Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

PSPSOHS608A Mapping and Delivery Guide
Conduct an OHS audit

Version 1.0
Issue Date: May 2024


Qualification -
Unit of Competency PSPSOHS608A - Conduct an OHS audit
Description This unit covers conduct of an internal or external OHS audit that may or may not be part of certification against a recognised benchmark.In practice, conducting an OHS audit may overlap with other generalist or specialist public sector work activities such as promoting ethical practice, applying government systems, influencing opinion, fostering leadership, managing resources, managing compliance with legislation.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Employability Skills This unit contains employability skills.
Learning Outcomes and Application It includes developing an audit plan and tools to gather OHS information and data, ensuring client/management liaison and briefing, arranging access to information, setting up entry and exit meetings, and coordinating evaluation/audit and audit team against time lines and the submission of reports.The unit applies to the auditing of systematic approaches to managing OHS, which may or may not be formalised as part of an OHS management system, and can apply to internal or external benchmarks. The scope and benchmark criteria for the audit will be agreed before the commencement of OHS information and data gathering and may address all areas of the organisation or an identified function, business or geographical area.OHS audits may be conducted by an individual or by a team and may be concurrent with other management system audits or conducted as a stand-alone exercise.This unit does not cover the evaluation that is an integral part of an OHS audit as this is addressed in unit PSPSOHS609A Evaluate an organisation's OHS performance. People having responsibility for an OHS audit will require both these units.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites Not applicable.
Competency Field Specialist Occupational Health & Safety.
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Plan an OHS audit
  • The scope, objectives and benchmarks of the audit are defined.
  • Relevant documentation such as preliminary material on the operation of the organisation is identified and obtained.
  • Resources required to conduct the audit are identified and arranged.
  • Timing, schedule and responsibilities for the audit are assigned.
       
Element: Develop an OHS audit plan
  • 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.
  • Sources of evidence include key personnel and stakeholders.
  • Information and data collection strategies address issues of security, confidentiality, impartiality and equity.
  • Information and data collection strategies include opportunities for corroborating evidence.
  • The audit plan is developed, documented and submitted to client.
  • The audit plan is modified as a result of client input and to adapt to contingencies.
       
Element: Develop an OHS audit tool
  • Audit tool(s) accurately reflect the criteria of the benchmark, nature of risks and identified relevant information and data types.
  • Audit tools focus on evaluation of performance of the OHS management processes.
  • Audit tools can be used with consistent outcomes by all members of the audit team.
  • Audit tools enable collection of evidence in a timely and efficient manner.
  • Audit tools are modified as a result of preliminary trial/s.
       
Element: Gather information, data and OHS records
  • A broad range of workplace personnel are consulted during evidence gathering activities throughout the audit.
  • Types and sources of evidence gathered are compared with the audit plan, and reasons for discrepancies are identified.
  • Alternative methods are identified and utilised when evidence is not forthcoming, using planned methods.
  • Information and data reliability is checked with a number of sources.
       
Element: Undertake OHS audit activities
  • Preliminary evaluation is undertaken.
  • Audit plan is re-submitted to client for comment as appropriate.
  • Issues concerning the audit plan are negotiated with the client and documents amended where required.
  • Initial meetings and worksite familiarisation are undertaken.
  • Progress of the audit plan is monitored 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.
  • Records of evidence and findings are progressively documented in an appropriate format and retained.
  • Hazards identified during the audit are reported promptly to the appropriate person/s, including supervisor and/or person in control of the workplace.
  • Own health and safety is addressed during the audit in accordance with organisational requirements and standards for safe work practices.
  • Information and data collection and evaluation activities comply with legal requirements and are carried out ethically.
  • Exit meetings with key personnel and stakeholders are undertaken as appropriate.
       
Element: Report on the outcomes of the OHS audit
  • Summary audit findings and recommendations are presented to the clients at the closing meeting, after consultation with key personnel and stakeholders.
  • Results of the evaluation are compared against the audit criteria.
       
