Introduction

A gap analysis is a determination of the degree of conformance of your organization to the requirements of a specification or standard. A gap analysis is mainly a document review or a "show me the evidence" activity, evidence which usually will come in the form of a record or document. During a gap analysis, the key process owner or project stakeholders provide evidence that they have met the requirements set forth in the specification or standard.

Gap analysis is often conducted at the beginning of a businesses journey toward compliance with a chosen specification or standard. However, it may also be conducted after some development of processes for achieving compliance has taken place. The main reason why gap analysis is conducted at the beginning of the development phase or after some development has occurred is because the business wants to know where it stands in regard to meeting the standard, and it wants to know specifically what it must do to close the gaps. Basically the business wants to know where the holes are—whether few or many—and what it needs to do to close those holes and get closer to fully meeting the requirements.

A gap analysis report presents a clear summary of where the major gaps exist between the company's documentation and the chosen requirements. It shows a detailed account of each requirement and the degree of compliance, with corresponding actions that should be taken to close these gaps.

Purpose

The overall purpose of the audit is to;

1. Assess compliance with Queensland Work Health and Safety Legislation in particular the due diligence obligations of the PCBU and 'officers'
2. Verify and validate the implementation and effectiveness of the current WHS Management System with regards to;
   • Management Systems
   • Plant & Equipment
   • People
3. Identify 'Opportunities for Improvements"
4. Recognise 'Positive Performance'

Scope

The scope of the audit coveres the following aspects of the businesses operations;

1. Management Commitment
2. Consultation
3. Purchasing & Contractor Management
4. Hazard Identification & Risk Management
5. Safe Systems of Work
6. Emergency Management
7. Incident Reporting & Investigation
8. Injury Management
9. Training Management
10. Environment/Waste Management

• The focus of the audit is on compliance by the business as the PCBU, with the duties and obligations of officers.
• In particular the auditor will assess how the expectations set out in the standard are being realised by the business in line with current legislation.

References

The following reference criteria were used in the compliance assessment of the WHS Management System;

• the Queensland Work Health & Safety Act 2011;
• the Queensland Work Health & Safety Regulations 2011;
• AS/NZS 4801:2001 Occupational health and safety management systems - Specification with guidance for use;
• the Australian Standard 3745:2010 Planning for Emergencies in Facilities;

Methodology

Approach

The auditor ensures consistency in approach methodology by following the steps outlined below;

1. pre-start meeting with the business representatives
2. audit scope & expectations briefing
3. Identify & review scope framework documentation
4. site inspection & interviews with relevant persons.
5. Revision of supporting documentation and cross checking of interview statements
6. Completion of the audit guidance tool
7. Preparation of the Draft Audit Report
8. Issue 'Draft for Comment' report
9. Submit report for peer review
10. Finalise and release report

Audit guidance tool

An audit guidance tool is developed to measure the compliance of each element in the scope criteria at the time of audit.

Deliverables

The following deliverables are realised at the conclusion of the audit;

• Preliminary findings presentation (Audit Close out meeting)
• Final Report in PDF format.
  • A hardcopy of the report can be provided for an additional fee.