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Evidence Guide: BSBWHS606 - Conduct a WHS 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

 

BSBWHS606 - Conduct a WHS audit

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

Prepare for a WHS audit

  1. Define the scope, objectives and benchmarks 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 benchmarks 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 a WHS audit plan

  1. 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
  2. Include key personnel and stakeholders in sources of evidence
  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. Document audit plan and submit to key personnel and stakeholders for consultation and feedback
  6. Modify audit plan in relation to feedback from key personnel and stakeholders
  7. Re submit audit plan to key personnel and stakeholders for comment as appropriate
  8. Negotiate issues concerning audit plan with key personnel and stakeholders, and amend documents where required
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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include key personnel and stakeholders in sources of evidence

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:

 

 

 

 

 

 

 

Document audit plan and submit to key personnel and stakeholders for consultation and feedback

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Modify audit plan in relation to feedback from key personnel and stakeholders

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Re submit audit plan to key personnel and stakeholders for comment as appropriate

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Negotiate issues concerning audit plan with key personnel and stakeholders, and amend documents where required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Select appropriate WHS audit tools

  1. Ensure audit tools accurately reflect the criteria of the benchmark, nature of risks, identified relevant information and data types
  2. Ensure audit tools focus on WHS management processes
  3. Ensure audit tools can be used with consistent outcomes by all members of the audit team
  4. Ensure audit tools enable collection of evidence in a timely and efficient manner
  5. Trial audit tools and modify as required
Ensure audit tools 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 WHS 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:

 

 

 

 

 

 

 

Ensure audit tools enable collection of evidence in a timely and efficient manner

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Trial audit tools and modify as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gather information, data and WHS records

  1. Consult a broad range of workplace personnel during evidence-gathering activities
  2. Gather information, data and WHS records, compare with the audit plan and identify reasons for discrepancies
  3. Identify and use alternative methods when required information, data and WHS records are not forthcoming using planned methods
  4. Check reliability and validity of information, data and WHS records with a number of sources
  5. Adapt to contingencies as they arise
Consult a broad range of workplace personnel during evidence-gathering activities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gather information, data and WHS records, compare with the audit plan and identify reasons for discrepancies

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and use alternative methods when required information, data and WHS records are not forthcoming using planned methods

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Check reliability and validity of information, data and WHS records with a number of sources

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Adapt to contingencies as they arise

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Undertake WHS audit activities

  1. Undertake preliminary evaluation
  2. Undertake initial meetings and work site familiarisation
  3. 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
  4. Progressively document and retain records of information, data and WHS records and findings in an appropriate format
  5. Report promptly the hazards and risks identified during the audit to key personnel and stakeholders and/or person in control of the workplace
  6. Address own health and safety during the audit according to organisational requirements and standards for safe work practices and applicable WHS legislation
  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 work site familiarisation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Progressively document and retain records of information, data and WHS records and findings in an appropriate format

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report promptly the hazards and risks identified during the audit to key personnel and stakeholders and/or person in control of the workplace

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Address own health and safety during the audit according to organisational requirements and standards for safe work practices and applicable WHS legislation

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 WHS audit

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult appropriately on evaluation results and develop summary audit findings and recommendations

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Present summary audit findings and recommendations to key personnel and stakeholders at the closing meeting

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Recommend corrective action and follow up processes as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

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

1 Prepare for a WHS audit

1.1 Define the scope, objectives and benchmarks of the audit

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

1.3 Identify and arrange resources required to conduct the audit

1.4 Assign timing, schedule and responsibilities for the audit

2 Develop a WHS audit plan

2.1 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

2.2 Include key personnel and stakeholders in sources of evidence

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

2.4 Include opportunities for corroborating evidence in information- and data collection strategies

2.5 Document audit plan and submit to key personnel and stakeholders for consultation and feedback

2.6 Modify audit plan in relation to feedback from key personnel and stakeholders

2.7 Re submit audit plan to key personnel and stakeholders for comment as appropriate

2.8 Negotiate issues concerning audit plan with key personnel and stakeholders, and amend documents where required

3 Select appropriate WHS audit tools

3.1 Ensure audit tools accurately reflect the criteria of the benchmark, nature of risks, identified relevant information and data types

