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Evidence Guide: BSBOHS608B - Conduct an OHS audit

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

BSBOHS608B - Conduct an OHS audit

What evidence can you provide to prove your understanding of each of the following citeria?

Plan an OHS audit

  1. Define the scope, objectives and benchmark of the audit
  2. Identify and obtain relevant documentation, including preliminary material, on the operation of the organisation
  3. Identify and arrange resources required to conduct the audit
  4. Assign timing, schedule and responsibilities for the audit
Define the scope, objectives and benchmark of the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and obtain relevant documentation, including preliminary material, on the operation of the organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and arrange resources required to conduct the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assign timing, schedule and responsibilities for the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop an OHS audit plan

  1. Ensure nature of information and data collected provides valid and reliable evidence of the systematic approach to managing OHS and risk controls within the context of the organisation
  2. Include in sources of evidence key personnel and stakeholders
  3. Ensure information and data collection strategies address issues of security, confidentiality, impartiality and equity
  4. Include opportunities for corroborating evidence in information and data collection strategies
  5. Develop and document the audit plan and submit to client
  6. Modify the audit plan as a result of client input and preliminary trialling, and to adapt to contingencies as they arise
  7. Re-submit audit plan to client for comment as appropriate
  8. Negotiate issues concerning the audit plan with the client and amend documents where required
Ensure nature of information and data collected provides valid and reliable evidence of the systematic approach to managing OHS and risk controls within the context of the organisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include in sources of evidence key personnel and stakeholders

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure information and data collection strategies address issues of security, confidentiality, impartiality and equity

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include opportunities for corroborating evidence in information and data collection strategies

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop and document the audit plan and submit to client

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Modify the audit plan as a result of client input and preliminary trialling, and to adapt to contingencies as they arise

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Re-submit audit plan to client for comment as appropriate

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Negotiate issues concerning the audit plan with the client and amend documents where required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop an OHS audit tool

  1. Ensure audit tool/s accurately reflect the criteria of the benchmark, nature of risks, identified relevant information and data types
  2. Ensure audit tools focus on evaluation of performance of the OHS management processes
  3. Ensure audit tools can be used with consistent outcomes by all members of the audit team
  4. Enable audit tools to collect evidence in a timely and efficient manner
  5. Modify audit tools as a result of preliminary trial/s
Ensure audit tool/s accurately reflect the criteria of the benchmark, nature of risks, identified relevant information and data types

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure audit tools focus on evaluation of performance of the OHS management processes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure audit tools can be used with consistent outcomes by all members of the audit team

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Enable audit tools to collect evidence in a timely and efficient manner

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Modify audit tools as a result of preliminary trial/s

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gather information, data and OHS records

  1. Consult a broad range of workplace personnel during evidence gathering activities throughout the audit
  2. Gather types and sources of evidence, compare this evidence with the audit plan and identify reasons for discrepancies
  3. Identify and use alternative methods when evidence is not forthcoming using planned methods
  4. Check information and data reliability with a number of sources
Consult a broad range of workplace personnel during evidence gathering activities throughout the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gather types and sources of evidence, compare this evidence with the audit plan and identify reasons for discrepancies

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and use alternative methods when evidence is not forthcoming using planned methods

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Check information and data reliability with a number of sources

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake OHS audit activities

  1. Undertake preliminary evaluation
  2. Undertake initial meetings and worksite familiarisation
  3. Monitor progress of the audit plan with the client and/or audit team members to ensure resources are being used as planned, and that the audit objectives and audit time lines are being achieved
  4. Progressively document and retain records of evidence and findings, in an appropriate format
  5. Report in a prompt manner to the appropriate person/s, including supervisor and/or person in control of the workplace, hazards identified during the audit
  6. Address own health and safety during the audit in accordance with organisational requirements and standards for safe work practices
  7. Ensure information and data collection and evaluation activities comply with legal requirements and are carried out ethically
  8. Undertake exit meetings with key personnel and stakeholders as appropriate
Undertake preliminary evaluation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake initial meetings and worksite familiarisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor progress of the audit plan with the client and/or audit team members to ensure resources are being used as planned, and that the audit objectives and audit time lines are being achieved

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Progressively document and retain records of evidence and findings, in an appropriate format

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report in a prompt manner to the appropriate person/s, including supervisor and/or person in control of the workplace, hazards identified during the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Address own health and safety during the audit in accordance with organisational requirements and standards for safe work practices

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure information and data collection and evaluation activities comply with legal requirements and are carried out ethically

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake exit meetings with key personnel and stakeholders as appropriate

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on the outcomes of the OHS audit

  1. Present summary audit findings and recommendations to the client at the closing meeting, after consultation with key personnel and stakeholders
  2. Compare results of the evaluation against the audit criteria
  3. Present objective evidence with clear and concise findings, including benefits to be achieved by adoption of the audit report recommendations
  4. Anticipate possible challenges to the report and prepare further explanations to promote acceptance
  5. Recommend to the client corrective action and follow-up processes
Present summary audit findings and recommendations to the client at the closing meeting, after consultation with key personnel and stakeholders

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Compare results of the evaluation against the audit criteria

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Present objective evidence with clear and concise findings, including benefits to be achieved by adoption of the audit report recommendations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Anticipate possible challenges to the report and prepare further explanations to promote acceptance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend to the client corrective action and follow-up processes

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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:

conduct of an internal or external OHS audit. ensuring underpinning knowledge of hazard identification, risk assessment and OHS risk management approaches are reflected in the audit tool/s and the methods used for collecting evidence

products developed for the design and development of audit plans, tools, associated documentation and the systematic examination against defined criteria to determine conformance to planned arrangements

how these products were developed

use of these products

knowledge of auditing methods and techniques.

