Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

MARM009 Mapping and Delivery Guide
Implement a systematic approach to the audit of safety management systems

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency MARM009 - Implement a systematic approach to the audit of safety management systems
Description
Employability Skills
Learning Outcomes and Application This unit involves the skills and knowledge required to implement a systematic approach to the audit of safety management systems (SMSs) on commercial vessels. It includes advising vessel owners, masters and and/or crew on the requirements for developing and implementing appropriate safety systems and plans.This unit applies to individuals with responsibilities for auditing SMSs including safety plans and equipment, work health and safety/occupational health and safety (WHS/OHS) policies, procedures, and instruction and training for self, crew and others.No licensing, legislative or certification requirements apply to this unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.

Assessors must satisfy National Vocational Education and Training Regulator (NVR)/Australian Quality Training Framework (AQTF) assessor requirements.

Assessment must satisfy the National Vocational Education and Training Regulator (NVR)/Australian Quality Training Framework (AQTF) standards.

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

Assessment must occur in workplace operational situations or where these are not available, in simulated workplace operational situations or an industry-approved marine operations site that replicates workplace conditions, where a systematic approach to the audit of SMSs can be implemented.

Resources for assessment include access to:

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

tools, equipment and personal protective equipment currently used in industry.

Performance should be demonstrated consistently over time and in a suitable range of contexts.
Prerequisites/co-requisites
Competency Field M – Marine Surveying
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: Scope legislative and regulatory framework
  • Relevant legislation and standards for the role of surveyor in auditing SMSs are identified and evaluated
  • Relevant safety management legislation and standards for vessel owners and operators, and implications for managing safety of crew and others is identified and evaluated
  • Sources of information and data for impact on hazards, risks and management of SMSs on commercial vessels are monitored
       
Element: Determine safety management priorities and identify implementation plans
  • Safety management priorities are determined in consultation with colleagues and other workplace consultative arrangements
  • Appropriate implementation plans are identified to ensure preparedness for SMS audit
  • Input from surveyors, SMS specialists and technical advisors is sought when required
       
Element: Audit vessel safety management systems for vessel operations and provide advice to control risks
  • Vessel SMSs are identified and assessed for compliance
  • Existing safety management arrangements are identified and advice on proposed changes is provided
  • Appropriate advice is provided to vessel owners and operators on risk mitigation
  • Disputes relating to SMS implementation issues are handled effectively and negotiation skills are employed to ensure agreement on SMS action plans
  • Regulatory documentation and vessel history are updated to reflect advice provided and agreed actions plans, according to organisational or legislative requirements
       
Element: Evaluate effectiveness of approach to audit of safety management systems
  • Sources of external and internal SMS information and data are accessed as part of evaluation
  • Need for any external evaluation input is identified and action is taken as appropriate
  • Stakeholders are consulted for evaluation input
  • Areas for improvement are identified, documented and actioned
       


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.

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Scope legislative and regulatory framework

1.1

Relevant legislation and standards for the role of surveyor in auditing SMSs are identified and evaluated

1.2

Relevant safety management legislation and standards for vessel owners and operators, and implications for managing safety of crew and others is identified and evaluated

1.3

Sources of information and data for impact on hazards, risks and management of SMSs on commercial vessels are monitored

2

Determine safety management priorities and identify implementation plans

2.1

Safety management priorities are determined in consultation with colleagues and other workplace consultative arrangements

2.2

Appropriate implementation plans are identified to ensure preparedness for SMS audit

2.3

Input from surveyors, SMS specialists and technical advisors is sought when required

3

Audit vessel safety management systems for vessel operations and provide advice to control risks

3.1

Vessel SMSs are identified and assessed for compliance

3.2

Existing safety management arrangements are identified and advice on proposed changes is provided

3.3

Appropriate advice is provided to vessel owners and operators on risk mitigation

3.4

Disputes relating to SMS implementation issues are handled effectively and negotiation skills are employed to ensure agreement on SMS action plans

3.5

Regulatory documentation and vessel history are updated to reflect advice provided and agreed actions plans, according to organisational or legislative requirements

4

Evaluate effectiveness of approach to audit of safety management systems

4.1

Sources of external and internal SMS information and data are accessed as part of evaluation

4.2

Need for any external evaluation input is identified and action is taken as appropriate

4.3

Stakeholders are consulted for evaluation input

4.4

Areas for improvement are identified, documented and actioned

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements, performance criteria and range of conditions on at least one occasion and include:

addressing disputes relating to safety management system (SMS) implementation issues

applying relevant work health and safety/occupational health and safety (WHS/OHS) requirements and work practices

building relationships with stakeholders (internal and external to organisation)

communicating effectively verbally and in writing

consulting on and negotiating the development, implementation and audit of SMS requirements for commercial vessels

ensuring integrity of data

inspecting compliance level of SMS

producing accurate and reliable information

relating to people from diverse backgrounds and to people with diverse abilities

researching and evaluate relevant SMS information and data

sequencing tasks and meet timelines

using a range of software and office equipment to access internal and external SMS information and data.

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements, performance criteria and range of conditions and include knowledge of:

communication skills and strategies to communicate effectively with people at all levels within the organisation

internal and external sources of SMS information and data

internal and external survey environment

legislative requirements for:

compliance timeframes

consulting with vessel operators and owners

exercising powers to enforce compliance requirements

information and data collection

recordkeeping

organisational policies and procedures for the audit of SMSs

principles and practices of systematic approaches to surveying and improving SMSs for commercial vessels

principles relating to:

hazard identification

hierarchy of control

risk management

systematic approaches to SMSs

relevant state/territory and commonwealth legislation, codes of practice and standards

roles and responsibilities of surveyors as specified in relevant legislation

WHS/OHS legislation, policies and procedures.

