Application
This unit describes the skills required to undertake quality and performance audits of organisations and individuals operating under the scope of a licence for performing measuring activities.
This unit applies to those working as public officers appointed under legislation to complete quality management system and performance audits of organisations and individuals licensed under legislation to perform measurement activities.
The skills and knowledge described in this unit must be applied within the legislative, regulatory and policy environment in which they are carried out. Organisational policies and procedures must be consulted and adhered to.
Those undertaking this unit would work under supervision, while performing complex tasks in a familiar context.
No licensing, legislative or certification requirements apply to unit at the time of publication.
Elements and Performance Criteria
ELEMENTS | PERFORMANCE CRITERIA |
Elements describe the essential outcomes | Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the range of conditions section. |
1. Prepare for audit | 1.1 Establish audit scope. 1.2 Identify and access activity specialists to support audit as required. 1.3 Access and review licensee history. 1.4 Access and interpret information and legislation appropriate to the audit. 1.5 Make arrangements which outline the scope and process of the audit with the licensee. 1.6 Identify and access necessary test equipment, documentation and audit report forms. 1.7 Ensure test equipment is fit for purpose. 1.8 Plan activities to meet audit objectives and minimise disruption to business operations. |
2. Conduct a quality audit | 2.1 Confirm audit scope and process with appropriate personnel. 2.2 Collect and evaluate relevant objective evidence using audit methods and techniques. 2.3 Review documentation and procedures relating to the licence and associated activities for compliance. 2.4 Identify and report patterns, trends and areas of risk. 2.5 Ensure audit is within the boundaries of legislated powers, whilst maintaining respect for the licensee and their rights. |
3. Conduct a performance audit | 3.1 Identify the scope of the activity being audited and the expected outcomes. 3.2 Identify local workplace, health and safety issues and implement control strategies. 3.3 Evaluate the adequacy of the training and assessment process used by the licensee to determine the competency of the authorised person(s) completing the licensed activity. 3.4 Assess the suitability of the equipment, documentation and environs used for the licensed activity. 3.5 Review completed documentation relating to the licensed activity for compliance. 3.6 Use questioning to establish the methodology used by the authorised person(s) in completing the licensed activity. |
4. Analyse and report audit results | 4.1 Examine information, test results and observations against audit objectives and prescribed performance criteria. 4.2 Analyse audit data for isolated and systemic quality and performance issues. 4.3 Identify and report areas of non-compliance including any required corrective action and include any general recommendations for improvement. 4.4 Communicate inspection results to the appropriate personnel. |
5. Act on non-compliance | 5.1 Select remedial or enforcement action for the non-compliance. 5.2 Inform licensee of non-compliance and consequences of failing to have it corrected. 5.3 Implement enforcement action. |
Evidence of Performance
Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified, the candidate must demonstrate evidence of performance of the following on at least one occasion.
reading, analysing and interpreting:
complex and formal documents
technical data and test results
regulatory requirements
organisational policies and procedures
communicating the outcome of the audit and recommended corrective action
scheduling and organising audits to allow for licensee’s operational requirements and to maximise effective use of auditor’s time and travel needs
ensuring corrective actions are completed
identifying, and applying legislation, test procedures, policies and procedures
preparing for audit
identifying, analysing and mitigating risks within the audit environment
gathering objective data and information by a variety of methods
analysing information gathered to identify compliance issues
identifying and acting on non-compliance
maintaining the security and confidentiality of data
reporting results in the required formats and within expected timeframe
recording the results of audits and maintaining records
carrying out appropriate follow-up actions
Evidence of Knowledge
Evidence required to demonstrate competence must satisfy all of the requirements of the elements and performance criteria. If not otherwise specified the depth of knowledge demonstrated must be appropriate to the job context of the candidate.
auditing systems
risk management principles
hazards that may exist when conducting an audit and ways of controlling risks involved
national measurement legislation
powers of inspectors
use of audit/assessment tools
industry practices and procedures relating to measurement processes and verification of measuring instruments
organisational reporting procedures relating to audits
legal issues and terminology relating to audits
audit methods and techniques
codes of practice, regulations and standards
product and service knowledge relating to measurement process and verification of measuring instruments
quality principles and techniques relating to measurement process and verification of measuring instruments
current audit practices
Assessment Conditions
This unit contains no specific industry-mandated assessment conditions. Guidance on suggested and recommended conditions and methods can be found in the Implementation Guide.
Assessors must satisfy the NVR/AQTF mandatory competency requirements for assessors.
Foundation Skills
Foundation skills are embedded within the elements and performance criteria of this unit.
Competency Field
Regulatory