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.
Elements describe the essential outcomes. | Performance criteria describe the performance needed to demonstrate achievement of the element. |
1 | Prepare for internal audit | 1.1 | Analyse brief to determine the scope and detailed requirements of the planned audit |
| 1.2 | Identify procedures and/or the work area to be audited, and collect relevant information and documentation |
| 1.3 | Brief relevant personnel and allocate roles and responsibilities |
| 1.4 | Develop a detailed audit plan in consultation with relevant personnel |
| 1.5 | Develop a checklist to identify conformance and non-conformance |
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2 | Conduct audit | 2.1 | Identify the components and elements of the quality system and work area to be audited |
| 2.2 | Collaborate with relevant personnel to maximise continuous improvement and ownership of the audit process |
| 2.3 | Collect sufficient evidence to identify non-conforming aspects of the quality system |
| 2.4 | Analyse evidence to identify suitable corrective actions |
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3 | Report findings | 3.1 | Document findings from the audit process in the required format |
| 3.2 | Present recommendations for corrective actions |
| 3.3 | Provide strategies for the implementation of the corrective actions |
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4 | Complete corrective actions | 4.1 | Develop and implement an action plan to improve the quality system |
| 4.2 | Consult with relevant personnel regarding the necessary strategies to improve the quality system |
| 4.3 | Evaluate and report the effectiveness of the corrective action after an agreed time interval |
| 4.4 | Ensure that relevant certification is maintained |
Evidence of competence in this unit must satisfy all of the requirements of the elements and performance criteria, and include demonstration of:
preparing for, conducting and documenting at least one (1) internal audit of aspects of the laboratory's quality system in accordance with workplace procedures
collecting and analysing all necessary data, relevant documentation and records
applying effective problem identification, problem solving and quality improvement techniques
encouraging suggestions and feedback from team members to develop improved work practices or processes
documenting audit findings accurately and recommending logical corrective actions to address non-conformance items
communicating effectively with supervisors, managers, laboratory and/or production personnel before, during and after the audit
implementing identified corrective actions and opportunities for improvement and monitoring and evaluating their effectiveness
maintaining and reporting quality and audit documentation.
Must provide evidence that demonstrates knowledge of:
workplace quality system, plans and documentation and relevant national and international quality standards and protocols that apply in work area
workplace organisational structure, delegations and responsibilities, and information management systems
importance of identifying, reporting and addressing non-conformance
laboratory's business goals and key performance indicators (KPIs)
audit process and documentation
problem-solving techniques to identify causes and options to remedy problems
continuous improvement principles and techniques, such as:
run charts, control charts, histograms and scattergrams to present quality control data
plan, do, check, act (PDCA)
Ishikawa fishbone diagrams; cause and effect diagrams; logic tree; similarity/difference analysis; Pareto charts and analysis; force field/strengths, weaknesses, opportunities, threats (SWOT) analysis
process capability
standard operating procedures (SOPs) for the technical work performed in work area
workplace communication, recording and reporting procedures
work health and safety (WHS) and environment requirements.
Additional knowledge requirements may apply for different industry sectors. For example in food processing:
incorporating food safety and/or hazard analysis and critical control points (HACCP) plan requirements into audit
monitoring and verifying critical control limits.
Judgement of competence must be based on holistic assessment of the evidence. Competency must be assessed within the context of a team-based internal quality audit and assessed over a sufficient period of time to enable the candidate to prepare and conduct the audit, report the findings and implement and evaluate any corrective action.
This unit of competency is to be assessed in the workplace or a simulated workplace environment, and assessment evidence must be relevant to the particular workplace context. A simulated workplace environment must reflect realistic operational workplace conditions that cover all aspects of workplace performance, including the environment, task skills, task management skills, contingency management skills and job role environment skills.
Foundation skills are integral to competent performance of the unit and should not be assessed separately.
Assessment processes and techniques must be appropriate to the language, literacy and numeracy requirements of the work being performed and the needs of the candidate.
Knowledge evidence may be collected concurrently with performance evidence or through an independent process, such as workbooks, written assessments or interviews (provided a record is kept in each case).
This unit of competency may be assessed with:
MSL916002 Manage and develop teams
MSL936001 Maintain quality system and continuous improvement processes within work or functional area
Holistic assessment methods include:
review of audit plan, checklists, data, findings and recommendations prepared by the candidate as part of the internal audit process
feedback from audit team members about the candidate’s ability to encourage participation and provide useful information and clear instructions
feedback from managers about implementation of the internal audit and the usefulness of the findings and recommendations
questions to assess required knowledge of quality systems, internal audit process, quality improvement techniques and relevant workplace procedures
observation of the candidate's performance at key audit stages.
Access is required to all instruments, equipment, materials, workplace documentation, procedures and specifications associated with this unit, including, but not limited to:
documentation, such as audit documents, workplace quality manual and HACCP plans, and quality (certification or registration) requirements
safety procedures, SOPs and work instructions.
Assessors must satisfy the assessor competency requirements that are in place at the time of the assessment as set by the VET regulator.
The assessor must demonstrate both technical competence and currency.
Technical competence can be demonstrated through:
relevant VET or other qualification/Statement of Attainment AND/OR
relevant workplace experience.
Currency can be demonstrated through:
performing the competency being assessed as part of current employment OR
having consulted with a laboratory about performing the competency being assessed within the last twelve months.