Assessor Resource

MARM5003A
Conduct an audit of safety management systems

Assessment tool

Version 1.0
Issue Date: March 2024


This unit applies to people working in the maritime industry as a domestic commercial vessel marine surveyor and may form part of accreditation requirements for surveyors under Australian legislation.

This unit involves the skills and knowledge required to conduct a regulatory audit of the safety management system (SMS) on a domestic commercial vessel.

It involves systematic examination against National Standard for the Administration of Marine Safety (NSAMS) audit criteria to determine conformance with planned arrangements and the effectiveness of the approach to managing operational safety.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Prerequisites

Not applicable.


Employability Skills

This unit contains employability skills.




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.

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, the required skills and knowledge, the range statement and the Assessment Guidelines for the Training Package.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

The evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the Elements, Performance Criteria, Required Skills, Required Knowledge and include:

conducting maritime SMS audits against certificate of operation requirements for at least five vessels varying in size and operational limits

developing effective planning documents

providing high quality reports

ensuring behaviour reflects relevant current legislative and regulatory requirements

ensuring currency of relevant WHS/OHS skills and knowledge.

Context of and specific resources for assessment

Performance is demonstrated consistently over time and in a suitable range of contexts.

Resources for assessment include access to:

industry-approved marine operations site where conducting an audit of SMSs can be conducted

tools, equipment and personal protective equipment currently used in industry

relevant regulatory and equipment documentation that impacts on work activities

range of relevant exercises, case studies and/or other simulated practical and knowledge assessments

appropriate range of relevant operational situations in the workplace.

In both real and simulated environments, access is required to:

relevant and appropriate materials and equipment

applicable documentation including workplace procedures, regulations, codes of practice and operation manuals.

Method of assessment

Practical assessment must occur in an:

appropriately simulated workplace environment and/or

appropriate range of situations in the workplace.

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate to this unit:

direct observation of the candidate conducting an audit of SMSs

direct observation of the candidate applying relevant WHS/OHS requirements and work practices.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended.

In all cases where practical assessment is used it should be combined with targeted questioning to assess Required Knowledge.

Assessment processes and techniques must be appropriate to the language and literacy requirements of the work being performed and the capacity of the candidate.


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.

Required Skills:

Access and enter internal and external information on work health and safety (WHS)/occupational health and safety (OHS)

Access relevant SMS information and data

Advise on and negotiate development of additional safety plans and monitor designated actions

Attend to detail when making observations and recording outcomes

Make observations of workplace tasks and interactions between people, their activities, equipment, environment and systems

Manage own tasks within a timeframe

Relate effectively to personnel at all levels of the organisation, safety specialists and emergency services personnel as required

Review and analyse relevant workplace information and data

Use language appropriate to work group and task

Work independently and unsupervised

Write complex reports, procedures and plans

Required Knowledge:

Benefits, limitations and use of a range of communication strategies and tools appropriate to workplace

Characteristics, mode of action and units of measurement of major hazard types

Concept of common law duty of care

Development of tools such as positive performance indicators (PPIs) in assessing safety management performance

Difference between:

common law and statutory law

hazard and risk

Ethics related to professional practice

Formal and informal communication and consultation processes

Hierarchy of control and considerations for choosing between different control measures, such as possible inadequacies of particular control measures

How workforce characteristics and composition impacts on risk and a systematic approach to managing safety for example:

communication skills

cultural background/workplace diversity

gender

structure and organisation of workforce e.g. part-time, casual and contract workers, shift rosters, geographical location

language, literacy and numeracy

workers with specific needs

How vessel characteristics and certificate of operation may impact on SMS such as:

commercial activity

geographical location

maintenance requirements for vessel operating systems and work equipment

operational limits

passengers

size of vessel/ type of vessel

Internal and external sources of SMS information and data

Language, literacy and cultural profile of vessel employees

Limitations of generic hazard and risk checklists and risk ranking processes

Maritime legislative requirements for safety management plans and compliance

Methods for:

collecting reliable information and data, commonly encountered problems in collection, and strategies for overcoming such problems

providing evidence of compliance with maritime and WHS/OHS legislation

Nature and use of information and data that provides valid and reliable results on safety management performance processes (including PPIs) and limitations of other types of measures

Nature of maritime and typical vessel work requirements and processes (including work flow, planning and control) and hazards relevant to particular workplace

Organisational culture as it impacts on safety, risk management and change

Other functional areas that impact on safety management plans, systems and processes

Principles and practices of a systematic approach to managing safety

Principles of:

human behaviour and response to interactions with human, physical and task environment to identify psychosocial hazards

incident causation and injury processes

Professional liability in relation to providing advice

Range of risk analysis/assessment techniques and tools, and application and limitations of these techniques and tools, and auditing methods and techniques

Requirements for :

recordkeeping that addresses WHS/OHS, risk management, privacy and other relevant legislation

reporting under WHS/OHS and other relevant legislation including notifying and reporting incidents

Requirements of WHS/OHS and standards related to systematically managing safety

Requirements under hazard-specific WHS/OHS legislation and codes of practice

Risk as a measure of uncertainty and factors that affect risk

Roles and responsibilities under WHS/OHS legislation of employees including supervisors, contractors and other external WHS/OHS inspectors and advisors

Sampling methodologies, application and related statistical measures

Standard maritime industry controls for a range of hazards

Standards related to SMS information and data, statistics and records management including requirements for information and data under elements of systematically managing safety

State/territory and commonwealth WHS/OHS legislation, regulations, codes of practice, associated standards and guidance material, including prescriptive and performance approaches, and links to other relevant legislation such as industrial relations, equal employment opportunity, workers compensation, rehabilitation

Structure and forms of legislation including regulations, codes of practice, associated standards and guidance material

Types of hazard identification tools

WHS/OHS requirements and safe work practices

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below.

