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Evidence Guide: MARM4005A - Implement a systematic approach to the audit of safety management systems

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

 

MARM4005A - Implement a systematic approach to the audit of safety management systems

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

Scope legislative and regulatory framework

  1. Relevant legislation and standards for the role of surveyor in auditing SMSs are identified and evaluated
  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
  3. Sources of information and data for impact on hazards, risks and management of SMSs on commercial vessels are monitored
Relevant legislation and standards for the role of surveyor in auditing SMSs are identified and evaluated

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine safety management priorities and identify implementation plans

  1. Safety management priorities are determined in consultation with colleagues and other workplace consultative arrangements
  2. Appropriate implementation plans are identified to ensure preparedness for SMS audit
  3. Input from surveyors, SMS specialists and technical advisors is sought when required
Safety management priorities are determined in consultation with colleagues and other workplace consultative arrangements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Appropriate implementation plans are identified to ensure preparedness for SMS audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

  1. Vessel SMSs are identified and assessed for compliance
  2. Existing safety management arrangements are identified and advice on proposed changes is provided
  3. Appropriate advice is provided to vessel owners and operators on risk mitigation
  4. Disputes relating to SMS implementation issues are handled effectively and negotiation skills are employed to ensure agreement on SMS action plans
  5. Regulatory documentation and vessel history are updated to reflect advice provided and agreed actions plans, according to organisational or legislative requirements
Vessel SMSs are identified and assessed for compliance

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate effectiveness of approach to audit of safety management systems

  1. Sources of external and internal SMS information and data are accessed as part of evaluation
  2. Need for any external evaluation input is identified and action is taken as appropriate
  3. Stakeholders are consulted for evaluation input
  4. Areas for improvement are identified, documented and actioned
Sources of external and internal SMS information and data are accessed as part of evaluation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Stakeholders are consulted for evaluation input

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Areas for improvement are identified, documented and actioned

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, the required skills and knowledge, the range statement and the Assessment Guidelines for the Training Package.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

The evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the Elements, Performance Criteria, Required Skills, Required Knowledge and include:

producing accurate and reliable information

ensuring integrity of data

attention to detail when completing documentation.

Context of and specific resources for assessment

Performance is demonstrated consistently over time and in a suitable range of contexts.

Resources for assessment include access to:

industry-approved marine operations site where implementing a systematic approach to the audit of SMSs can be conducted

tools, equipment and personal protective equipment currently used in industry

relevant regulatory and equipment documentation that impacts on work activities

range of relevant exercises, case studies and/or other simulated practical and knowledge assessments

appropriate range of relevant operational situations in the workplace.

In both real and simulated environments, access is required to:

relevant and appropriate materials and equipment

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

Method of assessment

Practical assessment must occur in an:

appropriately simulated workplace environment and/or

appropriate range of situations in the workplace.

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate to this unit:

direct observation of the candidate implementing a systematic approach to the audit of SMSs

direct observation of the candidate applying relevant WHS/OHS requirements and work practices.

Guidance information for assessment

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended.

In all cases where practical assessment is used it should be combined with targeted questioning to assess Required Knowledge.

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

Required Skills and Knowledge

Required Skills:

Address disputes relating to SMS implementation issues

Build relationships with stakeholders (internal and external to organisation)

Communicate effectively verbally and in writing

Consult on and negotiate development, implementation and audit of SMS requirements for commercial vessels

Inspect compliance level of safety management systems

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

Research and evaluate relevant SMS information and data

Sequence tasks and meet timelines

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

Work under supervision of a marine surveyor

Required Knowledge:

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

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

WHS/OHS legislation, regulations, codes of practice, standards, policies and procedures

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.

Relevant legislation and standards may include:

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 may include:

Identifying:

high risk vessels

known hazards to vessel operations

range and types of additional compliance arrangements

Consultative arrangements may include:

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 may include:

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 may include:

Industry peak bodies

ISM code auditors

Other surveyors

Regulators

Risk management specialists

WHS/OHS specialists

Technical advisors may include:

Engineers

Legal practitioners

Maintenance and trades people

Naval architects

Shipwrights

Workplace trainers and assessors

Risk mitigation may include:

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 may include:

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 may include:

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 may include:

Colleagues and other supervisors

Managers/employer

Maritime safety authorities

SMS committees

Tradespeople

Vessel owners and operators