List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.
Element | Performance criteria |
Elements describe the essential outcomes. | Performance criteria describe the performance needed to demonstrate achievement of the element. |
1. Determine the scope of the audit | 1.1 Prepare objectives and scope of the audit 1.2 Confirm expectations of client or organisation 1.3 Determine the pattern of random or non-random audit events 1.4 Identify individual and personal actions for audit requirements 1.5 Identify groups and processes for audit for audit requirements 1.6 Prepare a list of audit items 1.7 Identify legislative, regulatory and industry requirements for audit |
2. Specify the audit requirements | 2.1 Identify and document precise parameters of acceptable conditions and results 2.2 Describe the relevant sections of Codes of Practice and specific clauses in Australian Standards 2.3 Communicate written guidelines to the audited group and individual staff members 2.4 Provide detailed information to audit groups in a durable format for working conditions |
3. Define the audit process | 3.1 Determine and assign responsibilities for audit implementation and evaluation 3.2 Determine the timing and frequency of the audit events of audit events 3.3 Confirm schedules and logistical arrangements and plan contingency arrangements 3.4 Confirm expectations with the audited group and individual staff members 3.5 Document audit process and communicate to appropriate people |
4. Manage the audit implementation | 4.1 Organise an audit meeting in advance at a mutually agreed time 4.2 Examine the activities of audited group and individual staff members 4.3 Identify and record items of compliance and non compliance 4.4 Interview appropriate persons for detailed information, clarification and feedback 4.5 Gather and record relevant information and sample documentation 4.6 Take contingency actions as required and record |
5. Evaluate and document the audit findings into a report | 5.1 Examine results and findings against audit objectives and present to the audited group or individual 5.2 Seek and reach agreement on corrective action reports 5.3 Explain and discuss context and consequences of audit during follow-up meetings 5.4 Provide feedback on results to client or organisation 5.5 Document the final audit report and present to client or organisation |
The candidate must be assessed on their ability to integrate and apply the performance requirements of this unit in a workplace setting. Performance must be demonstrated consistently over time and in a suitable range of contexts.
The candidate must provide evidence that they can:
identify client or organisation expectations
determine the scope of items for audit
specify parameters of audit requirements
define the audit process
identify compliance and noncompliance items
implement an audit
manage the implementation of audits
plan for and act on contingencies
evaluate audit findings
organise scheduling and meetings
use industry standard terminology.
The candidate must demonstrate knowledge of:
audit methodology and techniques
product or service
quality principles and techniques
interview techniques
workplace documentation and policies
logistics of operations of organisation
legal issues and terminology relating to quality auditing
award and enterprise agreements and relevant industrial instruments
relevant legislation and regulations from all levels of government
relevant codes of practice, regulations and Standards.
Assessors must satisfy current standards for RTOs.