Occupational Health and Safety for Registered Training Organisations
OHS AUDIT TOOL FOR RTOS
For use in both external and internal audits
CONTENTS
1 TARGET GROUP 3
2 DEVELOPMENT OF THE AUDIT TOOL 3
3 HOW TO USE THE TOOL 3
4 RTO DETAILS 5
5 SUMMARY RECORD 6
6 OHS AUDIT TOOL FOR REGISTERED TRAINING ORGANISATIONS 7
7 WHERE TO FROM HERE 15
8 ACTION PLAN 16
1 TARGET GROUP
This audit tool for occupational health and safety for Registered Training Organisations (RTOs) is initially designed to provide guidance for auditors of RTOs in auditing the occupational health and safety component of the RTOs training management system. As such, it is also useful for RTOs as a quality improvement tool and as an internal audit tool as per Standard 1.4. The tool also addresses the requirements of an RTO under state OHS legislation.
2 DEVELOPMENT OF THE AUDIT TOOL
The audit tool correlates with the Australian Quality Training Framework Standards for Registered Training Organisations and also takes account of the Australian Quality Training Framework Registered Training Organisations Evidence Guide, occupational health and safety legislation and good practice in occupational health and safety as applied to vocational training environments.
This assessment tool does NOT introduce any new or additional standards or requirements for RTOs. Rather it expresses existing legal and practical obligations in terms of the ANTA Australian Quality Training Framework Standards for Registered Training Organisations.
3 HOW TO USE THE TOOL
For Auditors of RTOs:
The tool provides information that can be used in conjunction with existing audit tools or it may be integrated to form a combined audit tool.
For use as an internal audit tool as part of a quality improvement process:
1 J Seek input
Health and safety is a legislated requirement and is also an integral part of all training packages and qualifications/accredited courses. Health and safety affects everybody and the ATQF RTO Standards specify the requirement to seek stakeholder and client input and feedback, therefore the audit should reflect more than one person’s opinion. A small representative group should be convened to conduct the audit.
2 $ Examine the evidence and make a judgement and document on the checklist
In the group, look at the evidence available using the examples as a guide. Decide on the rating score (see suggested rating table set out below). If you do not agree within the group, or are not sure, go for the lower rating.
3 ! Make a summary record.
Go to the Summary Record (Section 5) and transfer the score for each element into the column marked Audit 1.
4 M Identify all the items rated Critical or Unacceptable and prioritise the elements for action and make an action plan.
Indicate the priority in the ‘Priority for Improvement’ column and the action plan pro-forma in Section 8 of this tool provides a guide to a format for action planning. Once all the critical or unacceptable elements are addressed move to the elements rated as satisfactory, determine if improvement is required then prioritise and formulate an action plan.
5 F Ensure that the appropriate resources are allocated to the planned actions and documented.
Resources include time allowed for the allocated person/people to do the work and, where required, $ resources.
6 % Tell the staff about the outcomes of the audit and the improvement plans.
This may be through the health and safety or quality meeting, at a staff meeting, posted on the notice board, or by email, memo, or other communication processes.
7 Set and document a date(s) for review of action plans.
Make sure that the actions plans are implemented.
8 O Plan a follow up audit
The audit should be done at least annually as part of the quality improvement process and to meet the requirement of Standard 1.4. Make sure that the follow up audit actually happens. Compare your rating score on the second audit with that gained in the earlier audit.
For the OHS element within each standard, the Examples of Evidence give an indication of where to look for verification of the element. The examples are not meant to be exhaustive, nor are all of the examples expected to exist. The audit tool provides a rating score in line with continuous improvement philosophies. The RTO may use their own rating but a suggested rating is given below.
Number Rating / Code Rating / Word Rating / Descriptor1 / CR / Critical / An immediate and major risk to health and safety for which there is no evidence of planned corrective action. Urgent action is required.
2 / U / Unacceptable / Major health and safety risks exist that can be corrected within an agreed time frame.
3 / S / Satisfactory / Documentation and actual practice generally meet the criteria with minor deficiencies which can be rectified within an agreed timeframe.
4 / CM / Commendable / Documentation and actual practice meet or exceed the criteria.