Benchmark may include:

Australian or international standards for maritime safety management

Specific industry standards (such as fishing, pearling, charter cruise, cargo)

Standards developed:

by WHS/OHS authorities

internally by the organisation or by commercial organisations or industry bodies

Regulatory requirements must include:

Marine Safety (Domestic Commercial Vessel) National Law

Relevant documentation may include:

Codes of practice

Guidance material

Industry standards

Organisational documents

WHS/OHS legislation, regulations and codes of practice

Resources may include:

Equipment

Specialist personnel

Systematic approach to managing safety may include:

Comprehensive set of processes that are combined in a methodical and ordered manner to minimise risk of injury or ill health in the workplace such as:

allocation of resources

communication and consultation

hazard and risk management

processes of WHS/OHS planning

recordkeeping and reporting

review and evaluation for ongoing safety improvement

training and competency

Information and data collected may include:

Claims

Complaints

Enforcement notices and actions

Hazard logs

Incident and injury reports

Information and data changes since last audit such as new equipment, processes, products, substances or certificate of operation

Interviews with management, supervisors, work groups, employees and other parties across a range of levels and roles including:

health and safety representatives

maritime regulators

contractors

Legal reports

Management system documentation including:

policies and procedures

position descriptions

duty statements

Observations in workplace, work operations and records

Operational documentation including:

completed forms

schedules

checklists

log books

minutes of meetings

action plans

maintenance reports

health surveillance records

Previous management system reports and industry risk profiles

Reports and management reviews

Surveillance audits

Training materials and records

Relevant personnel and stakeholders may include:

Employees and other parties across a range of levels and roles including:

customers/clients/passengers

health and safety representatives

industry associations

regulators

where appropriate, contractors

Management, persons in control of workplace, supervisors

Audit plan may include:

Information and data required to be on hand

Locations to be inspected

Meetings to be scheduled, people to be interviewed

Personnel involved

Sampling methodology including statistical measures

Scope of audit

Timelines

Audit tool/s may include:

Instruments for collecting evidence and conducting analysis and evaluation (not the same as audit criteria or benchmark), which may be:

adapted from existing tools

developed specifically for the purpose

purchased or accessed from existing tools

And may include:

descriptions of required characteristics to be checked

limitations for and instructions for use

performance checklists

sets of questions to be asked

Appropriate person/s may include:

Owner

Person in control of vessel

Objective evidence may include:

Information and data obtained through:

measurement

observation

tests

Audit findings and recommendations must include:

Benefits to be achieved by adopting audit report recommendations

Clear and concise

Follow-up processes may include:

Agreed meeting date with client following sufficient time for implementation of corrective actions, and may include:

checking rigour of original audit findings

providing new non-conformance report/s as required

verifying effectiveness of recommendations and control action/s, particularly in correction of non-compliance

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
Audit scope, objectives and benchmark are verified against regulatory requirements 
Relevant documentation is identified and obtained 
Resources required to conduct audit are identified and arranged 
Timing requirements are identified and audit is scheduled in agreement with relevant personnel 
Provision of valid and reliable evidence of a systematic approach to managing safety and risk controls within the context of the certificate of operation is ensured by nature of information and data collected 
Relevant personnel and stakeholders who may need to be consulted for corroborating evidence are included in sources of evidence 
Opportunities for corroborating evidence are included in information and data collection strategies 
Security, confidentiality, impartiality and equity issues are addressed through information and data collection strategies 
Audit plan is developed and documented 
Benchmark criteria, nature of risks, identified relevant information and certificate of operation are accurately reflected in audit tool/s 
Ability of audit tool/s to focus on evaluation of performance of SMS management processes is ensured 
Ability of audit tool/s to produce consistent outcomes if used by others is ensured 
Collection of evidence in a timely and efficient manner is supported by audit tool/s 
Entry interview is carried out and records of evidence and findings are progressively documented and retained in an appropriate format 
Workplace hazard identification activities being undertaken are determined and compared to safety management plan 
Processes and systems are examined to determine whether hazards of long latency and low frequency/high consequence are included and minimised 
Processes and systems are examined to determine whether risks to persons other than employees are identified and minimised 
Organisational factors that impact on the SMS and safety management plan are identified 
Own health and safety is addressed during audit according to organisational requirements and standards for safe work practices 
Compliance of information and data collection and evaluation activities with legal requirements is ensured 
Information and data collection and evaluation activities are carried out ethically 
Exit meetings with relevant personnel and stakeholders are conducted as required 
Outcomes of the risk assessment process are assessed for validity, reliability and inclusion of all major safety risks, in particular demonstrated use of risk assessment methods in the organisation/on the vessel 
Risk controls are evaluated for suitability and effectiveness in relation to organisational SMS 
Scope of organisational processes to monitor ongoing implementation of approaches to managing safety are evaluated 
Systematic analysis is undertaken to identify areas of compliance and non-compliance 
Advice is provided on impact of legislation and standards on selection, suitability and implementation of a range of safety management plans 
Compliance evaluation outcomes are documented and reported to relevant personnel and stakeholders 
Hazards identified during audit are reported promptly to appropriate person/s 
Evaluation results are compared against audit criteria 
Objective evidence of audit findings and recommendations are presented to client at closing meeting 
Possible challenges to report are anticipated and further explanations are prepared to promote acceptance 
Corrective action and follow-up processes are recommended according to regulatory requirements 

Forms

Assessment Cover Sheet

MARM5003A - Conduct an audit of safety management systems
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Assessment Record Sheet

MARM5003A - Conduct an audit of safety management systems

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