Elements and Performance Criteria
- Determine the scope of the audit
- Prepare objectives and scope of the audit
- Confirm expectations of client or organisation
- Determine the pattern of random or non-random audit events
- Identify individual and personal actions for audit requirements
- Identify groups and processes for audit for audit requirements
- Prepare a list of audit items
- Identify legislative, regulatory and industry requirements for audit
- Specify the audit requirements
- Identify and document precise parameters of acceptable conditions and results
- Describe the relevant sections of Codes of Practice and specific clauses in Australian Standards
- Communicate written guidelines to the audited group and individual staff members
- Provide detailed information to audit groups in a durable format for working conditions
- Define the audit process
- Determine and assign responsibilities for audit implementation and evaluation
- Determine the timing and frequency of the audit events of audit events
- Confirm schedules and logistical arrangements and plan contingency arrangements
- Confirm expectations with the audited group and individual staff members
- Document audit process and communicate to appropriate people
- Manage the audit implementation
- Organise an audit meeting in advance at a mutually agreed time
- Examine the activities of audited group and individual staff members
- Identify and record items of compliance and non compliance
- Interview appropriate persons for detailed information, clarification and feedback
- Gather and record relevant information and sample documentation
- Take contingency actions as required and record
- Evaluate and document the audit findings into a report
- Examine results and findings against audit objectives and present to the audited group or individual
- Seek and reach agreement on corrective action reports
- Explain and discuss context and consequences of audit during follow-up meetings
- Provide feedback on results to client or organisation
- Document the final audit report and present to client or organisation