3.2 Ensure audit tools focus on WHS management processes

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

3.4 Ensure audit tools enable collection of evidence in a timely and efficient manner

3.5 Trial audit tools and modify as required

4 Gather information, data and WHS records

4.1 Consult a broad range of workplace personnel during evidence-gathering activities

4.2 Gather information, data and WHS records, compare with the audit plan and identify reasons for discrepancies

4.3 Identify and use alternative methods when required information, data and WHS records are not forthcoming using planned methods

4.4 Check reliability and validity of information, data and WHS records with a number of sources

4.5 Adapt to contingencies as they arise

5 Undertake WHS audit activities

5.1 Undertake preliminary evaluation

5.2 Undertake initial meetings and work site familiarisation

5.3 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

5.4 Progressively document and retain records of information, data and WHS records and findings in an appropriate format

5.5 Report promptly the hazards and risks identified during the audit to key personnel and stakeholders and/or person in control of the workplace

5.6 Address own health and safety during the audit according to organisational requirements and standards for safe work practices and applicable WHS legislation

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

5.8 Undertake exit meetings with key personnel and stakeholders as appropriate

6 Report on the outcomes of the WHS audit

6.1 Compare results of the evaluation against audit criteria

6.2 Consult appropriately on evaluation results and develop summary audit findings and recommendations

6.3 Present summary audit findings and recommendations to key personnel and stakeholders at the closing meeting

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

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

6.6 Recommend corrective action and follow up processes as required

Required Skills and Knowledge

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

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

1 Prepare for a WHS audit

1.1 Define the scope, objectives and benchmarks of the audit

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

1.3 Identify and arrange resources required to conduct the audit

1.4 Assign timing, schedule and responsibilities for the audit

2 Develop a WHS audit plan

2.1 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

2.2 Include key personnel and stakeholders in sources of evidence

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

2.4 Include opportunities for corroborating evidence in information- and data collection strategies

2.5 Document audit plan and submit to key personnel and stakeholders for consultation and feedback

2.6 Modify audit plan in relation to feedback from key personnel and stakeholders

2.7 Re submit audit plan to key personnel and stakeholders for comment as appropriate

2.8 Negotiate issues concerning audit plan with key personnel and stakeholders, and amend documents where required

3 Select appropriate WHS audit tools

3.1 Ensure audit tools accurately reflect the criteria of the benchmark, nature of risks, identified relevant information and data types

3.2 Ensure audit tools focus on WHS management processes

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

3.4 Ensure audit tools enable collection of evidence in a timely and efficient manner

3.5 Trial audit tools and modify as required

4 Gather information, data and WHS records

4.1 Consult a broad range of workplace personnel during evidence-gathering activities

4.2 Gather information, data and WHS records, compare with the audit plan and identify reasons for discrepancies

4.3 Identify and use alternative methods when required information, data and WHS records are not forthcoming using planned methods

4.4 Check reliability and validity of information, data and WHS records with a number of sources

4.5 Adapt to contingencies as they arise

5 Undertake WHS audit activities

5.1 Undertake preliminary evaluation

5.2 Undertake initial meetings and work site familiarisation

5.3 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

5.4 Progressively document and retain records of information, data and WHS records and findings in an appropriate format

5.5 Report promptly the hazards and risks identified during the audit to key personnel and stakeholders and/or person in control of the workplace

5.6 Address own health and safety during the audit according to organisational requirements and standards for safe work practices and applicable WHS legislation

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

5.8 Undertake exit meetings with key personnel and stakeholders as appropriate

6 Report on the outcomes of the WHS audit

6.1 Compare results of the evaluation against audit criteria

6.2 Consult appropriately on evaluation results and develop summary audit findings and recommendations

6.3 Present summary audit findings and recommendations to key personnel and stakeholders at the closing meeting

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

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

6.6 Recommend corrective action and follow up processes as required