4 RTO DETAILS
RTO Name ………………………………………………… Audit Date ……………………………………..
Scope of registration…………………………………………………………………………………………………………
Contact:……………………………………………………………………………………………………………………….
Address of RTO ………………………………………….. Post Code ………………
Telephone…………………………………………………. Fax……………………….
Email………………………………………………………
Assessment conducted by ………………………………………………………………………………………………….
Previous Assessments
Date ……………………… Rating ……..…. Date………………………. Rating …………….
5 SUMMARY RECORD Date: Audit 1 __/__/__ Date: Audit 2 __/__/__
Standard / STD No / OHSMS Element / Audit 1 / Audit 2 / Priority for Improvement / Action Plan DevelopedSystems for quality training and assessment / 1.1(a) / OHS policies and procedures / q
1.1(b) / Staff informed / q
Staff have an opportunity to participate / q
1.2 / Person with authority designated / q
Nominated person has required skills, experience and capabilities / q
1.3(a) / Designated person on organisational chart / q
1.3(b) / PDs include HS responsibilities / q
1.4(a) / Internal audit includes OHS / q
1.4(b) / CEO reviews of program / q
1.5 / Complaints process includes OHS / q
1.6(a)(b)(c) / Agreement with contractors include OHS / q
1.7 / OHS plan / q
1.8 / Risk management procedures include OHS / q
1.9(a)(b) / Stakeholder feedback includes OHS / q
1.10 / OHS integral to quality processes / q
2.1 / OHS legislation identified / q
Compliance with Commonwealth, State/Territory legislation and regulatory requirements / 2.2 / Policies and procedures comply with OHS legislation / q
4.1 / Staff provided with OHS information / q
Clients provided with OHS information / q
Host employers provided with OHS information / q
OHS documents included record management procedure / q
Effective administration and records management / 4.2 / Records include OHS qualification and experience / q
4.3 / OHS documentation included in document control procedures / q
6.1 6.2 / Staff are able to access OHS documents / q
Policies and procedures for equity and access include OHS / q
Access and equity and client service / 6.3 / Information to clients includes OHS / q
7.1 / Information to clients on complaints includes OHS / q
Information to clients on disciplinary procedures includes safety procedures / q
Recruitment procedures include OHS / q
Competence of RTO staff / 7.2 / Professional development includes OHS / q
Induction includes OHS / q
8.1 / Assessments include underlying as well as specific OHS competencies / q
RTO assessments / 9.1(a)(b)(c)(d) / Training & assessment strategies identify & address OHS risks / q
Learning and assessment strategies / 9.3 / Processes for identifying learning needs include OHS needs / q
Processes to identify and address OHS risks in host workplace / q
6 OHS AUDIT TOOL FOR REGISTERED TRAINING ORGANISATIONS
STDNo / AQTF STANDARD / RELATED OHSMS ELEMENT / EXAMPLES OF EVIDENCE / RATING
1= CR 2 =U
3 = S 4= CM / COMMENT
1.0 / Systems for quality training and assessment
1.1(a) / The RTO must keep written policies and procedures for ensuring quality training and assessment consistent with its scope of registration and scale of operations / · The RTO has written policies and procedures to ensure that legal and practical obligations for OHS are met as an employer and as a provider of vocational training / · Policy and procedure manuals
· Staff handbook
· Participant handbooks
· Information to host employers
1.1(b) / The CEO must ensure that the policies and procedures are circulated, understood and implemented consistently throughout the RTO / · Staff are informed of OHS policies and procedures / · Induction checklists
· Memos, emails, staff bulletins
· Minutes of meetings
· Policy and procedure manuals available to staff
· Staff hand book
· Staff have a genuine opportunity to participate in the development of policies and procedures that impact on their health and safety / · Quality Improvement reports
· Minutes of meetings
· Nominated OHS representative
· Interview of staff
1.2 / The RTO must designate a person, with direct access to the RTOs CEO with defined responsibility and authority to meet the requirements as listed in the Standard / · The RTO designates a person with direct access to the RTO CEO who has defined responsibility and authority for occupational health and safety / · Position description, duty statement
· Staff notice board
· Staff bulletin, memo, email
· Organisational chart
The nominated person has the required skills, experience and capabilities including:
· knowledge of state and territory OHS regulations
· knowledge of current principles, practice and industry standards in OHS
