Unit of competency Outline

Date retreived
22/07/2026 10:45 PM AWST

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Conduct an audit of safety management systems

Conduct an audit of safety management systems

Unit of competency
National Code
MARM013
State Code
AUG59
TGA Status
Deleted
DTWD Status
Deleted
Current Release Number
1.00
Current Release Date
27/02/2015
View on TGA
State Implementation and Classification
Approved Date
28/08/2015
Field of Education
080317 - Quality Management
Original Release Date
28/08/2015
Nominal Hours
45
Description
This unit involves the skills and knowledge required to conduct a regulatory audit of the safety management system (SMS) on a domestic commercial vessel. It involves systematic examination against National Standard for the Administration of Marine Safety (NSAMS) audit criteria to determine conformance with planned arrangements and the effectiveness of the approach to managing operational safety.This unit applies to people working in the maritime industry as a domestic commercial vessel marine surveyor and may form part of accreditation requirements for surveyors under Australian legislation.No licensing, legislative or certification requirements apply to this unit at the time of publication.
Notes
Elements and Performance Criteria
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
No information
No information
Replaces
State Code National Code Title Type
WG506 MARM5003A Conduct an audit of safety management systems Unit of competency
State Code National Code Title Type
AVP9 MAR50215 Diploma of Maritime Operations (Marine Surveying) Qualification