This unit describes the skills and knowledge required to conduct an internal work health and safety (WHS) audit or an external WHS audit under the guidance of a lead auditor.
This unit applies to the auditing of a systematic approach to managing WHS, which may or may not be formalised as part of a WHS management system, and can be against internal or external benchmarks. It involves systematic examination against audit criteria to determine conformance to planned arrangements for the management of WHS.
It applies to personnel required to conduct a WHS audit. A WHS audit may be conducted by an individual or by a team and may be concurrent with other management system audits or conducted as a standalone exercise.
This unit does not cover evaluation of the organisation’s overall WHS performance, which is addressed in BSBWHS604 Evaluate the WHS performance of organisations.
NOTE: The terms 'occupational health and safety' (OHS) and 'work health and safety' (WHS) are equivalent and generally either can be used in the workplace. In jurisdictions where the Model WHS Legislation has not been implemented RTOs are advised to contextualise the unit of competency by referring to the existing State/Territory OHS legislative requirements.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
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Evidence Required
List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.
ELEMENT
PERFORMANCE CRITERIA
Elements describe the essential outcomes.
Performance criteria describe the performance needed to demonstrate achievement of the element.
1 Prepare for a WHS audit
1.1 Define the scope, objectives and benchmarks of the audit
1.2 Identify and obtain relevant documentation, including preliminary material, on the operation of the organisation
1.3 Identify and arrange resources required to conduct the audit
1.4 Assign timing, schedule and responsibilities for the audit
2 Develop a WHS audit plan
2.1 Ensure nature of information and data collected provides valid and reliable evidence of the systematic approach to managing WHS and risk controls within the context of the organisation
2.2 Include key personnel and stakeholders in sources of evidence
2.3 Ensure information and data collection strategies address issues of security, confidentiality, impartiality and equity
2.4 Include opportunities for corroborating evidence in information- and data collection strategies
2.5 Document audit plan and submit to key personnel and stakeholders for consultation and feedback
2.6 Modify audit plan in relation to feedback from key personnel and stakeholders
2.7 Re submit audit plan to key personnel and stakeholders for comment as appropriate
2.8 Negotiate issues concerning audit plan with key personnel and stakeholders, and amend documents where required
3 Select appropriate WHS audit tools
3.1 Ensure audit tools accurately reflect the criteria of the benchmark, nature of risks, identified relevant information and data types
3.2 Ensure audit tools focus on WHS management processes
3.3 Ensure audit tools can be used with consistent outcomes by all members of the audit team
3.4 Ensure audit tools enable collection of evidence in a timely and efficient manner
3.5 Trial audit tools and modify as required
4 Gather information, data and WHS records
4.1 Consult a broad range of workplace personnel during evidence-gathering activities
4.2 Gather information, data and WHS records, compare with the audit plan and identify reasons for discrepancies
4.3 Identify and use alternative methods when required information, data and WHS records are not forthcoming using planned methods
4.4 Check reliability and validity of information, data and WHS records with a number of sources
4.5 Adapt to contingencies as they arise
5 Undertake WHS audit activities
5.1 Undertake preliminary evaluation
5.2 Undertake initial meetings and work site familiarisation
5.3 Monitor progress of the audit plan with key personnel and stakeholders and/or audit team members to ensure resources are being used as planned, and that audit objectives and audit timelines are being achieved
5.4 Progressively document and retain records of information, data and WHS records and findings in an appropriate format
5.5 Report promptly the hazards and risks identified during the audit to key personnel and stakeholders and/or person in control of the workplace
5.6 Address own health and safety during the audit according to organisational requirements and standards for safe work practices and applicable WHS legislation
5.7 Ensure information and data collection and evaluation activities comply with legal requirements and are carried out ethically
5.8 Undertake exit meetings with key personnel and stakeholders as appropriate
6 Report on the outcomes of the WHS audit
6.1 Compare results of the evaluation against audit criteria
6.2 Consult appropriately on evaluation results and develop summary audit findings and recommendations
6.3 Present summary audit findings and recommendations to key personnel and stakeholders at the closing meeting
6.4 Present objective evidence with clear and concise findings, including benefits to be achieved by adoption of the audit recommendations
6.5 Anticipate possible challenges to the report and prepare further explanations to promote acceptance
6.6 Recommend corrective action and follow up processes as required
Submission Requirements
List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here
Assessment task 1: [title] Due date:
(add new lines for each of the assessment tasks)
Assessment Tasks
Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.
ELEMENT
PERFORMANCE CRITERIA
Elements describe the essential outcomes.
Performance criteria describe the performance needed to demonstrate achievement of the element.