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.

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1

Scope legislative and regulatory framework

1.1

Relevant legislation and standards for the role of surveyor in auditing SMSs are identified and evaluated

1.2

Relevant safety management legislation and standards for vessel owners and operators, and implications for managing safety of crew and others is identified and evaluated

1.3

Sources of information and data for impact on hazards, risks and management of SMSs on commercial vessels are monitored

2

Determine safety management priorities and identify implementation plans

2.1

Safety management priorities are determined in consultation with colleagues and other workplace consultative arrangements

2.2

Appropriate implementation plans are identified to ensure preparedness for SMS audit

2.3

Input from surveyors, SMS specialists and technical advisors is sought when required

3

Audit vessel safety management systems for vessel operations and provide advice to control risks

3.1

Vessel SMSs are identified and assessed for compliance

3.2

Existing safety management arrangements are identified and advice on proposed changes is provided

3.3

Appropriate advice is provided to vessel owners and operators on risk mitigation

3.4

Disputes relating to SMS implementation issues are handled effectively and negotiation skills are employed to ensure agreement on SMS action plans

3.5

Regulatory documentation and vessel history are updated to reflect advice provided and agreed actions plans, according to organisational or legislative requirements

4

Evaluate effectiveness of approach to audit of safety management systems

4.1

Sources of external and internal SMS information and data are accessed as part of evaluation

4.2

Need for any external evaluation input is identified and action is taken as appropriate

4.3

Stakeholders are consulted for evaluation input

4.4

Areas for improvement are identified, documented and actioned

Range is restricted to essential operating conditions and any other variables essential to the work environment.

Relevant legislation and standards include one or more of the following:

commonwealth, state and territory WHS/OHS legislation

Marine Safety (Domestic Commercial Vessel) National Law

National Standard for Commercial Vessels (NSCV)

National Standard for the Administration of Marine Safety (NSAMS)

Commercial vessels must include:

vessels defined as commercial vessels in Marine Safety (Domestic Commercial Vessel) National Law

Safety management priorities include one or more of the following:

identifying:

high risk vessels

known hazards to vessel operations

range and types of additional compliance arrangements

Consultative arrangements include one or more of the following:

health and safety representatives

industry associations and peak bodies

involvement in SMS activities such as observing inspections and surveys

regulatory and other SMS consultative and planning committees

unions

work group meetings

Implementation plans include one or more of the following:

communicating with vessel owners and operators about new requirements

developing procedures and policies for SMS audit

negotiating compliance timeframes based on risk documented plans developed in negotiation with vessel owners and operators to improve SMS management, which allocates items to be addressed and timeframes

procedures for reporting hazards and non-compliance

SMS performance indicators for a range of different commercial operations

SMS specialists include one or more of the following:

industry peak bodies

ISM code auditors

other surveyors

regulators

risk management specialists

WHS/OHS specialists

Technical advisors include one or more of the following:

engineers

legal practitioners

maintenance and trades people

naval architects

shipwrights

workplace trainers and assessors

Risk mitigation include one or more of the following:

engaging consultants

interpreting legislation to vessel operations and size

ongoing self-assessment and testing of systems

reducing operational capacity

repairs and maintenance

safety data sheets/material safety data sheets

training of crew

SMS action plans include one or more of the following:

changes to:

management practices

operational environment

operational practices and conditions

work processes and systems

equipment purchases

introducing new technology

introducing training and instruction

material purchases

organisational restructure

other labour market changes

refreshing skills

Sources of external and internal SMS information and data include one or more of the following:

consultants

employees/colleagues

government departments/agencies including SMS authorities and organisations such as AMSA

industry networks and associations

internet sites

manufacturer manuals and specifications

newspapers and journals, trade/industry publications

SMS and other relevant legislation

SMS specialists

technical data

Stakeholders include one or more of the following:

colleagues and other supervisors

managers/employer

maritime safety authorities

SMS committees

tradespeople

vessel owners and operators

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
Relevant legislation and standards for the role of surveyor in auditing SMSs are identified and evaluated 
Relevant safety management legislation and standards for vessel owners and operators, and implications for managing safety of crew and others is identified and evaluated 
Sources of information and data for impact on hazards, risks and management of SMSs on commercial vessels are monitored 
Safety management priorities are determined in consultation with colleagues and other workplace consultative arrangements 
Appropriate implementation plans are identified to ensure preparedness for SMS audit 
Input from surveyors, SMS specialists and technical advisors is sought when required 
Vessel SMSs are identified and assessed for compliance 
Existing safety management arrangements are identified and advice on proposed changes is provided 
Appropriate advice is provided to vessel owners and operators on risk mitigation 
Disputes relating to SMS implementation issues are handled effectively and negotiation skills are employed to ensure agreement on SMS action plans 
Regulatory documentation and vessel history are updated to reflect advice provided and agreed actions plans, according to organisational or legislative requirements 
Sources of external and internal SMS information and data are accessed as part of evaluation 
Need for any external evaluation input is identified and action is taken as appropriate 
Stakeholders are consulted for evaluation input 
Areas for improvement are identified, documented and actioned 

Forms

Assessment Cover Sheet

MARM009 - Implement a systematic approach to the audit of safety management systems
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Assessment Record Sheet

MARM009 - Implement a systematic approach to the audit of safety management systems

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