Unit of competency Outline

Date retreived
22/07/2026 8:29 PM AWST

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Implement a systematic approach to the audit of safety management systems

Implement a systematic approach to the audit of safety management systems

Unit of competency
National Code
MARM4005A
State Code
WG502
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
1.00
Current Release Date
06/06/2013
State Implementation and Classification
Approved Date
10/02/2014
Field of Education
080317 - Quality Management
Original Release Date
10/02/2014
Nominal Hours
20
Description
This unit involves the skills and knowledge required to implement a systematic approach to the audit of safety management system (SMSs) on commercial vessels.
Notes
Elements and Performance Criteria
1 Scope legislative and regulatory framework
  • 1.1 Relevant legislation and standards for the role of surveyor in auditing SMSs are identified and evaluated
  • 1.2 Relevant safety management legislation and standards for vessel owners and operators, and implications for managing safety of crew and others is identified and evaluated
  • 1.3 Sources of information and data for impact on hazards, risks and management of SMSs on commercial vessels are monitored
2 Determine safety management priorities and identify implementation plans
  • 2.1 Safety management priorities are determined in consultation with colleagues and other workplace consultative arrangements
  • 2.2 Appropriate implementation plans are identified to ensure preparedness for SMS audit
  • 2.3 Input from surveyors, SMS specialists and technical advisors is sought when required
3 Audit vessel safety management systems for vessel operations and provide advice to control risks
  • 3.1 Vessel SMSs are identified and assessed for compliance
  • 3.2 Existing safety management arrangements are identified and advice on proposed changes is provided
  • 3.3 Appropriate advice is provided to vessel owners and operators on risk mitigation
  • 3.4 Disputes relating to SMS implementation issues are handled effectively and negotiation skills are employed to ensure agreement on SMS action plans
  • 3.5 Regulatory documentation and vessel history are updated to reflect advice provided and agreed actions plans, according to organisational or legislative requirements
4 Evaluate effectiveness of approach to audit of safety management systems
  • 4.1 Sources of external and internal SMS information and data are accessed as part of evaluation
  • 4.2 Need for any external evaluation input is identified and action is taken as appropriate
  • 4.3 Stakeholders are consulted for evaluation input
  • 4.4 Areas for improvement are identified, documented and actioned
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below.
Relevant legislation and standards may include:
Commonwealth, state and territory WHS/OHS legislation
Marine Safety (Domestic Commercial Vessel) National Law
National Standard for Commercial Vessels (NSCV)
National Standard for the Administration of Marine Safety (NSAMS)
Commercial vessels must include:
Vessels defined as commercial vessels in Marine Safety (Domestic Commercial Vessel) National Law
Safety management priorities may include:
Identifying:
high risk vessels
known hazards to vessel operations
range and types of additional compliance arrangements
Consultative arrangements may include:
Health and safety representatives
Industry associations and peak bodies
Involvement in SMS activities such as observing inspections and surveys
Regulatory and other SMS consultative and planning committees
Unions
Work group meetings
Implementation plans may include:
Communicating with vessel owners and operators about new requirements
Developing procedures and policies for SMS audit
Negotiating compliance timeframes based on risk documented plans developed in negotiation with vessel owners and operators to improve SMS management, which allocates items to be addressed and timeframes
Procedures for reporting hazards and non-compliance
SMS performance indicators for a range of different commercial operations
SMS specialists may include:
Industry peak bodies
ISM code auditors
Other surveyors
Regulators
Risk management specialists
WHS/OHS specialists
Technical advisors may include:
Engineers
Legal practitioners
Maintenance and trades people
Naval architects
Shipwrights
Workplace trainers and assessors
Risk mitigation may include:
Engaging consultants
Interpreting legislation to vessel operations and size
Ongoing self-assessment and testing of systems
Reducing operational capacity
Repairs and maintenance
Safety data sheets/material safety data sheets
Training of crew
SMS action plans may include:
Changes to:
management practices
operational environment
operational practices and conditions
work processes and systems
Equipment purchases
Introducing new technology
Introducing training and instruction
Material purchases
Organisational restructure
Other labour market changes
Refreshing skills
Sources of external and internal SMS information and data may include:
Consultants
Employees/colleagues
Government departments/agencies including SMS authorities and organisations such as AMSA
Industry networks and associations
Internet sites
Manufacturer manuals and specifications
Newspapers and journals, trade/industry publications
SMS and other relevant legislation
SMS specialists
Technical data
Stakeholders may include:
Colleagues and other supervisors
Managers/employer
Maritime safety authorities
SMS committees
Tradespeople
Vessel owners and operators
The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, the required skills and knowledge, the range statement and the Assessment Guidelines for the Training Package.
Critical aspects for assessment and evidence required to demonstrate competency in this unit
The evidence required to demonstrate competence in this unit must be relevant to and satisfy all of the requirements of the Elements, Performance Criteria, Required Skills, Required Knowledge and include:
producing accurate and reliable information
ensuring integrity of data
attention to detail when completing documentation.
Context of and specific resources for assessment
Performance is demonstrated consistently over time and in a suitable range of contexts.
Resources for assessment include access to:
industry-approved marine operations site where implementing a systematic approach to the audit of SMSs can be conducted
tools, equipment and personal protective equipment currently used in industry
relevant regulatory and equipment documentation that impacts on work activities
range of relevant exercises, case studies and/or other simulated practical and knowledge assessments
appropriate range of relevant operational situations in the workplace.
In both real and simulated environments, access is required to:
relevant and appropriate materials and equipment
applicable documentation including workplace procedures, regulations, codes of practice and operation manuals.
Method of assessment
Practical assessment must occur in an:
appropriately simulated workplace environment and/or
appropriate range of situations in the workplace.
A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate to this unit:
direct observation of the candidate implementing a systematic approach to the audit of SMSs
direct observation of the candidate applying relevant WHS/OHS requirements and work practices.
Guidance information for assessment
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended.
In all cases where practical assessment is used it should be combined with targeted questioning to assess Required Knowledge.
Assessment processes and techniques must be appropriate to the language and literacy requirements of the work being performed and the capacity of the candidate.
Replaced By
State Code National Code Title Type
AUG62 MARM009 Implement a systematic approach to the audit of safety management systems Unit of competency
State Code National Code Title Type
J561 MAR40413 Certificate IV in Maritime Operations (Marine Surveying) Qualification