with adequate PPE and clothing        long sleeved shirt or vest
                                                                         (tabs on vest must be
                                                                         secured), Must not wear
                                                                         attire that imitates a police
                                                                         officers uniform, Safety
                                                                         footwear complying with
                                                                         AS2210, Broad brimmed
                                                                         hat with retro-reflective
                                                                         band, Night works - retro-
                                                                         reflective
                                                                         vest/bowyangs/spats worn
                                                                         above ankles, Night works
                                                                         - wand or torch fitted with
                                                                         a cone attachment
TCASAP 3.2.8             Traffic controllers have a clear
                         escape route
TCASAP 3.2.14, MUTCD Pt Traffic controllers are rested
3 Section 4.10.5         every two hours
Reg 292 (PC), and Act 28 Traffic controllers have sufficient             Toilets, clean water,
Relevant Person          access to amenities                             seating
TCASAP 3.1.3             Traffic controllers have adequate               clear line of sight, two-way
                         methods for communication                       radios

MUTCD Pt 3 Section 2.3.6           If works are being performed at
and 2.4.2 and 2.4.3 and            night:
3.16.4, TCASAP 4.5 and
4.6
                                   *workers are wearing appropriate
                                   clothing
                                   *workers are safely lit and visible

                                   *workers have a method of
                                   communication
                                   *workers are using lighted wands

                                   *if required, is temporary lighting
                                   installed at the specified
                                   locations?
                                   *If used, is the temporary lighting i.e. not a problem for
                                   installed correctly                 approaching motorists
COP 7.4, MUTCD Pt 3                Traffic signs are being checked
Appendix A                         before use
MUTCD Pt 3 Section 2.5             Traffic signs are being
and 2.6.3 and Appendix A           maintained, clearly visible and in
                                   good working order
MUTCD Pt 3 Section 3.5.4     If applicable, portable traffic
and 3.12 and 4.6             signs, flashing arrow signs and
                             variable message sings are being
                             used correctly
MR Road Planning and         If barriers are being used, they
Design Manual, MRTS          are correctly installed and
10.1, MUTCD Pt 3 Section     appropriate for the purpose:
3.10.3
Manufacturer's               *is the minimum length of barrier
specifications               in accordance with the
                             manufacturer's specifications?
Manufacturer's               *Is the barrier filled to the correct
specifications               water level (for plastic barriers)

Manufacturer's            *Is the barrier deflection zone
specifications, MRTS 10.6 adequate?
Manufacturer's            *Are barrier end treatments
specifications, MUTCD Pt 3(crash cushions) installed where
Section 3.10.4            required?
MUTCD Pt 3 Section 4/13.4 *Are barrier edge clearances
                          adequate?
Reg 294 - WMS powered     Pedestrian, traffic and plant
mobile plant, COP Plant   movement are adequately
                          managed:
MUTCD Pt 3 Section 2.3.7, *Are suitably protected crossing
MRTS 7.3.11, COP 4.5.4    points provided for pedestrians?

MUTCD Pt 3 Section 2.3.7, *Are appropriate signs,
MRTS 7.3.11                 barricades and warning lamps
                            provided?
MUTCD Pt 3 Section 2.3.7, *Is illumination adequate?
MRTS 7.3.11
MUTCD Pt 3 Section 2.3.7 The needs of pedestrians and
and 2.3.8 and 3.10 and 3.14 cyclists have been considered
and 4.14.4
MUTCD Pt 3 Section 2.2.2 Impact on Public Transport
                            considered
Reg 294 - WMS powered       Satisfactory risk controls are in        Communication systems,
mobile plant, COP Plant     place when workers are working           spotters, eye contact
                            close to plant
Reg 294 - WMS powered       Spotters are being used near
mobile plant, COP Plant     reversing plant or delivery
                            vehicles
MUTCD Pt 3 Section 2.3.7 Plant and pedestrians are
and 2.3.8 and 3.10 and 3.14 effectively segregated
and 4.14.4, COP Plant

                             Systems are in place to manage
                             the following general hazards:
MUTCD Pt 3 Section 2.3.6   *risks from low light (rainy
and 3.16.4, TCASAP 3.2.3   days/night work)

