Elements and Performance Criteria
- Carry out preliminary planning
- Develop safety management system audit plan
- 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
- Develop safety management system audit tool
- 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
- Undertake safety audit activities
- 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
- Assess, evaluate and advise on effectiveness of approach to safety and risk management
- 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
- Report on safety audit outcomes
- 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 checked and 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