BSBWHS606A - Conduct a WHS audit Competency Mapping Template
Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners
BSBWHS606A Mapping and Delivery Guide Conduct a WHS audit
Version 1.0 Issue Date: May 2024
Qualification
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Unit of Competency
BSBWHS606A - Conduct a WHS audit
Description
This unit describes the performance outcomes, 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, which may or may not be part of certification against a recognised benchmark or standard.It involves systematic examination against audit criteria to determine conformance to planned arrangements for the management of WHS.The unit includes developing an audit plan and tools to gather WHS information and data, ensuring client/management liaison and briefing, arranging access to information, setting up entry and exit meetings, coordinating evaluation/audit and audit team, and submitting reports.The scope and benchmark criteria for the audit will be agreed before the commencement of WHS information and data gathering and may address all areas of the organisation or an identified function, business or geographical area.
Employability Skills
This unit contains employability skills.
Learning Outcomes and Application
This unit applies to personnel required to conduct a WHS audit.It 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.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 BSBWHS604A 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 National 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.
Duration and Setting
X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites
Not applicable.
Competency Field
Development and validation strategy and guide for assessors and learners
Student Learning Resources
Handouts Activities
Slides PPT
Assessment 1
Assessment 2
Assessment 3
Assessment 4
Elements of Competency
Performance Criteria
Element: 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
Element: 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 as a result of 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
Element: 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 can collect evidence in a timely and efficient manner
Trial audit tools and modify as required
Element: 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
Element: 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 hazards and risks identified during the audit promptly 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
Element: 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
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, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.
Overview of assessment
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of the following is essential:
conducting an internal or external WHS audit, ensuring knowledge of hazard identification, risk assessment, risk control and WHS risk-management approaches are reflected in the audit tools and the methods used for collecting evidence
knowledge of products developed for the design and development of audit plans, tools, associated documentation and how these products were developed and used
knowledge of auditing methods and techniques.
Context of and specific resources for assessment
Assessment must ensure access to:
a workplace, including personnel involved in areas audited
organisational documentation, information and data.
Method of assessment
A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:
analysis of responses to case studies and scenarios
direct questioning combined with review of portfolios of evidence and third-party reports of onthejob performance by the candidate
demonstration of techniques used in conducting a WHS audit
observation of performance in role plays
observation of presentations
oral or written questioning to assess knowledge of nature of workplace processes (including work flow, planning and control) and hazards relevant to the particular workplace
review of audit plan
evaluation of audit tools developed and appropriateness of modifications
assessment of reporting on hazards identified during the audit
review of audit findings and recommendations.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
BSBWHS604A Evaluate the WHS performance organisations.
Submission Requirements
List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, 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
analytical skills to:
analyse relevant workplace information and data
contribute to the assessment of resources needed to systematically manage WHS and where appropriate access these resources
make observations of workplace tasks and interactions between people, their activities, equipment, environment and systems
communication skills to:
conduct effective formal and informal meetings and communicate effectively with personnel at all levels of the organisation, WHS specialists and, as required, emergency services personnel
use language appropriate to the work team and the task
write complex documents, such as policies, procedures and plans
consultation and negotiation skills to:
develop plans
implement and monitor designated actions
information technology skills to:
access and download internal and external information and data on WHS
use a range of media
organisational skills to manage own tasks within a timeframe
project-management skills to achieve change in WHS matters
research skills to:
access relevant WHS information and data
pay attention to detail when making observations and recording outcomes
use information and data-gathering techniques, such as brainstorming, polling and interviewing.
