AUDIT PLAN

Branch Division Location Version No. Revision Date Status DMS ref no.

Spatial Services and Information Section Maritime Safety Queensland Floor 21 Mineral House, Brisbane, 4001. 1.0 May 2007 Initial Issue

Document Revision Date Issued

Audit Plan 1.0 31 May 2007

TABLE OF CONTENTS 1 2 3 4 5 6 7 8 SCOPE .......................................................................................................................... 1 DEFINITIONS ................................................................................................................ 1 MAINTENANCE OF RECORDS .................................................................................... 1 SELECTION OF SURVEYS FOR AUDIT....................................................................... 2 INSTRUCTIONS AND AUDITOR................................................................................... 2 AUDIT PROCESS.......................................................................................................... 3 FIELD CHECKS OR MONITORING OF FIELD WORK.................................................. 3 AUDIT ASSESSMENT CRITERIA ................................................................................. 3 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.10 8.11 8.12 8.13 8.14 9 10 11 12 13 Job Instruction........................................................................................................ 3 Survey class........................................................................................................... 3 Method statement .................................................................................................. 4 Calibration.............................................................................................................. 4 Positional checks ................................................................................................... 4 Tide gauges ........................................................................................................... 4 Depth measurement............................................................................................... 4 Seabed coverage ................................................................................................... 4 Sounding reduction ................................................................................................ 4 Data Presentation .................................................................................................. 5 Statistical Analysis.................................................................................................. 5 Survey Report ........................................................................................................ 5 Survey plan ............................................................................................................ 5 Audit Assessment Criteria Field........................................................................... 5

REPORT, RECOMMENDATIONS AND CLASSIFICATION OF SURVEY ..................... 6 CONSIDERATION OF AUDIT REPORTS...................................................................... 6 FINALISATION OF AUDIT............................................................................................. 6 RECTIFICATION OF ERRORS AND DEFICIENCIES ................................................... 6 RELATIONSHIP MATRIX .............................................................................................. 7

Document Revision Date Issued

Audit Plan 1.0 31 May 2007

SCOPE

In accordance with Section 2.3 Monitoring/Compliance of the MSQ Policy, "Standards for Hydrographic Surveys within Queensland Waters", surveys conducted in Queensland waters will be monitored for; 1. Compliance with the policy; and 2. Effectiveness of the implementation and ongoing management of the Standards Maritime Safety Queensland (MSQ) is auditing the surveyors quality of work by compliance to the standard. Failure to comply with the standard will refect upon the hydrographic surveyor and 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 Queensland Waters. Auditor An independent third party who is an Australasian Hydrographic Surveyors Certification Panel (AHSCP) certified practitioner (Hydrography 1) A certified practitioner in hydrographic surveying as determined by the Australasian Hydrographic Surveyors Certification Panel (AHSCP) of the Spatial Sciences Institute of Australia A person under direct supervision of a certified Hydrographic surveyor The Director Maritime Services at Maritime Safety Queensland The Principal Manager VTM & Information Services The Manager, Spatial Services and Information

Hydrographic Surveyor

Surveyor Director Principal Manager Manager

MAINTENANCE OF RECORDS

The Manager Spatial Services and Information and Corporate Link shall be responsible for the maintenance and storage of Audit records. Each audit will be allocated a unique number and file, noting the name of the surveyor and the location of the survey. Each audit file will contain the instruction from the Manager to carry out an audit, and specify the type of audit to be carried out. All correspondence, notes and reports will be stored in the file. The hydrographic surveyor may make a written request to the Director to view the contents of their audit file at the conclusion of the audit. Access shall be at the discretion of the Director.

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SELECTION OF SURVEYS FOR AUDIT

The program of scheduling and conducting audits is the responsibility of the Manager. A target for the number of surveys to be audited annually shall be set and distributed to the hydrographic 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. The aim of the Audit program is to ensure compliance to the standard by auditing 12 surveys during 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 audit program will be a combination of random checks and targeted surveys based upon a split of 75% random audits to 25% targeted audits. In a calendar year; 12 = number of audits annually 9 = number of random checks annually 3 = number of targeted surveys annually Random surveys will be selected from the complete list of surveys undertaken during the pervious 6 months. As the name suggests, the selection process will be indiscriminate and random. 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 the next 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 basis to all parties concerned. The report shall contain data relating to the previous 12 months and report 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 Manager will issue instruction of the surveys to be audited throughout the year. A copy of the instruction will be included in each audit file, stating the hydrographic surveyor and survey to be audited, and the preferred audit to be undertaken (see above for types of audits).

