Conduct an audit of safety management systems

Formats and tools

Unit Description
Reconstruct the unit from the xml and display it as an HTML page.
Assessment Tool
an assessor resource that builds a framework for writing an assessment tool
Assessment Template
generate a spreadsheet for marking this unit in a classroom environment. Put student names in the top row and check them off as they demonstrate competenece for each of the unit's elements and performance criteria.
Assessment Matrix
a slightly different format than the assessment template. A spreadsheet with unit names, elements and performance criteria in separate columns. Put assessment names in column headings to track which performance criteria each one covers. Good for ensuring that you've covered every one of the performance criteria with your assessment instrument (all assessement tools together).
Wiki Markup
mark up the unit in a wiki markup codes, ready to copy and paste into a wiki page. The output will work in most wikis but is designed to work particularly well as a Wikiversity learning project.
Evidence Guide
create an evidence guide for workplace assessment and RPL applicants
Competency Mapping Template
Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners. A template for developing assessments for a unit, which will help you to create valid, fair and reliable assessments for the unit, ready to give to trainers and students
Observation Checklist
create an observation checklist for workplace assessment and RPL applicants. This is similar to the evidence guide above, but a little shorter and friendlier on your printer. You will also need to create a seperate Assessor Marking Guide for guidelines on gathering evidence and a list of key points for each activity observed using the unit's range statement, required skills and evidence required (see the unit's html page for details)

Self Assessment Survey
A form for students to assess thier current skill levels against each of the unit's performance criteria. Cut and paste into a web document or print and distribute in hard copy.
Moodle Outcomes
Create a csv file of the unit's performance criteria to import into a moodle course as outcomes, ready to associate with each of your assignments. Here's a quick 'how to' for importing these into moodle 2.x
Registered Training Organisations
Trying to find someone to train or assess you? This link lists all the RTOs that are currently registered to deliver MARM013, 'Conduct an audit of safety management systems'.
Google Links
links to google searches, with filtering in place to maximise the usefulness of the returned results
Reference books for 'Conduct an audit of safety management systems' on This online store has a huge range of books, pretty reasonable prices, free delivery in Australia *and* they give a small commission to for every purchase, so go nuts :)

Elements and Performance Criteria

Elements describe the essential outcomes.

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


Carry out preliminary planning


Audit scope, objectives and benchmark are verified against regulatory requirements


Relevant documentation is identified and obtained


Resources required to conduct audit are established and arranged


Timing requirements are identified and audit is scheduled in agreement with relevant personnel


Develop safety management system audit plan


Provision of valid and reliable evidence of a systematic approach to managing safety and risk controls within the context of the certificate of operation is ensured by nature of information and data collected


Relevant personnel and stakeholders who may need to be consulted for corroborating evidence are included in sources of evidence


Opportunities for corroborating evidence are included in information and data collection strategies


Security, confidentiality, impartiality and equity issues are addressed through information and data collection strategies


Audit plan is developed and documented


Develop safety management system audit tool


Benchmark criteria, nature of risks, identified relevant information and certificate of operation are accurately reflected in audit tool/s


Ability of audit tool/s to focus on evaluation of performance of SMS management processes is ensured


Ability of audit tool/s to produce consistent outcomes if used by others is ensured


Collection of evidence in a timely and efficient manner is supported by audit tool/s


Undertake safety audit activities


Entry interview is carried out and records of evidence and findings are progressively documented and retained in an appropriate format


Workplace hazard identification activities being undertaken are determined and compared to safety management plan


Processes and systems are examined to determine whether hazards of long latency and low frequency/high consequence are included and minimised


Processes and systems are examined to determine whether risks to persons other than employees are identified and minimised


Organisational factors that impact on the SMS and safety management plan are identified


Own health and safety is addressed during audit according to organisational requirements and standards for safe work practices


Compliance of information and data collection and evaluation activities with legal requirements is ensured


Information and data collection and evaluation activities are carried out ethically


Exit meetings with relevant personnel and stakeholders are conducted as required


Assess, evaluate and advise on effectiveness of approach to safety and risk management


Outcomes of the risk assessment process are assessed for validity, reliability and inclusion of all major safety risks, in particular demonstrated use of risk assessment methods in the organisation/on the vessel


Risk controls are evaluated for suitability and effectiveness in relation to organisational SMS


Scope of organisational processes to monitor ongoing implementation of approaches to managing safety are evaluated


Systematic analysis is undertaken to identify areas of compliance and non-compliance


Advice is provided on impact of legislation and standards on selection, suitability and implementation of a range of safety management plans


Report on safety audit outcomes


Compliance evaluation outcomes are documented and reported to relevant personnel and stakeholders


Hazards identified during audit are reported promptly to appropriate person/s


Evaluation results are checked and compared against audit criteria


Objective evidence of audit findings and recommendations are presented to client at closing meeting


Possible challenges to report are anticipated and further explanations are prepared to promote acceptance


Corrective action and follow-up processes are recommended according to regulatory requirements