                           *risks from sun and heat

                           *risks from trips, slips and falls

Reg 138 and 139, COP       *risks from noise
Noise
                           *risks from inclement weather
                           (hail, lightning)
COP manual handling        *risks from manual handling
ining Solutions - TMR) and the HWSA Worker Safety on or Near Public Roads Campaign 2011 Desk Audit Tool


e and complex permanent work sites) and that you have a guide/host to show you around the work site
traffic to ensure the safety of the workers. Ensure that the worksite knows you are coming and can replace any traffic controller you need to

/or night safety vests. Be aware that shade, sun and dust can affect visibility for both workers and oncoming traffic, Never turn their back to o
e aware of changing traffic conditions (peak hour), Always have an escape route.


                                        Phone:

                                        Phone:




                        Desktop Audit                                                          Site Audit

Not Fully Verified
   Document/Evidence/Comments        Standard Rating Location Observations           Site Evaluation/                  Standard
                                       met /                                       Evidence/Comments                     met /
                                      not met                                                                           not met
cipal contractors, main contractors, sub-contractors, employers and self employed persons)
fic Management Registration Scheme)
affic controller you need to speak with

, Never turn their back to oncoming




                          Overall
                        Assessment


              Rating        Rating
   Rating System
   SCHEME ELEMENT                   DESKTOP COMPONENT**                            ON SITE COMPONENT                       OVERALL ASSESSMENT

   Quality Assurance*
                                                                                If you are rated Amber or Red, this
                                                                               means there are issues to be
                                 If you are rated green at desktop then an
                                                                               reviewed. Any non-conformances
                                  on site audit will be arranged. If you are
                                                                               identified will need to be addressed  This rating will determine your system
                                amber or red, feedback will be provided in
                                                                               and corrected, evidence submitted and status. Once you have a Green status
                                     relation to the non-conformances or
                                                                               the non-conformance closed by the       the company then submitted to the
                                suggested improvements. These will need
                                                                               audit team for the overall assessment     QGCPO for their approval as a
                                 to be addressed and new documentation
                                                                               to be considered Green. If you are        recommended Quality Assured
                                      submitted and passed free of non
                                                                               rated green, your company will be                      supplier.
                                  conformances before an on site audit is
                                                                               recommended to the QGCPO for their
                                                    arranged.
                                                                               approval as a recommended Quality
   Occupational Health and
                                                                               Assured supplier.
   Safety*

   Industrial Relations         There is no desktop component to this          The audit team will be reviewing         If the audit teams finds any issues that
                                scheme element                                 employee records to ensure the pay       do not seem appropriate, this
                                                                               cycles are running appropriately, that   information will be forwarded to Fair
                                                                               leave accruals are occurring and that    Work Australia for their review and
                                                                               superannuation returns are occurring.    investigation (where they deem
                                                                               The team will also wish to view your     necessary). If your company is found to
                                                                               company's IR policy, plan and            not have an IR policy or IR plan or a
                                                                               Enterprise Agreement (where              Fair Work Australia investigation finds
                                                                               applicable) or Industrial Instrument.    that your company is in breech of its
                                                                                                                        Industrial Relations responsibilities,
                                                                                                                        TMR will review your company's
                                                                                                                        registration with the Traffic
                                                                                                                        Management Registration Scheme as
                                                                                                                        this be considered a breech of the
                                                                                                                        scheme requirements.

   * Please note that experience, training ratios and competency are covered in assessment of QA and OH&S systems

   * Please note that registered companies that have been 3rd party audited for QA or OH&S, TMR will only undertake the on site component of this assessment. We will still require your system documents to allow us to prepare
   to audit your company on site.