Context of and specific resources for assessment

Assessment must ensure:

access to organisation documentation, information and data

access to workplace, including personnel involved in areas audited.

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 on-the-job performance by the candidate

demonstration of techniques used in conducting an OHS 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:

BSBOHS609B Evaluate an organisation's OHS performance.

Required Skills and Knowledge

Required skills

analytical skills to analyse relevant workplace information and data, and to make observations of workplace tasks and interactions between people, their activities, equipment, environment and systems

research skills to:

access relevant OHS information and data

use information and data gathering techniques such as brainstorming, polling, interviewing

communication skills to:

relate effectively with personnel at all levels of the organisation, OHS specialists and, as required, emergency services personnel

consult and negotiate to develop plans, and to implement and monitor designated actions

use language and literacy skills appropriate to the workgroup and the task

write complex documents on policies, procedures and plans

project management skills to achieve change and to contribute to the assessment of resources needed to systematically manage OHS and, where appropriate, access resources

organisational skills to manage own tasks within a timeframe

information technology skills to access and enter internal and external information on OHS

attention to detail when making observations and recording outcomes.

Required knowledge

roles and responsibilities under OHS legislation of employees including supervisors, contractors, OHS inspectors etc

legislative requirements for OHS information and data, and consultation

state/territory and commonwealth OHS legislation (acts, 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

difference between common law and statutory law

concept of common law duty of care

requirements for record keeping that address OHS, privacy and other relevant legislation

standards related to OHS information and data, statistics and records management including requirements for information and data under elements of systematically managing OHS

nature and use of information and data that provides valid and reliable results on performance of OHS management processes (including positive performance indicators [PPIS]) and limitations of other types of measures

development of tools such as PPIS in assessment of OHS performance

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

requirements under hazard-specific OHS legislation and codes of practice

principles of incident causation and injury processes

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

standard industry controls for a range of hazards

limitations of generic hazard and risk checklists and risk ranking processes

sampling methodologies, application and related statistical measures

principles and practices of a systematic approach to managing OHS

requirements of OHS and standards related to systematically managing OHS

other functional areas that impact on the management of OHS

internal and external sources of OHS information and data

how the characteristics and composition of the workforce impact on risk and the systematic approach to managing OHS, for example:

labour market changes

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

language, literacy and numeracy

communication skills

cultural background/workplace diversity

gender

workers with specific needs

auditing methods and techniques

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

organisational behaviour and culture as it impacts on OHS and on change

ethics related to professional practice

methods of providing evidence of compliance with OHS legislation

professional liability in relation to providing advice

principles of effective meetings including agendas, action planning, chair and secretarial duties, minutes and action items

nature of workplace processes (including work flow, planning and control) and hazards relevant to the particular workplace

formal and informal communication and consultation processes, and key personnel related to communication

language, literacy and cultural profile of the workgroup.

Range Statement

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.

Benchmark may include:

Australian or international standards

industry standards

standards developed by OHS authorities

standards developed internally by the organisation or by commercial organisations

Relevant documentation may include:

codes of practice

guidance material

industry standards

OHS legislation

organisational documents

Resources may include:

equipment

specialist personnel

Information and data collected may include:

claims

legal reports

complaints

hazard logs

incident and injury reports

enforcement notices and actions

surveillance audits

information and data changes since last audit such as new equipment, processes, products, substances or projects

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

health and safety representatives

OHS committee members

design personnel

contractors

management system documentation including:

policies and procedures

position descriptions

duty statements

observations in the 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

training materials and records

Systematic approach to managing OHS 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

review and evaluation for ongoing OHS improvement

communication and consultation

hazard management

processes of OHS planning

record keeping and reporting

training and competency

Key personnel and stakeholders may include:

management, persons in control of the workplace, supervisors

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

health and safety representatives

OHS committee members

design personnel

where appropriate, contractors

customers/clients

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

time lines

Audit tool/s may include:

instruments for collecting evidence and conducting the analysis and evaluation (they are 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

and may include:

descriptions of required characteristics to be checked

limitations for and instructions for use

performance checklists

sets of questions to be asked

Alternative methods may include:

alternate 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 and data

Objective evidence may include:

information and data obtained through observation, measurement, tests or other means

Follow-up processes may include:

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

checks of the rigour of original audit findings

provision of new non-conformance report/s if required

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