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Audit Team Carry Out Audit

Audit Team Carry Out Audit

Methodology for Design Stage Audits

Methodology for Stage 3 Audits

Methodology for Stage 4 Audits

Audit Team Carry Out Audit

Upon receipt of a satisfactory commission and audit brief, the audit team will undertake the audit and produce a report in the time period agreed with the Scheme Manager.

For a post-construction (stage 3) audit, where the Police and maintenance authority representative need to be invited to the site visit, the audit process may take additional time to allow sufficient notice to be given to all the invitees.

Adequate planning and programming of the audit process are essential including appropriate health and safety assessments and any special requirements needed for the site visit.

The Scheme Manager and the design team, when collaborating over timescales for completion of the overall design and construction of the scheme, should allow sufficient time for the audit process to be carried out. Before the subsequent stage of design or the construction commences sufficient time should also be allowed for changes to the design that are required as a result of the audit findings, and/or the production and signing off of an Exception Report.

If the audit team consider that additional specialist advice is needed then the application needs to be made to the Scheme Manager for their inclusion in the audit, but they will not be part of the audit team and are only there to provide specific expertise i.e. ITS, signal design.

Methodology for Design Stage Audits

The following describes a suggested working method for carrying out a Design Stage Audit, at

Stage 1, the combined Stage 1 & 2, or Stage 2.

  • The Audit Team looks through drawings and other information provided by the Scheme Manager to understand the scheme concept. If additional information is required the Audit Team Leader should request this is provided by the Scheme manager prior to continuing with the audit process.
  • Each team member systematically and independently examines all drawings and
    other information provided and records any comments. It is suggested these comments are stored digitally and data tagged to the audit.
  • At a suitable time, the Audit Team visits the site together. The weather, road conditions and any other relevant circumstances should be recorded. The site visit should be scheduled to coincide with the predominant use of the scheme i.e if the scheme is to provide a pedestrian crossing near a school, the site visit should be scheduled at school opening or closing time.
  • The team members discuss their individual findings.
  • The Audit Team decides which comments are related to safety and discuss possible viable recommendations. Any comments recorded by team members that do not go forward to the final report should be noted in the auditor's own records, together with a reason stating why that issue is not to be included.
  • One team member produces an audit report (normally the Team leader). The report format is discussed overleaf.
  • The other Audit Team members (if any) check the report and edit if necessary.

Methodology for Stage 3 Audits

The following describes a suggested working method for carrying out a Construction Stage Audit – Stage 3 Audit.

  • The Stage 3 Audit is undertaken to assess the constructed scheme, the operational safety of the scheme and any effects the scheme may have on the adjacent road network.
  • All of the findings of the Stage 3 Audit will be generated from the site visit. Therefore it is important that the site visit is timed to both assess the suitability of use of the scheme and also is undertaken sufficiently in advance of the scheme opening for the contractor to have time to implement the recommendations of the audit.
  • For large road projects phased opening of the scheme is often required. In such instances, it is normal to undertake a Stage 3 audit for each section of the works. In order to assess the scheme, the project should be sufficiently complete for all aspects to be observed. This should include drainage, road surfacing, signage and road markings.
  • The contractor is often under programme constraints to open a scheme as soon as ‘substantial’ completion is achieved, this might be as soon as the road markings are applied. In such situations, it may be prudent to undertake 2 or more interim Stage 3 audits throughout the construction process. The interim audit should be scheduled to provide sufficient time prior to the opening of the scheme for the audit recommendations to be implemented.
  • The Audit Team, including observers, visits the site during daylight hours. If the scheme is related to particular peak hours, e.g. school entrance junction, the visit should be scheduled to coincide with these times.
  • The Audit Team drives walks and cycles the route as appropriate.
  • One team member takes notes of all the possible safety issues.
  • Another team member takes photographs of all the possible safety issues.
  • Before leaving the site a team meeting is held to ensure that the note-taker has covered all safety issues.
  • The Audit Team visits the site during darkness; walking driving and cycling as appropriate.
  • One team member (normally the Team Leader) produces an audit report and circulates it to all present at the site visit.
  • The report is edited following comments from the other team members and observers.

For Stage 3, it is the responsibility of the Scheme Manager where relevant to provide contact details to the audit team of the Police and the Road Maintenance Authority. The audit team will inform them of the proposed dates of the Stage 3 site visit. Attendance of both the police and the Roads authority are generally helpful at this stage – but not mandatory. They will have knowledge of recent collisions in the vicinity of the scheme. If suitable dates cannot be agreed the audit team must decide when the site visit is to be undertaken and inform all parties accordingly – including the Scheme Manager.

The maximum number of individuals present at the site visit should be limited to an absolute maximum of six. Audit Team Leaders are responsible for the safety of individuals during the site visit and control of splinter groups is difficult if larger numbers are involved.

Methodology for Stage 4 Audits

The following describes a suggested working method for carrying out a Construction Stage Audit – Stage 4 Audit.

  • The Audit Team reviews all available information on collisions since the scheme opening. It will be likely that there are no available records, but there may be information on incidents available from the organisation responsible for maintenance.
    The extent of information and identified change in the safety of the scheme since the opening will determine whether any site visit is necessary and identifiable patters of collisions are evident.
  • If there is no evidence of safety issues, either from data or unresolved issues from previous audit stages, no further investigation is necessary and this is stated in the report.
  • The Audit Team should visit the site during daylight, walking, driving and cycling the entire scheme, including affected side roads, as appropriate if any concerns are evident.
  • The Audit Team notes any evidence of collisions or of vehicles leaving the road.
  • The Audit Team observes road user behaviour for a period that is considered representative by the audit team. This should be done throughout the scheme at any location that is considered critical, such as those that have been highlighted in previous Road Safety Audit reports, or those where collisions or incidents have occurred.
  • Particular attention should be paid to the tie-ins to the existing road network at the edges of the scheme.
    To allow for changes in traffic flows through the day it may be necessary to make these observations at more than one visit.
    One team member takes photographs of all the possible safety issues.
  • The Audit Team should also visit the site during darkness if problems exist at those times; walking, driving and cycling as appropriate.
  • One team member produces an audit report and circulates it to all present at the site visit.
  • The report is edited following comments from the other team members and observers.
  • The Audit Team submits the report to the Client.

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Risk Assessments

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