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As outlined above, the auditor shall be an Australasian Hydrographic Surveyors Certification Panel certified practitioner (Hydrography 1) or a suitably qualified professional spatial professional acting under the supervision of a Hydrography 1 certified practitioner. Where the auditor perceives a potential conflict of interest could arise by performing the audit, the Manager may appoint an alternative independent third party to perform the audit using the process outlined below. 6 AUDIT PROCESS

Upon receipt of an audit instruction, the Auditor will access the Audit file and gather information 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 Auditor will provide notification to the hydrographic surveyor of the intended audit, the type of audit to be conducted, and will record on file the details of any subsequent relevant communications with that hydrographic surveyor. Prior to commencement of any field audit, the Auditor will undertake a detailed examination of the survey notes, client instruction, method statement The primary object is to gain a full understanding of the survey requirement and to identify any areas of obvious noncompliance with the survey standards. Particular emphasis will be placed on ensuring that the correct methodology to satisfy the nominated 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 survey audit 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 the accuracy of the result obtained. All such measurements must be fully documented in the survey audit record. 8 AUDIT ASSESSMENT CRITERIA

The survey audit will be conducted in such a manner as will enable the auditor, upon the conclusion, 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 Tolerance o Minimum seabed coverage o Minimum qualification of personnel undertaking or supervising a hydrographic survey 8.3 Method statement (Part 2, Section 4) 8.4 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

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 shown o Hydrographic surveyor responsible for survey identified o Variation from method statement shown o Survey plan reference numbers o 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 been completed) and monitoring of field operations (during survey).

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The audit assessment criteria for both are similar and listed below, with independent field checks being the responsibility of the auditor, and monitoring of field operations checks being the 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 specific and detailed recommendations as to the action that should be undertaken to rectify all identified deficiencies. The auditor will also recommend an Audit rating (see chart below) for the survey. The Survey Audit Checklist, together with the relevant field notes, search information and related data, will be placed on the relevant file and forwarded to the Principal Manager to ensure compliance with the audit procedure. 10 CONSIDERATION OF AUDIT REPORTS Following receipt by the Principal Manager each audit report will be examined to confirm that the approved audit procedures have been observed. Any unusual issues or potentially controversial recommendations arising from the audit will be referred to the Director for determination or confirmation. A copy of the approved audit report will then be forwarded to the hydrographic surveyor for any clarification and additional evidence that the surveyor may wish to provide. The accompanying letter will advise the one month time frame within which additional information will be considered. In the case of unsatisfactory audit outcomes, the hydrographic surveyor will be requested to complete the recommended corrective actions. 11 FINALISATION OF AUDIT Following consideration of any additional evidence that the hydrographic surveyor may have provided, 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 rectification requirements will be restated. 12 RECTIFICATION OF ERRORS AND DEFICIENCIES For the purposes of rectification of errors, the date the copy of the approved audit report was originally forwarded to the hydrographic surveyor will be adopted as the commencement of the 3 month period allowing the hydrographic surveyor to complete any corrective work. At the expiry of the 3 month period, the Manager will check with Auditor to ascertain if the corrective work requested has been undertaken. Where deficiencies affecting the declared depth are detected in an Audit and subsequently rectified, the Manager shall approve the rectified survey to reflect the correct data and place a note in the audit file. The communication of the rectification is the responsibility of the hydrographic surveyor and the Manager The hydrographic surveyor is ultimately responsible for the survey data presented.

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13 RELATIONSHIP MATRIX Audit Rating Q Green Q Amber Q Red Q Indigo Survey Satisfactory or Unsatisfactory Satisfactory Satisfactory Unsatisfactory Unsatisfactory Rectification At hydrographic surveyors discretion Highly desirable Rectification required Rectification required Next Audit Routine Routine Routine Targeted

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Random survey list of all surveys undertaken in the past 6 months

Audit plan developed by Manager 9 = number of random 3 = number of targeted

Targeted survey list High risk surveys

Audit file created Unique number allocated Documents stored in file Independent field Check Monitoring of field work Desk top check of completed work Manager issues instruction for survey to be audited including the method of audit to the Auditor

Auditor to access audit file Starts gathering information on survey Client Instruction Survey method statement Survey report (if survey complete)

Auditor to give notice to hydrographic surveyor of pending audit & type of audit to be conducted Auditor to gain full understanding of the survey requirements, may include interviewing the client Audit Rating Audit conducted Preparation of concise report Documentation of results Detailed recommendation of actions required Recommends audit rating

Auditor provides preliminary report to Manager for examination

Manager approves preliminary report is in compliance with the audit procedure and instruction

Unusual or potentially controversial recommendations referred to Director for determination or confirmation

Preliminary report provided to hydrographic surveyor for clarification or additional evidence. Hydrographic surveyor has one month to reply

Hydrographic surveyor may elect to complete the recommended corrective outcomes

Final report prepared Audit rating provided

Hydrographic surveyor to complete recommended corrective outcomes

Report noted on file

At expiry of three months Manager to check recommended corrective outcomes have been completed and complied with

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