Management Systems Australia
Management Systems Australia

WHSE Compliance Guidelines Audit Protocol

A complete audit protocol, with instructions and an individual ready-to-use audit sheet for each WHSE Guideline.

The Compliance Guidelines package comes complete with a comprehensive Audit Protocol which covers all of the Guidelines (refer to the Guidelines Register). This Protocol is used to conduct WHSE system audits of operations and WHSE Management Systems, against the requirements of the applicable WHSE Guidelines. It includes (for each WHSE Guideline) a detailed audit protocol with questions, examples of evidence, records and verification, space for recording observations and non-compliances, and space for recording agreed corrective actions. The Protocol provides a useful tool for assessing the extent of compliance of operations and WHSE management systems with the requirements of the WHSE Guidelines, so as to ensure that deficiencies are identified and the appropriate corrective actions can be applied.

How to Use the Audit Protocol

The Audit Protocol can be used in several ways and for several purposes, depending on the needs of the organisation and the state of its WHSE Management System. The following are some of the ways to use this protocol.

  • Gap Analysis - This approach consists of using the protocol to system audit existing systems and operations, prior to the implementation of the WHSE Guidelines.  The system audit is used to determine the current extent of compliance  that is, to identify the gap between existing systems and the requirements of the WHSE Guidelines. Identifying the gap would assist in determining and prioritising the issues which need to be addressed.
  • Full System Audit  - This approach consists of a full system audit of the implemented WHSE Management System (and Guidelines) and can be done as a one-off or as a regular (say, annual or bi-annual) audit.
  • Limited Scope Audit - This approach is similar to the full system audit, except that it consists of a pre-defined limited scope audit (e.g. only the Guidelines related to hazardous substances, or to plant and equipment, etc.). This approach can be utilised when it is preferable to conduct a series of limited scope audits, so that the entire set of WHSE Guidelines is covered by the end of the audit period (say, one or two years).
  • Audits of Contractors - The Protocol is very useful for auditing the operations of prospective and/or engaged contractors, either as a full system audit or a limited scope one.


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