SAFETY MANAGEMENT SYSTEM PROCEDURE

08PR091C AUDIT PROCEDURES

Brierty Ltd ABN 65 095 459 448

72 Melville Parade South Perth WA 6151
Locked Bag 2001 South Perth WA 6951
Telephone (08) 9267 8000
Facsimile 1300 735 152
info@brierty.com.au
AUDIT PROCEDURES
SAFETY MANAGEMENT SYSTEM PROCEDURE

CONTENTS
1 Purpose ...................................................................................................................................................... 3
2 Reference Standards ................................................................................................................................. 3
3 Scope And Frequency Of Audits ................................................................................................................ 3
4 Procedure Details ....................................................................................................................................... 3
4.1 Employer ............................................................................................................................................ 3
4.2 Employees / Individual ....................................................................................................................... 3
4.3 General Managers, Project Managers And Supervisors ................................................................... 4
4.4 Auditor Competency .......................................................................................................................... 4
5 Audit Protocols ........................................................................................................................................... 4
6 Methodology ............................................................................................................................................... 4
7 Reporting Of Results .................................................................................................................................. 5

DOCUMENT CONTROL
Document ID Document Name Comment
08PR091C Audit Procedures

Date Version Description Originator Reviewer Approver

12/01/09 1 Safe Work Procedure S Hart S Hart S Crofts
19/03/09 2 Safe Work Procedure Upgrade S Hart S Hart S Crofts
28/01/10 3 Safe Work Procedure Upgrade S Hart E Kelman S Hart
03/08/10 4 New Document Control Guidelines K Berridge S Hart S Hart
17/02/11 5 Incorporated INX for monitoring actions T Thompson S Hart S Hart
08/08/13 6 Included the requirement to upload reports B Bryan T Thompson B Bryan
onto the INX InControl documents tab

DEFINITIONS AND ABBREVIATIONS

Term Abbreviation Comment
OHS Management Software INX

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1 PURPOSE
Auditing whether it is external or internal allows Brierty Limited to ensure that compliance to their Safety
Management, Environmental and Quality systems are adhered to as well as adopting best practise that
industry providers have placed. This procedure highlights a framework and guideline for conducting mainly,
internal auditing.

2 REFERENCE STANDARDS
 AS 4801:2001 Audit Protocol
 ISO 9001:2008- Audit Protocol
 ISO 14001:2004-Environmental Protocol

3 SCOPE AND FREQUENCY OF AUDITS

The scope of the above audits will be administered across all of Brierty Limited sites and control of works.
The frequency of the internal audits will be as stipulated with the Brierty Safety Compliance Schedule, or at a
time being six months of the start date of a project in whichever comes first. External audits will be
conducted by external parties at intervals no longer than twelve months or by agreement by both the party
involved and Brierty Limited.

High Risk Job sites will however be audited on a more frequent time period than the above set criteria, this is
to ensure that the safe work methods for the High Risk site are being implemented. A more frequent audit
schedule allows Brierty Limited to gauge the effectiveness of the work methods.

An internal review of the safety system and mandatory procedures will be completed periodically. The
review will involve reviewing the mandatory procedures for AS 4801 and updating the document if required.
If a change is made then the procedure document control table must be updated with new revision date and
explanation of the change made. The document update register is also updated and issued my email to
relevant parties.

4 PROCEDURE DETAILS

4.1 EMPLOYER
Brierty is accountable under various Workplace Health and Safety Acts and Regulations and in Common
Law for providing a safe place of work and eliminating hazards in the workplace. Part of this responsibility
involves taking reasonable steps to ensure that all people on site are both competent and in a fit state to
work safely, the auditing process allows Brierty Limited to show compliance in reference to the above.

4.2 EMPLOYEES / INDIVIDUAL

All employees have a corresponding duty of care under Workplace Health and Safety Acts and Regulations,
Mines Act and Regulations Construction Acts and in Common Law to take reasonable care so as not to
expose themselves or fellow employees to unnecessary risks.

