PDF Audit Plan Hydro Surveys

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Document Audit PlanRevision 1.0

Date Issued 31 May 2007

AUDIT PLAN

Branch Spatial Services and Information SectionDivision Maritime Safety Queensland

Location Floor 21 Mineral House, Brisbane, 4001.

Version No. 1.0

Revision Date May 2007

Status Initial Issue

DMS ref no.


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Document Audit PlanRevision 1.0


TABLE OF CONTENTS

1 SCOPE ..........................................................................................................................12 DEFINITIONS................................................................................................................ 13 MAINTENANCE OF RECORDS .................................................................................... 14 SELECTION OF SURVEYS FOR AUDIT.......................................................................25 INSTRUCTIONS AND AUDITOR................................................................................... 26 AUDIT PROCESS..........................................................................................................37 FIELD CHECKS OR MONITORING OF FIELD WORK................................ .................. 38 AUDIT ASSESSMENT CRITERIA ................................................................................. 3

8.1 Job Instruction........................................................................................................3

8.2 Survey class...........................................................................................................3

8.3 Method statement .................................................................................................. 4

8.4 Calibration.............................................................................................................. 4

8.5 Positional checks ................................................................................................... 4

8.6 Tide gauges ...........................................................................................................4

8.7 Depth measurement............................................................................................... 4

8.8 Seabed coverage................................................................................................... 4

8.9 Sounding reduction ................................................................................................ 4

8.10 Data Presentation .................................................................................................. 5

8.11 Statistical Analysis.................................................................................................. 5

8.12 Survey Report ........................................................................................................ 5

8.13 Survey plan............................................................................................................58.14 Audit Assessment Criteria Field...........................................................................5

9 REPORT, RECOMMENDATIONS AND CLASSIFICATION OF SURVEY ..................... 610 CONSIDERATION OF AUDIT REPORTS...................................................................... 611 FINALISATION OF AUDIT............................................................................................. 612 RECTIFICATION OF ERRORS AND DEFICIENCIES ................................................... 613 RELATIONSHIP MATRIX .............................................................................................. 7


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Document Audit PlanRevision 1.0 Page 1 of 8


1 SCOPE

In accordance with Section 2.3 Monitoring/Compliance of the MSQ Policy, "Standards forHydrographic Surveys within Queensland Waters", surveys conducted in Queensland waterswill be monitored for;

1. Compliance with the policy; and2. Effectiveness of the implementation and ongoing management of the Standards

Maritime Safety Queensland (MSQ) is auditing the surveyors quality of work by complianceto the standard. Failure to comply with the standard will refect upon the hydrographicsurveyorand the quality of the results obtained.

2 DEFINITIONS

For a comprehensive list of definitions see Part Four, Guidelines for Hydrographic Surveyors,Section 14 - GLOSSARY in the Standards for Hydrographic Surveys within QueenslandWaters.

Auditor An independent third party who is an AustralasianHydrographic Surveyors Certification Panel (AHSCP)certified practitioner (Hydrography 1)

Hydrographic Surveyor A certified practitioner in hydrographic surveying asdetermined by the Australasian Hydrographic SurveyorsCertification Panel (AHSCP) of the Spatial SciencesInstitute of Australia

Surveyor A person under direct supervision of a certifiedHydrographic surveyor

Director The Director Maritime Services at Maritime SafetyQueensland

Principal Manager The Principal Manager VTM & Information Services

Manager The Manager, Spatial Services and Information

3 MAINTENANCE OF RECORDS

The Manager Spatial Services and Information and Corporate Link shall be responsible forthe maintenance and storage of Audit records. Each audit will be allocated a unique numberand file, noting the name of the surveyorand the location of the survey.

Each audit file will contain the instruction from the Managerto carry out an audit, and specify

the type of audit to be carried out. All correspondence, notes and reports will be stored in thefile.

The hydrographicsurveyormay make a written request to the Directorto view the contentsof their audit file at the conclusion of the audit. Access shall be at the discretion of theDirector.


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4 SELECTION OF SURVEYS FOR AUDIT

The program of scheduling and conducting audits is the responsibility of the Manager. Atarget for the number of surveys to be audited annually shall be set and distributed to thehydrographic surveyors however; the ability to achieve the number and types of audits is

constrained by the availability of resources and suitably qualified auditors.

During a calendar year approximately 40 surveys are conducted in Queensland waters. Theaim of the Audit program is to ensure compliance to the standardby auditing 12 surveysduring each calendar year. This achieves a rate of 30% surveys being audited.

Only surveys completed within the prior 6 months shall be the focus of the audit program,unless directed by the Director.

Surveys selected for auditing fall into two categories, random checks and targeted. The auditprogram will be a combination of random checks and targeted surveys based upon a split of75% random audits to 25% targeted audits.

In a calendar year;12 = number of audits annually9 = number of random checks annually3 = number of targetedsurveys annually

Random surveys will be selected from the complete list of surveys undertaken during thepervious 6 months. As the name suggests, the selection process will be indiscriminate andrandom.