· experience in applying OHS principles in the workplace / For the nominated person:
· Personal file
· Individual skill audit and training records
· Position descriptions for past positions held
· References from past employers and other relevant persons
1.3(a) / The RTO must have an organisational chart and duty statements or terms of reference that show the lines of authority in the RTO, the responsibilities and allocation of functions / The RTO organisational chart includes the person with designated OHS responsibilities / · Organisational chart
STD
No / AQTF STANDARD / RELATED OHSMS ELEMENT / EXAMPLES OF EVIDENCE / RATING
1= CR 2 =U
3 = S 4= CM / COMMENT
1.3(b) / The organisational chart and duty statements must set out the role that each staff member of the RTO has in implementing and maintaining the RTOs training and/or assessment system / Position descriptions or duty statements set out the OHS responsibilities of each staff member / · Position descriptions
· Duty statements
· OHS policy
1.4(a) / The RTO must conduct an internal audit of its compliance with these Standards and the policies and procedures mentioned in S 1.1 at least annually. / Internal audit processes include OHS and also monitor compliance of practice with OHS policies and procedures / Audit processes include:
· Non compliance/Quality Improvement Reports
· Hazard and incident reports
· Staff, student and host employer interview
· Questionnaires
· Minutes of meetings
· Correspondence
1.4(b) / The RTOs CEO must review the RTOs compliance with these Standards at least annually / CEO reviews the RTOs OHS program at least annually / · CEO signs off on the audit report and action plan
1.5 / The RTO must document and implement policies and procedures for dealing with customer complaints, grievances and appeals in a timely and constructive manner / Policies and procedures for dealing with client complaints include provision for raising and dealing with OHS issues / · Hazard report forms available to clients and host employer
· Student handbooks
· Website
· Information supplied to host employer
1.6(a) / The RTO must have, and comply with, a written agreement with each organisation that provides training and/or assessment on behalf of the RTO / Written agreements with each organisation that provides training and/or assessment on behalf of the RTO include the requirement for that organisation to comply with the OHS policies, procedures and practices of the RTO. (Refer state OHS legislation that refers to contractors.) / · Written agreements, contracts
· Safety plans, policies and procedures of the sub contract organisation
· Copies of relevant insurances
1.6(b) / The agreement must specify how each party to the agreement will discharge its responsibilities for compliance with the Standards for RTOs
1.6(c) / The RTO must maintain a register of all agreements made under Standard 1.6
1.7 / The RTO must have a written plan for its business that is consistent with its scope of registration and its scale of operations / The RTO has an OHS plan that addresses the safety of staff, clients and others taking account of the hazards associated with the industry / · Documented OHS plan or OHS component of the business plan
STD
No / AQTF STANDARD / RELATED OHSMS ELEMENT / EXAMPLES OF EVIDENCE / RATING
1= CR 2 =U
3 = S 4= CM / COMMENT
1.8 / The RTO must document and implement procedures to identify and manage risks concerned with compliance with the Standards for RTOs and correct and prevent any failure to comply with the Standards for RTOs and the RTOs quality system, policies or procedures / RTO risk management procedures include processes to:
· identify OHS hazards for staff, students and others
· assess the risks
· implement control strategies / · Policy and procedure manual
· Hazard surveys
· Hazard reports
· Workplace inspections
· Incident reports
· Investigation reports
· Industry information
· Minutes of meetings
· Quality improvement reports and logs
· Memos & correspondence indicating follow up
· Staff and client questionnaires and feedback
· Audit reports
1.9(a) / The RTO must collect and analyse stakeholder and client feedback and satisfaction data on the services it provides / Stakeholder (including host employer) and client feedback includes evaluation of the effectiveness of OHS policies and procedures / · Questionnaires and surveys
· Records of interviews and industry forums
· Minutes of meetings
1.9(b) / The RTO must use the information mentioned in S 1.9(a) to review its policies and procedures