Individuals must abide by the safe systems of work that Brierty Limited supply, with auditing we can ensure
that the systems are co compliant and that constant monitoring will ensure the effectiveness of the system
with employee and individual’s involvement.

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4.3 GENERAL MANAGERS, PROJECT MANAGERS AND SUPERVISORS

General Mangers, Project Managers and Supervisors have a responsibility to ensure that if corrective
actions, whether they are Areas of Concern or Non Conformances, are dealt with

In a timely manner and the results or close out of the corrective actions that audits have identified have been
effectively undertaken. Business Unit Mangers, Project Managers and Supervisors are responsible for the
effective implementation of corrective actions that have been identified.

Examples of ways to ensure the effectiveness are:

1. Briefing of all employees;

2. Provision of appropriate education and training resources; and
3. Review of the procedures application and effectiveness in their areas of responsibility

4.4 AUDITOR COMPETENCY

All personnel conducting the auditing process must be trained and deemed competent to undertake the task.

They must only audit those practices or systems that their competency has been issued to, for example:

 OH&S Auditor must be accredited to this discipline and must have some knowledge of how the work
methods and processes are under taken in this discipline, as well as have an understanding of the
relevant standard pertaining to this discipline.

 Environmental Auditor must be accredited to this discipline and must have knowledge in this area as
well as the understanding of the standard

 Quality Auditor must be accredited to this discipline and must have knowledge in this area as well as
having an understanding of the standard.

5 AUDIT PROTOCOLS
Audit protocols have been formatted to guide the auditors in achieving best results, however this is a
minimum standard and if the knowledge of the auditor through best practice, experience or appropriate
legislation is higher goal than the associated standard, then it is in the company’s best interest to adopt
these as well, however the audit will not be gauged against these as far as the marking is concerned. These
will be logged as Opportunities for Improvement.

All audit formats will have an open and closed meeting with site management and persons involved, all open
and closed meetings will be entered onto the audit report with the members involved, name, and date of
meeting as well as time placed on report.

6 METHODOLOGY
The auditor assesses the compliance and a score is given as appropriate. The Audit Body includes as many
sections as necessary to reflect all relevant Brierty management areas. However, only those management
areas audited are considered for the assessment of audit score. Any questions not relevant to the operations
are omitted – will not reflect in the final score.

Subsequent audits will include a review of the action list from the past audit to ensure items have been
addressed.

Compliance is assessed by the auditor and non-compliances are classified as:

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 Non-conformance Where there is a total or significant absence of procedures or controls as

required by the AS/NZS 4801, ISO 9001 or ISO 14001, Brierty Ltd
standards or project specific management plans that result in a risk to
the personnel, project or Company or where there is a breakdown in the
system caused by lack of adherence to specified controls and
requirements, resulting in a serious breach.

 Area of Concern Where the non-conformity is less significant or a lapse and where the
basic intent of the AS/NZS 4801, ISO 9001 or ISO 14001, Brierty Ltd
Standards or project-specific management plans has been met.

Failure to adequately address areas of concern raised in an audit may be

upgraded to non-conformances at future audits.

 Opportunity for Where the non-conformity is insignificant or an isolated lapse and where
improvement the basic intent of the requirements has been met by the management
systems or project-specific management plans could be improved to
provide better assurance of continuing compliance.

7 REPORTING OF RESULTS
A thorough and concise report shall be formatted using the approved Brierty Format.

The results of the audit shall be entered into INX. All non-conformance and areas of concern are to be
recorded in the corrective action section of INX, ensuring that adequate physical and financial resources are
allocated, All non-conformance and areas of concern will be allocated a realistic and achievable time frame,
with a follow up audit taking place within a allocated time frame but no more than six months, thus ensuring
that the corrective actions have been closed out.

Ensure reports, photos etc. are placed on the documents tab within the INX InControl management systems.

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