Targeted surveys will be selected where an issue has been identified and requires checking,or the previous audit returned an unsatisfactory finding and identified the need to audit thenext survey performed by the hydrographic surveyor.

Audit surveys may take on a variety of forms. These include; Independent field checks Monitoring of field work as the hydrographic surveys are carried out, and or Desk top check of completed hydrographic surveys

Statistical results from the audit program shall be prepared and published on an annual basisto all parties concerned. The report shall contain data relating to the previous 12 months andreport the;

Number of surveys audited Number of random surveys audited Number of targeted surveys audited Types of non conformances Actions arising from non conformances

5 INSTRUCTIONS AND AUDITOR

The Managerwill issue instruction of the surveys to be audited throughout the year. A copyof the instruction will be included in each audit file, stating the hydrographic surveyorandsurvey to be audited, and the preferred audit to be undertaken (see above for types ofaudits).


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As outlined above, the auditorshall be an Australasian Hydrographic Surveyors CertificationPanel certified practitioner (Hydrography 1) or a suitably qualified professional spatialprofessional acting under the supervision of a Hydrography 1 certified practitioner. Where theauditor perceives a potential conflict of interest could arise by performing the audit, theManager may appoint an alternative independent third party to perform the audit using theprocess outlined below.

6 AUDIT PROCESS

Upon receipt of an audit instruction, the Auditor will access the Audit file and gatherinformation on the survey to be audited. This will include but not be limited to;

Client instruction & purpose of survey Type of Audit to be completed (independent, monitoring, desktop) Survey Method statement Survey report if survey has been completed

At least one week in advance of undertaking an audit, the Auditorwill provide notification tothe hydrographic surveyorof the intended audit, the type of audit to be conducted, and willrecord on file the details of any subsequent relevant communications with that hydrographicsurveyor.

Prior to commencement of any field audit, the Auditorwill undertake a detailed examinationof the survey notes, client instruction, method statement The primary object is to gain a fullunderstanding of the survey requirement and to identify any areas of obvious non-compliance with the survey standards.

Particular emphasis will be placed on ensuring that the correct methodology to satisfy thenominated survey class has been applied.

7 FIELD CHECKS OR MONITORING OF FIELD WORK

All instruments used in the audit process shall be properly maintained and standardised in

accordance with all relevant regulatory requirements. Any instrument used in the surveyaudit is to be included in the survey audit record.

Where survey audit measurements indicate discrepancies with the original survey results,they shall be verified by the inclusion of sufficient observational redundancies to prove theaccuracy of the result obtained. All such measurements must be fully documented in thesurvey audit record.

8 AUDIT ASSESSMENT CRITERIA

The survey audit will be conducted in such a manner as will enable the auditor, upon theconclusion, to provide unambiguous and defensible responses to the following assessment

criteria:

8.1 Job Instruction (Part 2, Section 2.3)

Job instruction present and located in project file Job instruction clearly written and unambiguous All tasks critical to the resultant tolerance of the survey identified

8.2 Survey class (Part 3, Section 2)

Consequence Matrix value


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Likelihood matrix value Survey class matrix value

o Depth Toleranceo Minimum seabed coverageo Minimum qualification of personnel undertaking or supervising a hydrographic

survey

8.3 Method statement (Part 2, Section 4)

Project information complete Survey class shown Name of Supervising Hydrographic Surveyor, including qualifications Name of Surveyor (s) performing field work, including qualifications Purpose of survey defined Horizontal Positioning Vertical Datum Depth Measurement Seabed Coverage Sounding Reductio and Data Presentation Data Quality and Retention

8.4 Calibration (Part 4, Section 4)

Are the Test / Calibration certificates current? Onsite checks for correct operation of equipment?

8.5 Positional checks (Part 4, Section 2 to 5)

Onsite checks for correct operation of equipment Horizontal datum connected to TGBM Vertical datum connected to TGBM TGBM confirmed by redundant measurement GPS observation at tide gauge location(s) GPS PDOP plots during observation period

8.6 Tide gauges (Part 4, Section 6)

Tide gauge connection to datum? Recording interval not greater than 10 minutes Tide board set to datum? Water level checks

8.7 Depth measurement (Part 4, Section 7)

Squat value for survey vessel known and squat curve defined. Average survey speed

Heave reduction applied to positional data Key depth of survey Results from bar check(s)

8.8 Seabed coverage (Part 4, Section 8)

Line spacing design and calculations Line spacing achieved plot Validation of coverage

8.9 Sounding reduction (Part 4, Section 9)


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Vertical co tidal zone information stated Interpolation technique utilised noted Tidal predictions used Use of AUSHYDROID if using RTK direct reduction

8.10 Data Presentation (Part 4, Section 10)

Soundings shallower than key depth shown in red Plan noted as surveyed or compiled Compiled data delineated and survey dates shown Contours shoal biased (for navigation type plans) Contours generated from all data (for dredging plans)

8.11 Statistical Analysis (Part 2, Section 7)

Written process for deriving depths Depth Tolerance in accordance with the Classification Table Redundant measurements Minimum sounding comparisons based on a search area of half the transducer

beam width radius. Are results consistent with the previous survey and performed works?

