1. Prepare for internal audit

1.1 Previous internal audits are reviewed.

1.2 Relevant enterprise documents are sourced and reviewed.

1.3 Audit plan is prepared to suit staff availability and laboratory operations.

1.4 Appropriate checklists and audit related documentation are prepared.

1.5 In consultation with management, specific methods and techniques are agreed.

2. Conduct audit

2.1 Seed testing techniques are conducted by analysts and observed and reported on by auditor.

2.2 Questioning strategies are used to obtain further information from analysts on testing techniques and approaches.

2.3 Deviations to the SOPs observed during observations of testing are relayed to the analyst.

2.4 Seed storage, chemical store and sampling areas are inspected.

2.5 Work charts, schedules, reports and plans are scrutinized.

2.6 The availability and currency of laboratory documents are reviewed.

2.7 Archived documents are inspected to ensure they are complete and meet statutory holding period.

3. Report findings

3.1 Staff meeting is held to discuss outcomes of audit.

3.2 Continuous improvement forms are completed by auditor with suggested corrective actions.

3.3 An Audit Report is prepared and provided to management for review.

3.4 Continuous improvement forms are presented at future staff meetings until corrective action is completed.

3.5 Data collected during audit is filed in laboratory information management system.

3.6 Confidentiality and security of enterprise information and laboratory data is maintained.

Required skills include:

Ability to:

communicate with laboratory staff and management to explain audit requirements and outcomes

organise and manage time to sequence audit tasks, meet timelines and arrange meetings

use problem-solving skills to identify any issues that have the potential to impact on the auditing process or outcome, and to develop options to resolve these issues when they arise.

Required knowledge includes:

Knowledge of:

the role of the International Seed Testing Association (ISTA) and the ISTA Rules for Seed Testing

auditing methods and techniques

seed testing techniques, equipment and methodologies

enterprise standard operating procedures (SOPs)

relevant legislation affecting business operation.

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

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

Evidence of the following is required:

preparation of audit plan and strategy for a seed testing laboratory

gathering of data and information by a variety of methods

developing a continuous improvement report with suggested corrective actions

preparing an audit report for management review.

Context of and specific resources for assessment

Competency requires the application of work practices under work conditions. Selection and use of resources for some worksites may differ due to the regional or enterprise circumstances.

Method of assessment

This Unit should be assessed together with core Units and other Units of Competency relevant to the function or work role.

Guidance information for assessment

To ensure consistency of 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.

The range statement relates to the Unit of Competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Audit plan may include:

audit requirements and/or identification of relevant quality system documentation

provision of personnel for audit

confidentiality requirements

reporting procedures

time lines and schedules.

Seed testing techniques may include:

working sample preparation

purity tests

germination test

tetrazolium test

determination of other seed

seed identification

1000 seed weight test

moisture content test.

Laboratory documentation may include:

Standard Operating Procedures (SOP’s)

tolerance tables for analyst use

quality manual

quality policy manual

organisational chart

continuous improvement forms

customer complaint file

staff development and training records

seed reference collection

Archived documents may include:

ISTA Certificates

Analysis Certificates (non-ISTA)

audit reports

request forms

calibration records

equipment log books.