Element: Objective evidence is presented with clear and concise findings, including benefits to be achieved by adoption of the audit report recommendations.
  • Where challenges to the report are anticipated, further explanations to promote acceptance are prepared.
  • Corrective action and follow-up processes are recommended to the client.
       


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

The Evidence Guide specifies the evidence required to demonstrate achievement in the unit of competency as a whole. It must be read in conjunction with the unit descriptor, performance criteria, The range statement and the Assessment Guidelines for the Public Sector Training Package.

Units to be assessed together

Co-assessed units that may be assessed with this unit to increase the efficiency and realism of the assessment process include:

PSPETHC601B Maintain and enhance confidence in public service

PSPGOV605A Persuade and influence opinion

PSPLEGN601B Manage compliance with legislation in the public sector

PSPMNGT602B Manage resources

PSPMNGT611A Manage evaluations

PSPSOHS609A Evaluate an organisation's OHS performance

Overview of evidence requirements

In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms:

knowledge requirements of this unit

skill requirements of this unit

application of employability skills as they relate to this unit.

Resources required to carry out assessment

Resources essential for assessment include:

legislation, policy, procedures and protocols relating to OHS audits

workplace documentation, case studies and workplace scenarios to capture the range of situations likely to be encountered when conducting an OHS audit.

Where and how to assess evidence

Valid assessment of this unit requires:

a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when conducting an OHS audit, including coping with difficulties, irregularities and breakdowns in routine

conduct of OHS audits in a range of 3 or more contexts or occasions, over time, with at least 1 audit having a broad scope.

Assessment methods should reflect but not exceed workplace demands, such as literacy, and the needs of individuals who might be disadvantaged.

Assessment methods suitable for valid and reliable assessment of this unit must use authenticated evidence from the workplace and/or training courses and may include a combination of two or more of:

workplace projects

simulation or role plays

case studies and scenarios

observation.

portfolios.

The assessment environment should not disadvantage the candidate and where the person has a disability the principle of reasonable adjustment should be applied during assessment.

For consistency of assessment

Evidence must be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and apply the competency in different situations or environments.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

This section describes the essential skills and knowledge and their level, required for this unit.

Required skills:

Look for evidence that confirms skills in:

relating to people from a range of social, cultural and ethnic backgrounds and physical and mental abilities

communicating effectively with personnel at all levels of organisation and OHS specialists and, as required, emergency service personnel

advanced written communication including development of policies and procedures, plans

applying continuous improvement and action planning processes

achieving change using project management processes

managing own tasks within time frame

using consultation and negotiation skills, particularly in relation to developing plans and implementing and monitoring designated actions

contributing to the assessment of the resources needed to systematically manage OHS and, where appropriate, access resources

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

using computer and information technology skills to access internal and external information and data on OHS

paying attention to detail when making observations and recording outcomes.

Required knowledge:

Look for evidence that confirms knowledge and understanding of:

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/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 etc

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 recordkeeping 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 function 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 e.g.

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 special 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 work group

The range statement provides information about the context in which the unit of competency is carried out. The variables cater for differences between States and Territories and the Commonwealth, and between organisations and workplaces. They allow for different work requirements, work practices and knowledge. The range statement also provides a focus for assessment. It relates to the unit as a whole. Text in italics in the Performance criteria is explained here.

Benchmarks may include:

Australian or international standards

standards developed by OHS authorities

industry standards

standards developed internally by the organisation or by commercial organisations

Relevant documentation may include:

OHS legislation, codes of practice and guidance material

industry standards

organisational documents

Resources may include:

specialist personnel

equipment

Information and data collected may be in hard copy or electronic and may include:

management system documentation including policies and procedures, position descriptions and duty statements

operational documentation including completed forms, schedules, checklists, log books, minutes of meetings, action plans, maintenance reports and health surveillance records

claims, legal reports, complaints, hazard logs and incident and injury reports, enforcement notices and actions

reports and management reviews

previous management system reports and industry risk profiles

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 and design personnel and contractors, where appropriate

observations in the workplace, work operations and records

training materials and records

for surveillance audits, information and data should include changes since last audit such as new equipment, processes, products, substances or projects

