Elements describe the essential outcomes.

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

1 

Carry out preliminary planning 

1.1

Audit scope, objectives and benchmark  are verified against regulatory requirements 

1.2

Relevant documentation  is identified and obtained

1.3

Resources  required to conduct audit are established and arranged

1.4

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

2 

Develop safety management system audit plan 

2.1

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 

2.2

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

2.3

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

2.4

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

2.5

Audit plan  is developed and documented

3 

Develop safety management system audit tool 

3.1

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

3.2

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

3.3

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

3.4

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

4 

Undertake safety audit activities 

4.1

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

4.2

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

4.3

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

4.4

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

4.5

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

4.6

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

4.7

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

4.8

Information and data collection and evaluation activities are carried out ethically

4.9

Exit meetings with relevant personnel and stakeholders are conducted as required

5 

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

5.1

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

5.2

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

5.3

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

5.4

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

5.5

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

6 

Report on safety audit outcomes  

6.1

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

6.2

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

6.3

Evaluation results are checked and compared against audit criteria

6.4

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

6.5

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

6.6

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

This section describes those language, literacy, numeracy and employment skills that are essential to performance. 

Foundation skills essential to performance are explicit in the performance criteria of this unit of competency.

Specifies different work environments and conditions that may affect performance. Essential operating conditions that may be present (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) are included.

Range is restricted to essential operating conditions and any other variables essential to the work environment.

Benchmark includes one or more of the following:

• Australian or international standards for maritime safety management
• specific industry standards (such as fishing, pearling, charter cruise, cargo)
• standards developed:

• by work health and safety/occupational health and safety (WHS/OHS) authorities
• internally by the organisation or by commercial organisations or industry bodies

Regulatory requirements must include:

• Marine Safety (Domestic Commercial Vessel) National Law

Relevant documentation includes one or more of the following:

• codes of practice
• guidance material
• industry standards
• organisational documents
• WHS/OHS legislation, regulations and codes of practice

Resources must include:

• equipment
• specialist personnel

Systematic approach to managing safety includes one or more of the following:

• comprehensive set of processes that are combined in a methodical and ordered manner to minimise risk of injury or ill health in the workplace such as:

• allocation of resources
• communication and consultation
• hazard and risk management
• processes of WHS/OHS planning
• recordkeeping and reporting
• review and evaluation for ongoing safety improvement
• training and competency

Information and data collected includes one or more of the following:

• claims
• complaints
• enforcement notices and actions
• hazard logs
• incident and injury reports
• information and data changes since last audit such as new equipment, processes, products, substances or certificate of operation
• interviews with management, supervisors, work groups, employees and other parties across a range of levels and roles including:

• health and safety representatives
• maritime regulators
• contractors

• legal reports
• management system documentation including:

• policies and procedures
• position descriptions
• duty statements

• observations in workplace, work operations and records
• operational documentation including:

• completed forms
• schedules
• checklists
• log books
• minutes of meetings
• action plans
• maintenance reports
• health surveillance records

• previous management system reports and industry risk profiles
• reports and management reviews
• surveillance audits
• training materials and records

Relevant personnel and stakeholders include one or more of the following:

• employees and other parties across a range of levels and roles including:

• customers/clients/passengers
• health and safety representatives
• industry associations
• regulators
• where appropriate, contractors
• management, persons in control of workplace, supervisors

Audit plan includes one or more of the following:

• information and data required to be on hand
• locations to be inspected
• meetings to be scheduled, people to be interviewed
• personnel involved
• sampling methodology including statistical measures
• scope of audit
• timelines

Audit tool/s include one or more of the following:

• instruments for collecting evidence and conducting analysis and evaluation (not the same as audit criteria or benchmark):

• adapted from existing tools
• developed specifically for the purpose
• purchased or accessed from existing tools

• and

• descriptions of required characteristics to be checked
• limitations of and instructions for use
• performance checklists
• sets of questions to be asked

Appropriate person/s must include:

• owner
• person in control of vessel

Objective evidence includes one or more of the following:

• information and data obtained through:

• measurement
• observation
• tests

Audit findings and recommendations must include:

• benefits to be achieved by adopting audit report recommendations

Follow-up processes include one or more of the following:

• agreed meeting date with client following sufficient time for implementing corrective actions, and may include:

• checking rigour of original audit findings
• providing new non-conformance report/s as required
• verifying effectiveness of recommendations and control action/s, particularly in correction of non-compliance

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements, performance criteria and range of conditions on at least one occasion and include:

• Maritime safety management system (SMS) audits should be conducted against certificate of operation requirements for at least five vessels varying in size and operational limits and include:
• accessing and entering internal and external information on work health and safety/occupational health and safety (WHS/OHS)
• accessing relevant SMS information and data
• advising on and negotiating development of additional safety plans and monitoring designated actions
• applying relevant WHS/OHS requirements and work practices
• attending to detail when making observations and recording outcomes
• developing effective planning documents
• ensuring behaviour reflects relevant current legislative and regulatory requirements
• ensuring currency of relevant WHS/OHS skills and knowledge
• making observations of workplace tasks and interactions between people, their activities, equipment, environment and systems
• managing own tasks within a timeframe
• providing high quality reports
• relating effectively to personnel at all levels of the organisation, safety specialists and emergency services personnel as required
• reviewing and analysing relevant workplace information and data
• using language appropriate to work group and task
• working independently and unsupervised
• writing complex reports, procedures and plans.

Evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the elements, performance criteria and range of conditions and include knowledge of:

• benefits, limitations and use of a range of communication strategies and tools appropriate to workplace
• characteristics, mode of action and units of measurement of major hazard types
• concept of common law duty of care
• development of tools such as positive performance indicators (PPIs) in assessing safety management performance
• difference between:

• common law and statutory law
• hazard and risk

• ethics related to professional practice
• formal and informal communication and consultation processes
• hierarchy of control and considerations for choosing between different control measures, such as possible inadequacies of particular control measures
• how workforce characteristics and composition impacts on risk and a systematic approach to managing safety for example:

• communication skills
• cultural background/workplace diversity
• gender
• structure and organisation of workforce e.g. part-time, casual and contract workers, shift rosters, geographical location
• language, literacy and numeracy
• workers with specific needs

• how vessel characteristics and certificate of operation may impact on SMSs such as:

• commercial activity
• geographical location
• maintenance requirements for vessel operating systems and work equipment
• operational limits
• passengers
• size of vessel/ type of vessel

• internal and external sources of SMS information and data
• language, literacy and cultural profile of vessel employees
• limitations of generic hazard and risk checklists and risk ranking processes
• maritime legislative requirements for safety management plans and compliance
• methods for:

• collecting reliable information and data, commonly encountered problems in collection, and strategies for overcoming such problems
• providing evidence of compliance with maritime and WHS/OHS legislation

• nature and use of information and data that provides valid and reliable results on safety management performance processes (including PPIs) and limitations of other types of measures
• nature of maritime and typical vessel work requirements and processes (including work flow, planning and control) and hazards relevant to particular workplace
• organisational culture as it impacts on safety, risk management and change
• other functional areas that impact on safety management plans, systems and processes
• principles and practices of a systematic approach to managing safety
• principles of:

• human behaviour and response to interactions with human, physical and task environment to identify psychosocial hazards
• incident causation and injury processes

• professional liability in relation to providing advice
• range of risk analysis/assessment techniques and tools, and application and limitations of these techniques and tools, and auditing methods and techniques
• requirements for :

• recordkeeping that addresses WHS/OHS, risk management, privacy and other relevant legislation
• reporting under WHS/OHS and other relevant legislation including notifying and reporting incidents

• requirements of WHS/OHS and standards related to systematically managing safety
• requirements under hazard-specific WHS/OHS legislation and codes of practice
• risk as a measure of uncertainty and factors that affect risk
• roles and responsibilities under WHS/OHS legislation of employees including supervisors, contractors and other external WHS/OHS inspectors and advisors
• sampling methodologies, application and related statistical measures
• standard maritime industry controls for a range of hazards
• standards related to SMS information and data, statistics and records management including requirements for information and data under elements of systematically managing safety
• state/territory and commonwealth WHS/OHS legislation, 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
• structure and forms of legislation including regulations, codes of practice, associated standards and guidance material
• types of hazard identification tools
• WHS/OHS legislation, policies and procedures.