8.12 Survey Report (Part 2, Section 5)

Was the performed hydrographic survey in compliance with the Method statement? If so the title block information will suffice for a survey report If not then a separate survey report will be completed

o Dates of the survey showno Hydrographic surveyor responsible for survey identifiedo Variation from method statement showno Survey plan reference numberso Compliance statement and signature as to class of survey

8.13 Survey plan (Part2, Section 6)

Required to be competed for every survey Class of survey Horizontal datum and definition Vertical datum and definition Derived survey depth tolerance Date of survey completion Name of hydrographic surveyor (including signature) Scale of survey Survey system used for survey Key depths

References to any third party data Reference to coordinated tables MGA grid crosses North arrow

8.14 Audit Assessment Criteria Field

There are two types of field checks, independent field checks (once survey has beencompleted) and monitoring of field operations (during survey).


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The audit assessment criteria for both are similar and listed below, with independent fieldchecks being the responsibility of the auditor, and monitoring of field operations checks beingthe responsibility of the surveyor.

9 REPORT, RECOMMENDATIONS AND CLASSIFICATION OF SURVEY

The auditor will prepare a concise report, documenting the results of the audit using the

Survey Audit Checklist to ensure uniformity in presentation. The report will provide specificand detailed recommendations as to the action that should be undertaken to rectify allidentified deficiencies. The auditor will also recommend an Audit rating (see chart below) forthe survey.

The Survey Audit Checklist, together with the relevant field notes, search information andrelated data, will be placed on the relevant file and forwarded to the Principal Manager toensure compliance with the audit procedure.

10 CONSIDERATION OF AUDIT REPORTS

Following receipt by the Principal Managereach audit report will be examined to confirm that

the approved audit procedures have been observed. Any unusual issues or potentiallycontroversial recommendations arising from the audit will be referred to the Director fordetermination or confirmation.

A copy of the approved audit report will then be forwarded to the hydrographicsurveyorforany clarification and additional evidence that the surveyor may wish to provide. Theaccompanying letter will advise the one month time frame within which additional informationwill be considered. In the case of unsatisfactory audit outcomes, the hydrographicsurveyorwill be requested to complete the recommended corrective actions.

11 FINALISATION OF AUDIT

Following consideration of any additional evidence that the hydrographicsurveyormay haveprovided, the audit will be finalised at the expiry of the one month response period.

The hydrographic surveyor will be advised of the final Audit Rating, and any rectificationrequirements will be restated.

12 RECTIFICATION OF ERRORS AND DEFICIENCIES

For the purposes of rectification of errors, the date the copy of the approved auditreport wasoriginally forwarded to the hydrographicsurveyor will be adopted as the commencement ofthe 3month period allowing the hydrographicsurveyorto complete any corrective work.

At the expiry of the 3 month period, theManagerwill check with Auditorto ascertain if thecorrective work requested has been undertaken.

Where deficiencies affecting the declared depth are detected in an Audit and subsequentlyrectified, the Managershall approve the rectified survey to reflect the correct data and placea note in the audit file. The communication of the rectification is the responsibility of thehydrographic surveyorand the Manager

The hydrographic surveyoris ultimately responsible for the survey data presented.


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13 RELATIONSHIP MATRIX

Audit Rating Survey Satisfactoryor Unsatisfactory

Rectification Next Audit

Q Green SatisfactoryAt hydrographic

surveyorsdiscretionRoutine

Q Amber Satisfactory Highly desirable Routine

Q Red Unsatisfactory Rectification required Routine

QIndigo Unsatisfactory Rectification required Targeted


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Random survey list of allsurveys undertaken in thepast 6 months

Targeted survey listHigh risk surveys

Audit plan developed by Manager9 = number of random3 = number of targeted

Managerissues instruction for surveyto be audited including the method of

audit to the Auditor

Independent fieldCheck

Desk top check ofcompleted work

Monitoring of fieldwork

Audit file createdUnique number allocatedDocuments stored in file

Auditorto access audit fileStarts gathering information on survey Client Instruction Survey method statement Survey report (if survey complete)

Auditorto give notice to hydrographic

surveyorof pending audit & type ofaudit to be conductedAuditorto gain full understanding ofthe survey requirements, may includeinterviewing the client

Audit conductedPreparation of concise reportDocumentation of resultsDetailed recommendation of actionsrequiredRecommends audit rating

Audit Rating

Auditorprovides preliminary report toManagerfor examination

Managerapproves preliminary report isin compliance with the audit procedureand instruction

Unusual or potentially controversialrecommendations referred to Directorfor determination or confirmation

Preliminary report provided tohydrographic surveyorfor clarificationor additional evidence. Hydrographicsurveyorhas one month to reply

Hydrographic surveyormay electto complete the recommendedcorrective outcomes

Final report preparedAudit rating provided

Hydrographic surveyortocomplete recommendedcorrective outcomes

At expiry of three monthsManager to checkrecommended correctiveoutcomes have been completedand complied with

Report noted on file