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Elements and Performance Criteria

1. Prepare for a WHS audit
   • 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
2. Develop a WHS audit plan
   • 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
3. Select appropriate WHS audit tools
   • 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
4. Gather information, data and WHS records
   • 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
5. Undertake WHS audit activities
   • 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
6. Report on the outcomes of the WHS audit
   • 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