ELEMENT

PERFORMANCE CRITERIA

1. Plan, organise and undertake audit

1.1 The resources required to conduct the audit are identified and obtained.

1.2 The relevant parties are consulted and informed of audit plans in accordance with the organisation's policy and procedures.

1.3 The environment is assessed for personal safety.

1.4 The environment is assessed to ensure that it permits the audit to be fair, valid and reliable.

1.5 The audit arrangements and requirements are explained to the persons involved in the audit and to the relevant parties, and their understanding of the purpose and processes is confirmed.

1.6 Documents are sighted and all other evidence specified in the audit procedure is gathered in accordance with the organisation's policy and procedures and confidentiality is maintained.

2. Evaluate audit results

2.1 Evidence gathered is evaluated for reliability, validity, authenticity, sufficiency, currency, and consistency in the achievement of the specific standards.

2.2 The assessment decision is made in accordance with the purpose and objectives of the audit.

2.3 Guidance is sought if in doubt, from a more experienced auditor/s.

3. Record audit results

3.1 The audit results are recorded and processed in accordance with organisational auditing procedures.

3.2 Access to the audit records is provided only to authorised personnel

3.3 Confidentiality of the audit outcome is maintained.

4. Provide advice on audit results

4.1 Audit results are discussed and confirmed with the persons involved in the audit.

4.2 Feedback including advice on corrective action/s required is given to persons involved in the audit.

4.3 Any audit decision that may be disputed is reported in accordance with the organisation's policy and procedures.

This section describes the essential skills and knowledge and their level, required for this unit.

Skill requirements

Look for evidence that confirms skills in:

applying risk management principles

working with a variety of professionals

paying attention to detail

implementing methodical and systematic approach

using recording, testing and specialised evidence collection equipment

auditing systems

justifying/explaining the assessment decision and recommended corrective action

using communication involving complex exchanges of oral information, reading and analysing complex and formal documents

responding to diversity, including disability and gender

Knowledge requirements

Look for evidence that confirms knowledge and understanding of:

risk management principles

legislation, codes, standards

management systems

powers of inspector, jurisdiction

use of audit/assessment tools

industry practices and procedures

quality management principles

organisational auditing procedures

management system principles

The Evidence Guide specifies the evidence required to demonstrate achievement in the unit of competency as a whole. It must be read in conjunction with the Unit descriptor, Performance Criteria, the Range Statement and the Assessment Guidelines for the Public Sector Training Package.

Units to be assessed together

Pre-requisite units that must be achieved prior to this unit:Nil

Co-requisite units that must be assessed with this unit:Nil

Co-assessed units that may be assessed with this unit to increase the efficiency and realism of the assessment process include, but are not limited to:

PSPETHC601B Maintain and enhance confidence in public service

PSPGOV601B Apply government systems

PSPLEGN601B Manage compliance with legislation in the public sector

PSPMNGT602B Manage resources

PSPMNGT608B Manage risk

PSPMNGT611A Manage evaluations

Overview of evidence requirements

In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms:

the knowledge requirements of this unit

the skill requirements of this unit

application of the Employability Skills as they relate to this unit (see Employability Summaries in Qualifications Framework)

management systems audited in a range of (3 or more) contexts (or occasions, over time)

Resources required to carry out assessment

These resources include:

legislation, policy, procedures and protocols relating to workplace legislative compliance

case studies and workplace scenarios to capture the range of situations likely to be encountered when auditing management systems

Where and how to assess evidence

Valid assessment of this unit requires:

a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when auditing management systems, including coping with difficulties, irregularities and breakdowns in routine

management systems audited in a range of (3 or more) contexts (or occasions, over time)

Assessment methods should reflect workplace demands, such as literacy, and the needs of particular groups, such as:

people with disabilities

people from culturally and linguistically diverse backgrounds

Aboriginal and Torres Strait Islander people

women

young people

older people

people in rural and remote locations

Assessment methods suitable for valid and reliable assessment of this competency may include, but are not limited to, a combination of 2 or more of:

case studies

demonstration

observation

portfolios

questioning

scenarios

authenticated evidence from the workplace and/or training courses

For consistency of assessment

Evidence must be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and apply the competency in different situations or environments

The Range Statement provides information about the context in which the unit of competency is carried out. The variables cater for differences between States and Territories and the Commonwealth, and between organisations and workplaces. They allow for different work requirements, work practices and knowledge. The Range Statement also provides a focus for assessment. It relates to the unit as a whole. Text in bold italics in the Performance Criteria is explained here.

Resources required to conduct the audit may include:

financial, such as:

budget allocations

travelling/subsistence allowances

motor vehicle hire

physical, such as:

motor vehicles

measuring equipment

photographic equipment

computer equipment

office location

personal protective equipment

telephone equipment

stationery

documentation (e.g. standards)

electronic recording equipment

office communication equipment

Audits may be conducted by:

an auditor working on his/her own

a team comprising subject technical knowledge expert/s and a lead auditor

an auditor working in conjunction with an experienced auditor, trainer and/or supervisor

Audit may include:

assessment

examination/test

structured inspection of workplaces to validate management systems

national/state or other relevant assessment instruments

results of internal and external monitoring

Relevant parties may include:

the auditors

key members/representatives of the organisation being audited

nominated contact person/s

managers concerned with the unit/section being audited

audit manager

audit team leader

audit team members

project manager

employer association

employee association

community groups

industrial commission

insurance companies

employer

employee

principal contractor

Audit plan may address:

the scope, purpose and objectives of the audit

competency of auditor/s

recordkeeping and processing arrangements

evaluation and review mechanisms

quality assurance methods

legislation

codes of practice

standards

guidance materials

benchmarks

Documents may include:

electronic databases

videos

intra/internet sites

training/learning programs

photographs

written information

Audit procedure may specify:

recording procedure

audit methods used

evidence required

location

timing of audit

Evidence may include:

documented instruction relating to the performance of tasks

sets of oral/written/computer-based questions

checklists

logbooks

working guides

manuals

technical reports

standard operating procedures/work method statements

policies and procedures

employer/employee records

contractor records

third party records

use of technology

outcome of interviews

outcome of focus groups

Assessment methods may include:

direct observation of performance

practical tasks

written/oral/computer-based questioning

consideration of third party reports

consideration of authenticated prior achievements

use of measuring and testing equipment

combination of methods

statistical data relating to safety and health injury/disease and/or workplace relations