This unit applies to supervisors and managers engaged in the process of auditing site operations and covers determining the scope of the audit, specifying the audit requirements, defining the audit process, performing the audit, evaluating the audit findings and documenting an audit report.

ELEMENT

PERFORMANCE CRITERIA

1. Determine the scope of the audit

1.1. Objectives and scope of the audit is prepared.

1.2. Expectations of client or organisation are described.

1.3. Pattern of random or non random audit events is determined.

1.4. Individual and personal actions are identified for audit requirements.

1.5. Groups and processes are identified for audit for audit requirements.

1.6. List of audit items is prepared.

2. Specify the audit requirements

2.1. Precise parameters of acceptable conditions / results are identified and documented.

2.2. Relevant sections of Codes of Practice and specific clauses in Australian Standards are described.

2.3. Written guidelines are communicated to the audited group and individual staff members.

2.4. Detailed information is provided to audit groups in a durable format for working conditions.

3. Define the audit process

3.1. Responsibilities for audit implementation and evaluation are determined and assigned.

3.2. The timing and frequency of the audit events of audit events are determined.

3.3. Schedules and logistical arrangements are confirmed and contingency arrangements planned.

3.4. Expectations are confirmed with the audited group and individual staff members.

3.5. Audit process is documented and communicated.

4. Manage the audit implementation

4.1. Audit meeting is organised in advance at a mutually agreed time.

4.2. Activities of audited group and individual staff members are examined.

4.3. Items of compliance and non compliance are identified and recorded.

4.4. Appropriate persons are interviewed for detailed information, clarification and feedback.

4.5. Relevant information and sample documentation is gathered and recorded.

4.6. Contingency actions are taken as required and recorded.

5. Evaluate and document the audit findings into a report

5.1. Results and findings are examined against audit objectives and presented to the audited group or individual.

5.2. Agreement is sought and reached on corrective action reports.

5.3. Context and consequences of audit are explained and discussed during follow-up meetings.

5.4. Feedback on results is provided to client or organisation.

5.5. Document the final audit report and present to client or organisation.

Required skills

identify client or organisation expectations

determine the scope of items for audit

specify parameters of audit requirements

define the audit process

identify compliance and non compliance items

implement an audit

manage the implementation of audits

plan for and act on contingencies

evaluate audit findings

organise scheduling and meetings

use literacy skills to fulfil job roles as required by the organisation. The level of skill may range from reading and understanding documentation to completion of written reports

use oral communication skills/language competence to fulfil the job role as specified by the organisation including questioning, active listening, asking for clarification, negotiating solutions and responding to a range of views

use numeracy skills to estimate, calculate and record complex workplace measures

use interpersonal skills to work with others and relate to people from a range of cultural, social and religious backgrounds and with a range of physical and mental abilities.

Required knowledge

audit methodology and techniques

product and/or service knowledge

quality principles and techniques

interview techniques

workplace documentation and policies

logistics of operations of organisation

legal issues and terminology relating to quality auditing

award and enterprise agreements and relevant industrial instruments

relevant legislation and regulations from all levels of government

relevant codes of practice, regulations and standards, for example ISO 9000:2000: Quality Management Systems - Fundamentals and Vocabulary, ISO 19011:2003: Guidelines for Quality and/or Environmental Management Systems Auditing.

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

The evidence required to demonstrate competency in this unit must be relevant to workplace operations and satisfy holistically all of the requirements of the performance criteria and required skills and knowledge and include achievement of the following:

develop the scope and methodology for an audit

identify parameters of audit requirements

manage audit implementation

identify compliance and non compliance items

evaluate audit findings

provide feedback to staff, organisation and client

document and present the final audit report.

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.

The range statement relates to the unit of competency as a whole.

Audits may include:

the evaluation of :

a person

organisation

system

process

enterprise

project

product.

Sites may include:

project works

management or administration systems.

Unit sector

Work

This unit contains employability skills.