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Evidence Guide: BSBWHS606A - 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

 

BSBWHS606A - 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 as a result of 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 as a result of 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 can collect 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 can collect 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 hazards and risks identified during the audit promptly 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 hazards and risks identified during the audit promptly 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

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:

BSBWHS602A Facilitate WHS activities

BSBWHS604A Evaluate the WHS performance organisations.

Required Skills and Knowledge

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.

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.

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.