1 Prepare for a WHS audit
1.1 Define the scope, objectives and benchmarks of the audit
1.2 Identify and obtain relevant documentation, including preliminary material, on the operation of the organisation
1.3 Identify and arrange resources required to conduct the audit
1.4 Assign timing, schedule and responsibilities for the audit
2 Develop a WHS audit plan
2.1 Ensure nature of information and data collected provides valid and reliable evidence of the systematic approach to managing WHS and risk controls within the context of the organisation
2.2 Include key personnel and stakeholders in sources of evidence
2.3 Ensure information and data collection strategies address issues of security, confidentiality, impartiality and equity
2.4 Include opportunities for corroborating evidence in information- and data collection strategies
2.5 Document audit plan and submit to key personnel and stakeholders for consultation and feedback
2.6 Modify audit plan in relation to feedback from key personnel and stakeholders
2.7 Re submit audit plan to key personnel and stakeholders for comment as appropriate
2.8 Negotiate issues concerning audit plan with key personnel and stakeholders, and amend documents where required
3 Select appropriate WHS audit tools
3.1 Ensure audit tools accurately reflect the criteria of the benchmark, nature of risks, identified relevant information and data types
3.2 Ensure audit tools focus on WHS management processes
3.3 Ensure audit tools can be used with consistent outcomes by all members of the audit team
3.4 Ensure audit tools enable collection of evidence in a timely and efficient manner
3.5 Trial audit tools and modify as required
4 Gather information, data and WHS records
4.1 Consult a broad range of workplace personnel during evidence-gathering activities
4.2 Gather information, data and WHS records, compare with the audit plan and identify reasons for discrepancies
4.3 Identify and use alternative methods when required information, data and WHS records are not forthcoming using planned methods
4.4 Check reliability and validity of information, data and WHS records with a number of sources
4.5 Adapt to contingencies as they arise
5 Undertake WHS audit activities
5.1 Undertake preliminary evaluation
5.2 Undertake initial meetings and work site familiarisation
5.3 Monitor progress of the audit plan with key personnel and stakeholders and/or audit team members to ensure resources are being used as planned, and that audit objectives and audit timelines are being achieved
5.4 Progressively document and retain records of information, data and WHS records and findings in an appropriate format
5.5 Report promptly the hazards and risks identified during the audit to key personnel and stakeholders and/or person in control of the workplace
5.6 Address own health and safety during the audit according to organisational requirements and standards for safe work practices and applicable WHS legislation
5.7 Ensure information and data collection and evaluation activities comply with legal requirements and are carried out ethically
5.8 Undertake exit meetings with key personnel and stakeholders as appropriate
6 Report on the outcomes of the WHS audit
6.1 Compare results of the evaluation against audit criteria
6.2 Consult appropriately on evaluation results and develop summary audit findings and recommendations
6.3 Present summary audit findings and recommendations to key personnel and stakeholders at the closing meeting
6.4 Present objective evidence with clear and concise findings, including benefits to be achieved by adoption of the audit recommendations
6.5 Anticipate possible challenges to the report and prepare further explanations to promote acceptance
6.6 Recommend corrective action and follow up processes as required
Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.
Observation Checklist
Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice
Yes
No
Comments/feedback
Define the scope, objectives and benchmarks of the audit
Identify and obtain relevant documentation, including preliminary material, on the operation of the organisation
Identify and arrange resources required to conduct the audit
Assign timing, schedule and responsibilities for the audit
Ensure nature of information and data collected provides valid and reliable evidence of the systematic approach to managing WHS and risk controls within the context of the organisation
Include key personnel and stakeholders in sources of evidence
Ensure information and data collection strategies address issues of security, confidentiality, impartiality and equity
Include opportunities for corroborating evidence in information- and data collection strategies
Document audit plan and submit to key personnel and stakeholders for consultation and feedback
Modify audit plan in relation to feedback from key personnel and stakeholders
Re submit audit plan to key personnel and stakeholders for comment as appropriate
Negotiate issues concerning audit plan with key personnel and stakeholders, and amend documents where required
Ensure audit tools accurately reflect the criteria of the benchmark, nature of risks, identified relevant information and data types
Ensure audit tools focus on WHS management processes
Ensure audit tools can be used with consistent outcomes by all members of the audit team
Ensure audit tools enable collection of evidence in a timely and efficient manner
Trial audit tools and modify as required
Consult a broad range of workplace personnel during evidence-gathering activities
Gather information, data and WHS records, compare with the audit plan and identify reasons for discrepancies
Identify and use alternative methods when required information, data and WHS records are not forthcoming using planned methods
Check reliability and validity of information, data and WHS records with a number of sources
Adapt to contingencies as they arise
Undertake preliminary evaluation
Undertake initial meetings and work site familiarisation
Monitor progress of the audit plan with key personnel and stakeholders and/or audit team members to ensure resources are being used as planned, and that audit objectives and audit timelines are being achieved
Progressively document and retain records of information, data and WHS records and findings in an appropriate format
Report promptly the hazards and risks identified during the audit to key personnel and stakeholders and/or person in control of the workplace
Address own health and safety during the audit according to organisational requirements and standards for safe work practices and applicable WHS legislation
Ensure information and data collection and evaluation activities comply with legal requirements and are carried out ethically
Undertake exit meetings with key personnel and stakeholders as appropriate
Compare results of the evaluation against audit criteria
Consult appropriately on evaluation results and develop summary audit findings and recommendations
Present summary audit findings and recommendations to key personnel and stakeholders at the closing meeting
Present objective evidence with clear and concise findings, including benefits to be achieved by adoption of the audit recommendations
Anticipate possible challenges to the report and prepare further explanations to promote acceptance
Recommend corrective action and follow up processes as required
Forms
Assessment Cover Sheet
BSBWHS606 - Conduct a WHS audit
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Assessment Record Sheet
BSBWHS606 - Conduct a WHS audit
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