Required knowledge
auditing methods and techniques
commonwealth and state or territory WHS Acts, regulations and codes of practice
development and use of WHS performance assessment tools, such as positive performance indicators (PPIs)
ethics related to professional practice
formal and informal communication and consultation processes, and key personnel related to communication
internal and external sources of WHS information and data, and how to access them
language, literacy and cultural profile of the work team
legal liability in relation to providing advice
methods for collecting reliable information and data, commonly encountered problems in collection, and strategies for overcoming such problems
methods for providing evidence of compliance with WHS legislation
nature and use of information and data that provide valid and reliable results on performance of WHS management processes (including PPIs) and limitations of other types of measures
nature of workplace processes (work flow, planning and control) and hazards relevant to the workplace
organisational behaviour and culture as they impact on WHS and on change
other functional areas that impact on the management of WHS
principles and practices of a systematic approach to managing WHS
principles of effective meetings, including agendas, action planning, chair and secretarial duties, minutes and action items
requirements for recordkeeping that address WHS, privacy and other relevant legislation
standards related to WHS information and data, statistics and records management, including requirements for information and data under elements of systematically managing WHS
WHS legislative requirements regarding:
communication, consultation and participation
notification of incidents
recordkeeping
specific hazard identification and risk assessment methods
WHS legislative responsibilities, duties and obligations of managers, supervisors, workers, and persons conducting businesses or undertakings (PCBUs) or their officers.
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. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Benchmarks may include:
Australian and international standards
industry standards
standards developed by WHS regulators
other standards developed or adopted for internal use by the organisation.
Relevant documentation may include:
codes of practice
guidance material
industry standards
organisational documents
WHS legislation.
Resources may include:
equipment
specialist personnel.
Information and data collected may include:
complaints
enforcement/compliance notices and actions
hazard logs
incident and injury reports
information and data changes since last audit, such as new equipment, processes, products, substances or projects
interviews with management, supervisors, work groups, workers and other parties across a range of levels and roles, including:
health and safety representatives
WHS committee members
design personnel
contractors
legal reports
management system documentation, including:
duty statements
policies and procedures
position descriptions
observations in the workplace, work operations and records
operational documentation, including:
action plans
checklists
completed forms
legally accessible health surveillance records
log books
maintenance reports
minutes of meetings
schedules
previous management system reports and industry risk profiles
reports and management reviews
surveillance audits
training materials and records
workers’ compensation claims.
Systematic approach to managing WHS may include:
comprehensive set of processes that are combined in a methodical and ordered manner to minimise the risk of injury or ill health in the workplace, such as:
allocation of resources
communication and consultation
hazard management
processes of WHS planning
recordkeeping and reporting
review and evaluation for ongoing WHS improvement
training and competency development.
Key personnel and stakeholders may include:
customers/clients
managers and supervisors
persons in control of the workplace, PCBUs or their officers
persons across a range of levels and roles, including:
health and safety representatives
workers
health and safety committee members
design personnel
contractors, where appropriate.
Audit plan may include:
information and data required to be on hand
locations to be inspected
meetings to be scheduled and people to be interviewed
personnel involved
sampling methodology, including statistical measures
scope of audit
timelines.
Audit tools may include:
instruments for collecting evidence and conducting the analysis and evaluation (not the same as the audit criteria or benchmark):
which may be:
adapted from existing tools
developed specifically for the purpose
purchased or accessed from existing tools
which may include:
descriptions of required characteristics to be checked
limitations of and instructions for use
performance checklists
sets of questions to be asked.
Alternative methods may include:
alternative sampling methodologies
alternative information and data
discussion groups
how evidence deficiencies will be addressed
interviewing
modified audit checklists
observation
surveys.
Preliminary evaluation may include:
off-site consultations
reviews of relevant organisational:
documentation
information
data.
Objective evidence may include:
information and data obtained through:
observation
measurement
tests
other means.
Follow-up processes may include:
agreed meeting date with the organisation, allowing sufficient time for implementation of corrective actions, which may include:
checks of the rigour of original audit findings
provision of new non-conformance reports if required
verification of effectiveness of recommendations and control actions, 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
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 as a result of 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 can collect 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 hazards and risks identified during the audit promptly 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
BSBWHS606A - Conduct a WHS audit
Assessment task 1: [title]
Student name:
Student ID:
I declare that the assessment tasks submitted for this unit are my own work.
Student signature:
Result: Competent Not yet competent
Feedback to student
Assessor name:
Signature:
Date:
Assessment Record Sheet
BSBWHS606A - Conduct a WHS audit
Student name:
Student ID:
Assessment task 1: [title] Result: Competent Not yet competent
(add lines for each task)
Feedback to student:
Overall assessment result: Competent Not yet competent