BSBWHS614 — Conduct a WHS audit under the guidance of a lead auditor

Elements & performance criteria

Performance evidence

• prepare for and conduct one work health and safety (WHS) audit under the guidance of a lead auditor.
• outline purpose, scope and objectives of audit in a preliminary meeting
• develop and implement a WHS audit plan suited to the work area, which reflects nature and scope of required audit
• select, develop, trial and modify WHS audit tools suited to audit and work area
• gather information, data and WHS records, consulting required range of workplace personnel
• report on WHS audit outcomes
• make recommendations in areas where improvements are identified
• work effectively under the guidance of a lead auditor.

Knowledge evidence

• WHS legislative responsibilities, duties and obligations of managers, supervisors, workers and persons conducting a business or undertaking (PCBUs) or officers
• WHS legislative requirements regarding: communication, consultation and participation processes in a WHS audit, notification of incidents, audit recordkeeping, hazard identification and risk assessment methods
• procedures for identifying WHS audit tools and assessing their suitability
• nature and use of information and data that provide valid and reliable results about performance of WHS risk-management processes and positive performance indicators, and limitations of other types of measures
• key components of a WHS audit plan, including: nature of information and data to be collected, key audit personnel, information and data collection strategies that ensure security, confidentiality, impartiality and equity, process that includes opportunities for corroborating performance evidence collected
• principles and practices of WHS audit, including: reflecting understanding of nature of workplace, work processes, and hazards and controls relevant to workplace, methods for collecting reliable WHS information and data, methods for interviewing those subject to audit, including arrangements to validate audit findings, strategies for addressing commonly encountered problems in collection, and adapting to contingencies as they arise to meet WHS legislative and audit outcome requirements, methods for collecting evidence of compliance with WHS laws, consulting with required personnel, including lead auditor
• key components of audit findings, including: recommendations, non-compliances, uncontrolled hazards and associated risks, objective evidence and rationale
• procedures for developing and using benchmark criteria during WHS audit, including positive performance indicators (PPIs)
• features of good-practice WHS audit tools
• internal and external sources of WHS information and data, and procedures for accessing them
• requirements for recordkeeping that address WHS, privacy, confidentiality and other legislative requirements
• roles and responsibilities of internal and external personnel as they apply to WHS audit
• legal liability in relation to providing WHS audit advice
• role of lead auditor and own relationship to lead auditor.

Foundation skills

• Reading: Identifies, interprets and analyses legislative and organisational texts relevant to WHS audit requirements Reviews and interprets information and data gathered during audit activities
• Writing: Communicates information about audit plan, matching style of writing to purpose and audience Drafts and develops required documents using appropriate vocabulary, grammatical structure and organisational conventions
• Oral communication: Presents information and ideas using vocabulary appropriate to audience and context Uses questioning and active listening to facilitate discussion, seek clarification and confirm understanding
• Numeracy: Extracts and evaluates mathematical information embedded in audit data and records Applies mathematical processes to set timeframes and compare or contrast data
• Navigate the world of work: Identifies own and others’ legal responsibilities in relation to WHS audit advice Keeps up to date on changes to WHS laws relevant to audit, and considers their implications when negotiating, planning and undertaking work
• Interact with others: Applies the protocols governing what, with whom and how to communicate when gathering evidence and consulting Collaborates with others to achieve joint outcomes, playing an active role in facilitating effective group interaction, influencing direction and taking a leadership role on occasion Negotiates agreement on the best course of action regarding audit recommendations
• Get the work done: Uses logical planning processes and understanding of context to plan for audit Sequences and schedules activities, monitors implementation and manages relevant communication Involves others in the selection of audit tools or methods, using consultative or collaborative processes as part of the decision-making process when appropriate Maintains systematic records of data-gathering activities Uses systematic and analytical processes in non-routine situations: sets goals, gathers relevant information, and identifies and evaluates options against agreed benchmark criteria Uses digital systems and tools to access, record, organise, analyse and display information Validates audit findings and reflects organisational constraints and challenges in audit recommendations

Unit content sourced from training.gov.au — © Commonwealth of Australia, licensed under CC BY 4.0. Auditori is not affiliated with the Department of Employment and Workplace Relations.

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