4 | WHS 133
SCOPE OF AUDIT
Licensee:
Scope of audit:
This audit assessed the effectiveness of [employer name] health and safety policy, health and
safety procedures, and its health and safety management systems. It verifies that management
systems are in place and evaluates the implementation and effectiveness of those systems.
The audit consists of examining documentation and records to verify that systems exist and
are working. There are also circumstances where observations and discussions with relevant
personnel at [employer name] are an appropriate means for verifying conformance.
At the conclusion of the audit, this report is prepared identifying positive aspects of
[employer name] health and safety management systems, and any deficiencies against the
audit criteria.
Audit criteria:
This tool comprises 108 criteria combined into five elements as listed below:
Element 1. Health and Safety Policies (3 Criteria)
Element 2. Planning (11 Criteria)
Element 3. Implementation (79 Criteria)
Element 4. Measurement and evaluation (13 Criteria)
Element 5. Management review (2 Criteria)
Ratings
The findings in the audit report have been classified and marked as follows:
> Conformance: indicates that the criterion has been met.
> Non-conformance: indicates that the criterion has not been met.
> Not able to be verified: indicates that the PCBU has documented procedures in place but there
have been no cases to test that the PCBU has followed those procedures. It is expected that this
classification will only be used in limited circumstances and where applied, the reasons for the
finding will be explained by the auditor.
> Not applicable: indicates that the criterion does not apply to the licensee.
Where a criterion has been met but the auditor has identified a ‘once off’ situation or a ‘minor’
deviation from the documented management system or reference criterion, an ‘observation’ may
be made. These findings, while representing a non-fulfilment of a requirement, are recognised as
being of lower risk to the licensee. However, corrective action to address the identified deficiency
is required. An ‘observation’ can be made against a criterion which has been rated as either
Conformance or Non-conformance.
Dates and locations of
audit:
Auditor(s)/Comcare
Representative(s):
Primary licensee
contact(s):
Record of audit:
This report contains a summary of the audit outcomes. A detailed record of the documentation and
records sighted, issues observed and auditor comments are retained on the auditor’s file.
[list each site verification and date]
[auditor name and company]
[list licensee contact(s)]