Required skills

Ability to

identify roles and responsibilities of personnel participating in the audit process

establish and negotiate audit purpose and scope to meet the workplace and legislative requirements

clarify program objectives and evaluation criteria to be applied where appropriate this includes identifying legal compliance requirements

establish the audit sequence activities and timelines

identify roles responsibilities and competencies required to conduct an audit and confirm that the required competencies are available within the project team where appropriate

identify and locate information required to conduct the audit

review workplace documentation to confirm that required information is available

select and apply appropriate data collection tools to provide information on both program outcomes and processes

establish an audit plan and timetable and communicate the plan to relevant work areaspersonnel including allocating tasks to match requirements of the audit and competencies of the audit team

assess information collected against program objectives and evaluation criteria to identify compliancenoncompliance

identify any changes that have occurred in the workplace since initiating the program or since the last program audit that could affect program outcomes

identify investigate and record evidence of noncompliance

assess severity of noncompliance and take immediate action to report noncompliance that presents an imminent and serious risk to achievement of program objectives action must comply with company audit procedures and with legal responsibilities where relevant

based on the audit findings assess the adequacy of the program under review including verifying that information used to establish methods of controlling hazards is adequate and correct technical expertsaccessing external technical resources may be used to support verification conclusions on audit outcomes should be objective and capable of duplication given the evidence collected

where findings indicate either a failure to comply with the program or inadequacy of the program investigate and determine the causes of nonconformance and identify corrective action requirements

communicate audit findings including corrective actions and timeframes with relevant work areaspersonnel such as negotiatingsecuring required resources

report the findings of the audit in an appropriate format to meet the requirements of the workplace and legal compliance where relevant

use communication skills to interpret and complete work information to support operations of work team or area

demonstrate and support cooperative work practices within a culturally diverse workforce

Required knowledge

Knowledge of

the purpose and intent of the program being audited including the requirements of relevant national state and local government legislation relating to program purpose and requirements

auditor roles responsibilities and legal obligations as relevant to the audit purpose including the responsibilities of both internal and external auditors and the different types of auditors and of authorised officers who may be involved in the audit program

legal responsibilities for reporting imminent and serious nonconformities

requirements and procedures for certificationregistration of auditors and authorised officers according to audit type

the frequency and scope of audit requirements to meet legal obligations

appropriate ethical conduct of auditors as set out in codes of ethics of auditors and additional requirements as may be determined by the workplace

the purpose and stages involved in the audit process such as compliance with ISO audit standards as appropriate to audit requirements

workplace information and related information management systems

techniques for collecting information including appropriate sampling techniques information collection methods and the strengths and weaknesses of each method to ensure data is adequate and representative as well as an understanding of techniques identified by ISO

data analysis methods relevant to the audit process

communication skills and techniques such as appropriate questioning observation and related communication skills to support information collection appropriate to the workplace

technical knowledge relevant to the program being audited in order to verify the adequacy of

hazard identification processes

control methods including industry standardspractice

monitoring and record keeping

validation processes

corrective actionprocess improvement procedures

where program control methods or limits vary from industry standards or where there are no industry standards technical knowledge required to assess data used by the business to validate acceptable limits this may be addressed by identifying and involving appropriate technical expertise

competency standards and related assessment and training options to support program implementation

information management and communication systems to document and communicate audit outcomes in appropriate formats

The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria required skills and knowledge range statement and the Assessment Guidelines for the Training Package

Overview of assessment

Assessment must be carried out in a manner that recognises the cultural and literacy requirements of the assessee and is appropriate to the work performed Competence in this unit must be achieved in accordance with food safety standards and regulations

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of ability to

determine scope of and purpose of audit

schedule audit and make required arrangements

establish information collection parameters

select information collection techniques

collect and analyse information

ensure compliance

develop and communicate required corrective action plan

complete workplace records as required

apply safe work practices and identify OHS hazards and controls

Context of and specific resources for assessment

Assessment must occur in a real or simulated workplace where the assessee has access to

workplace program and related documentation

relevant legislation

audit procedures and standards including any external standards relevant to the audit such as ISO standards

advice on related technical industry standards and codes of practice

information systems and data collection technology

reporting formatsrequirements

workplacepersonnel access as required to collect dataobserve compliance

Method of assessment

This unit should be assessed together with core units and other units of competency relevant to the function or work role In addition the following optional units may be relevant

FDFOPA Apply principles of statistical process control

FDFOP2015A Apply principles of statistical process control

FDFPPLA Lead work teams and groups

FDFPPL3004A Lead work teams and groups

FDFPPLA Design and maintain programs to support legal compliance

FDFPPL5001A Design and maintain programs to support legal compliance

BSBRESA Analyse and present research information

BSBRES4001A Analyse and present research information.

For information on how to assess this unit of competency and who can assess refer to the Assessment Guidelines for this Training Package For some types of audits auditors are required to comply with assessment arrangements specified by relevant regulatory bodies Where this is the case these separate assessment requirements must also be met

Guidance information for assessment

To ensure consistency in ones performance competency should be demonstrated on more than one occasion over a period of time in order to cover a variety of circumstances cases and responsibilities and where possible over a number of assessment activities

Audits

Corrective action plan

Communication skills and techniques

Information collection

Procedures and techniques