- PSPWPI605B - Audit management systems
Assessor Resource
PSPWPI605B
Audit management systems
Assessment tool
Version 1.0
Issue Date: May 2024
Not applicable.
This unit covers the competency to undertake audits of workplace occupational health and safety and/or workers compensation and/or injury management and/or workplace relations and other management systems. It includes planning, organising and undertaking an audit; and evaluating, recording and providing advice on audit results.
In practice, auditing management systems may overlap with other generalist or specialist public sector work activities such as acting ethically, complying with legislation, applying government systems, managing change, managing diversity, managing evaluations.
No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)
Prerequisites
Not applicable.
Employability Skills
This unit contains employability skills.
Evidence Required
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.
The Evidence Guide specifies the evidence required to demonstrate achievement in the unit of competency as a whole. It must be read in conjunction with the Unit descriptor, Performance Criteria, the Range Statement and the Assessment Guidelines for the Public Sector Training Package. | |
Units to be assessed together | Pre-requisite units that must be achieved prior to this unit:Nil Co-requisite units that must be assessed with this unit:Nil Co-assessed units that may be assessed with this unit to increase the efficiency and realism of the assessment process include, but are not limited to: PSPETHC601B Maintain and enhance confidence in public service PSPGOV601B Apply government systems PSPLEGN601B Manage compliance with legislation in the public sector PSPMNGT602B Manage resources PSPMNGT608B Manage risk PSPMNGT611A Manage evaluations |
Overview of evidence requirements | In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms: the knowledge requirements of this unit the skill requirements of this unit application of the Employability Skills as they relate to this unit (see Employability Summaries in Qualifications Framework) management systems audited in a range of (3 or more) contexts (or occasions, over time) |
Resources required to carry out assessment | These resources include: legislation, policy, procedures and protocols relating to workplace legislative compliance case studies and workplace scenarios to capture the range of situations likely to be encountered when auditing management systems |
Where and how to assess evidence | Valid assessment of this unit requires: a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when auditing management systems, including coping with difficulties, irregularities and breakdowns in routine management systems audited in a range of (3 or more) contexts (or occasions, over time) Assessment methods should reflect workplace demands, such as literacy, and the needs of particular groups, such as: people with disabilities people from culturally and linguistically diverse backgrounds Aboriginal and Torres Strait Islander people women young people older people people in rural and remote locations Assessment methods suitable for valid and reliable assessment of this competency may include, but are not limited to, a combination of 2 or more of: case studies demonstration observation portfolios questioning scenarios authenticated evidence from the workplace and/or training courses |
For consistency of assessment | Evidence must be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and apply the competency in different situations or environments |
Submission Requirements
List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here
Assessment task 1: [title] Due date:
(add new lines for each of the assessment tasks)
Assessment Tasks
Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.
This section describes the essential skills and knowledge and their level, required for this unit. |
Skill requirements Look for evidence that confirms skills in: applying risk management principles working with a variety of professionals paying attention to detail implementing methodical and systematic approach using recording, testing and specialised evidence collection equipment auditing systems justifying/explaining the assessment decision and recommended corrective action using communication involving complex exchanges of oral information, reading and analysing complex and formal documents responding to diversity, including disability and gender |
Knowledge requirements Look for evidence that confirms knowledge and understanding of: risk management principles legislation, codes, standards management systems powers of inspector, jurisdiction use of audit/assessment tools industry practices and procedures quality management principles organisational auditing procedures management system principles |
The Range Statement provides information about the context in which the unit of competency is carried out. The variables cater for differences between States and Territories and the Commonwealth, and between organisations and workplaces. They allow for different work requirements, work practices and knowledge. The Range Statement also provides a focus for assessment. It relates to the unit as a whole. Text in bold italics in the Performance Criteria is explained here. | |
Resources required to conduct the audit may include: | financial, such as: budget allocations travelling/subsistence allowances motor vehicle hire physical, such as: motor vehicles measuring equipment photographic equipment computer equipment office location personal protective equipment telephone equipment stationery documentation (e.g. standards) electronic recording equipment office communication equipment |
Audits may be conducted by: | an auditor working on his/her own a team comprising subject technical knowledge expert/s and a lead auditor an auditor working in conjunction with an experienced auditor, trainer and/or supervisor |
Audit may include: | assessment examination/test structured inspection of workplaces to validate management systems national/state or other relevant assessment instruments results of internal and external monitoring |
Relevant parties may include: | the auditors key members/representatives of the organisation being audited nominated contact person/s managers concerned with the unit/section being audited audit manager audit team leader audit team members project manager employer association employee association community groups industrial commission insurance companies employer employee principal contractor |
Audit plan may address: | the scope, purpose and objectives of the audit competency of auditor/s recordkeeping and processing arrangements evaluation and review mechanisms quality assurance methods legislation codes of practice standards guidance materials benchmarks |
Documents may include: | electronic databases videos intra/internet sites training/learning programs photographs written information |
Audit procedure may specify: | recording procedure audit methods used evidence required location timing of audit |
Evidence may include: | documented instruction relating to the performance of tasks sets of oral/written/computer-based questions checklists logbooks working guides manuals technical reports standard operating procedures/work method statements policies and procedures employer/employee records contractor records third party records use of technology outcome of interviews outcome of focus groups |
Assessment methods may include: | direct observation of performance practical tasks written/oral/computer-based questioning consideration of third party reports consideration of authenticated prior achievements use of measuring and testing equipment combination of methods statistical data relating to safety and health injury/disease and/or workplace relations |
Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.
Observation Checklist
| Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice | Yes | No | Comments/feedback |
|---|---|---|---|
| The resources required to conduct the audit are identified and obtained. | |||
| The relevant parties are consulted and informed of audit plans in accordance with the organisation's policy and procedures. | |||
| The environment is assessed for personal safety. | |||
| The environment is assessed to ensure that it permits the audit to be fair, valid and reliable. | |||
| The audit arrangements and requirements are explained to the persons involved in the audit and to the relevant parties, and their understanding of the purpose and processes is confirmed. | |||
| Documents are sighted and all other evidence specified in the audit procedure is gathered in accordance with the organisation's policy and procedures and confidentiality is maintained. | |||
| Evidence gathered is evaluated for reliability, validity, authenticity, sufficiency, currency, and consistency in the achievement of the specific standards. | |||
| The assessment decision is made in accordance with the purpose and objectives of the audit. | |||
| Guidance is sought if in doubt, from a more experienced auditor/s. | |||
| The audit results are recorded and processed in accordance with organisational auditing procedures. | |||
| Access to the audit records is provided only to authorised personnel | |||
| Confidentiality of the audit outcome is maintained. | |||
| Audit results are discussed and confirmed with the persons involved in the audit. | |||
| Feedback including advice on corrective action/s required is given to persons involved in the audit. | |||
| Any audit decision that may be disputed is reported in accordance with the organisation's policy and procedures. |
Forms
Assessment Cover Sheet
PSPWPI605B - Audit management systems
Assessment task 1: [title]
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Result: Competent Not yet competent
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Assessment Record Sheet
PSPWPI605B - Audit management systems
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Assessment task 1: [title] Result: Competent Not yet competent
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Feedback to student:
Overall assessment result: Competent Not yet competent
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