   Personnel Training Ratios
   All Traffic Controllers to   This requirement applies to all registered companies
   be licensed

   1 in 2 employees must        For companies that are not pure traffic management companies, the 1 in 2 ratio applies to the employees who undertake traffic management duties as a major part of their role.
   have level 2 traffic
   management training
   1 in 30 employees must       For companies that are not pure traffic management companies, the 1 in 30 ratio applies to the employees who undertake traffic management duties as a major part of their role.
   have level 3 training




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   1 employee per           Best practice would be that level 4 employees would not audit traffic management plans or roadwork sites in their own depot/centre
   depot/centre must have
   level 4 training




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   Rating Guidance
   The rating guidance in the table below will provide a better understanding of the strengths and weaknesses of your management systems, training and competency levels of your employees. Compare which zone you are in for
   each scheme element for the desktop component and the on site component - if you are in a different zone for the same system element, it is likely that there are gaps in your systems between how it designed to operate and
   how it actually operates on the ground. What you are documenting may not be translating on the ground in the workplace and what you are doing on the ground may not be captured and embedded in your systems. To address
   any gaps in your systems and move to the Go - Green zone, review your system elements with your employees to find out where the system is inconsistent and anlayse what is causing the inconsistency. It will be critical for your
   employees to fully understand your company management processes and systems to make sure they are using them properly to ensure you reach and sustain the Go - Green zone.



   Scheme Element                                                 Stop - Red Zone                                                          Caution: Hazard Alert - Amber Zone                                            Go - Green Zone
   Quality Assurance         It is unlikely that the quality assurance responsibilities in your business have been made     You are on the right track, but you need to do more to address the         Your quality assurance responsibilities are clear in
                             clear or that quality system requirements or training and staff competency are seen as a       quality assurance responsibilities and procedures within your quality      your system and to your workers. Your workers are
                             priority.                                                                                      assurance system. Further development and training of staff in key         trained and supervised and your consultation
                                                                                                                            positions to influence continual improvement in the business.              processes are working well.



   Occupational Health and   It is unlikely that safety responsibilities have been made clear or that safety is seen as a   You are on the right track, but you need to do more to address the risks   Your workers are being trained and supervised
   Safety                    priority. You need to take immediate action to develop a culture that values safety, quality   in your workplace. You need to be more consistent with your                effectively and are aware of their role, and yours, in
                             and highly skilled employees. You can do this be defining your roles, allocating resources     commitment to workplace safety. You are beginning to identify risks,       getting their work done safely. Safety roles,
                             to meet these responsibilities and demonstrating your company's commitment to operating        hazards and safety problems but are not doing all you can to prevent       responsibilities and procedures have been defined
                             a safe, strong and sustainable business that values its employees.                             their reoccurrence. You have some consultation arrangements in place       and clearly communicated in the workplace and your
                                                                                                                            but they may not be working effectively. Your employees are being          workers are following procedures for reporting safety
                                                                                                                            trained and supervised but you need to ensure this is done more            issues, and problems are acted on. Be aware,
                                                                                                                            consistently and that policies are enforced.                               however, that changes in your workplace and work
                                                                                                                                                                                                       processes can make your existing controls and
                                                                                                                                                                                                       procedures ineffective. You undertake effective
                                                                                                                                                                                                       consultation with your workers regularly.


   Industrial Relations      There appear to be significant issues with the way your systems are set up to consult with, You are on the right track but you need to do more to ensure your             Your industrial relations and employee engagement
                             pay and keep records for your employees. You will need to amend these practices to          system meets legislative requirements. You need to ensure your                procedures are working effectively. Your workers
                             ensure you conform with legislative requirements.                                           workers understand their conditions and their responsibilities and their      understand their conditions and their responsibilities.
                                                                                                                         conditions of employment. You may have some consultation                      Your system conforms with legislative requirements.
                                                                                                                         arrangements in place but they may not be working effectively or
                                                                                                                         capturing your employees input.




   Guidance for Auditors on Rating
                                                                   Stop - Red Zone                                                           Caution: Hazard Alert - Amber Zone                                           Go - Green Zone
                             A Red Zone rating will be given where there are one or more major non conformances that An Amber Zone rating will be given where there are zero major non                 A Green Zone rating will be given ONLY where there
                             will either impact worker safety or put lives at risk or put at risk the business's ability to conformance or if there are one or more minor non conformances. A          are NO non conformances
                             deliver their product                                                                          minor non conformance would normally focus on processes that while
                                                                                                                            important will not put lives at risk or negatively impact the business's
                                                                                                                            ability to deliver their product in the short term




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