A systemic approach to managing OHS involves:

a 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; and for example may include:

processes of OHS planning

allocation of resources

communication and consultation

hazard management

record keeping and reporting

training and competency

and review and evaluation for ongoing OHS improvement

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 and, where appropriate, contractors

customers/clients

Audit plan includes:

scope of audit

personnel involved

time lines

meetings to be scheduled, people to be interviewed

locations to be inspected

information and data required to be on hand

sampling methodology including statistical measures

Audit tools:

are the instruments for collecting evidence and conducting the analysis and evaluation (they are not the same as the audit criteria or benchmarks) and may be:

developed specifically for the purpose

adapted from existing tools

purchased or accessed from existing tools

and include:

performance checklists

sets of questions to be asked

descriptions of required characteristics to be checked

limitations for and instructions for use

Alternative methods may involve:

interviewing

alternate sampling methodologies

discussion groups

surveys

observation

alternative information and data

modified audit checklists

how evidence deficiencies will be addressed

Preliminary evaluation may include:

off-site consultations

reviews of relevant organisational documentation, information and data

Audit closing meetings are:

usually conducted within an agreed period after the client has viewed the written report

Objective evidence may be defined as:

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

Follow-up processes usually comprise:

an 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

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

provision of new non-conformance report/s if required

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
The scope, objectives and benchmarks of the audit are defined. 
Relevant documentation such as preliminary material on the operation of the organisation is identified and obtained. 
Resources required to conduct the audit are identified and arranged. 
Timing, schedule and responsibilities for the audit are assigned. 
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. 
Sources of evidence include key personnel and stakeholders. 
Information and data collection strategies address issues of security, confidentiality, impartiality and equity. 
Information and data collection strategies include opportunities for corroborating evidence. 
The audit plan is developed, documented and submitted to client. 
The audit plan is modified as a result of client input and to adapt to contingencies. 
Audit tool(s) accurately reflect the criteria of the benchmark, nature of risks and identified relevant information and data types. 
Audit tools focus on evaluation of performance of the OHS management processes. 
Audit tools can be used with consistent outcomes by all members of the audit team. 
Audit tools enable collection of evidence in a timely and efficient manner. 
Audit tools are modified as a result of preliminary trial/s. 
A broad range of workplace personnel are consulted during evidence gathering activities throughout the audit. 
Types and sources of evidence gathered are compared with the audit plan, and reasons for discrepancies are identified. 
Alternative methods are identified and utilised when evidence is not forthcoming, using planned methods. 
Information and data reliability is checked with a number of sources. 
Preliminary evaluation is undertaken. 
Audit plan is re-submitted to client for comment as appropriate. 
Issues concerning the audit plan are negotiated with the client and documents amended where required. 
Initial meetings and worksite familiarisation are undertaken. 
Progress of the audit plan is monitored 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. 
Records of evidence and findings are progressively documented in an appropriate format and retained. 
Hazards identified during the audit are reported promptly to the appropriate person/s, including supervisor and/or person in control of the workplace. 
Own health and safety is addressed during the audit in accordance with organisational requirements and standards for safe work practices. 
Information and data collection and evaluation activities comply with legal requirements and are carried out ethically. 
Exit meetings with key personnel and stakeholders are undertaken as appropriate. 
Summary audit findings and recommendations are presented to the clients at the closing meeting, after consultation with key personnel and stakeholders. 
Results of the evaluation are compared against the audit criteria. 
Where challenges to the report are anticipated, further explanations to promote acceptance are prepared. 
Corrective action and follow-up processes are recommended to the client. 

Forms

Assessment Cover Sheet

PSPSOHS608A - Conduct an OHS audit
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I declare that the assessment tasks submitted for this unit are my own work.

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Assessment Record Sheet

PSPSOHS608A - Conduct an OHS audit

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Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

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Overall assessment result: Competent Not yet competent

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