SIFGLC003A
Conduct internal quality audits

This unit describes the performance outcomes, skills and knowledge required to internally audit and report on a workplace's compliance with relevant quality standards documentation.

Application

This unit applies to a range of roles within the funeral services industry.


Prerequisites

Nil


Elements and Performance Criteria

ELEMENT

PERFORMANCE CRITERIA

1

Prepare for internal audit.

1.1

Identify procedures to be audited.

1.2

Establish benchmarks for the quality audit and liaise with support personnel.

1.3

Access required documents and sources of information.

1.4

Plan audit according to workplace policies and procedures.

1.5

Adjust audit frequency in response to workplace changes or client feedback.

1.6

Contact appropriate staff and organise appointments for audit.

2

Conduct audit and document findings.

2.1

Identify and confirm methods for conduct of audit.

2.2

Conduct observations and interviews according to workplace policies and procedures.

2.3

Complete relevant audit documentation requirements according to workplace policies and procedures.

3

Report audit results.

3.1

Consult relevant personnel about audit results.

3.2

Document compliance results in audit reports.

3.3

Complete non-compliance reports according to workplace policies and procedures.

3.4

Identify and document system variances and make suggestions for improvements.

3.5

Forward reports to appropriate personnel for action.

4

Respond to audit report.

4.1

Note employee responses to audit reports and identify issues for response.

4.2

Identify corrective actions arising from audit and refer to appropriate staff.

4.3

Implement changes to operational processes as part of continuous improvement system.

4.4

Follow-up and check results of changes to operational processes.

Required Skills

Required skills

communication skills, including clear and direct communication and active listening and questioning skills to conduct audit interviews and share information on audit outcomes

literacy and numeracy skills to access and use relevant sources of information, document audit results and use computers

self-management and organisational skills to identify processes, and plan and conduct audit

problem-solving skills to identify and implement continuous improvement to operational processes and modify activities dependant on differing workplace contexts and environment.

Required knowledge

quality improvement procedures

quality audit processes

relevant workplace policies and procedures, including procedures for identification of non-compliance and best practice.

Evidence Required

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.

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

Evidence of the following is essential:

identification of audit requirements and selection of appropriate methods relevant to the to the quality system and any regulatory requirements

use of communication techniques to encourage appropriate participation of relevant staff and personnel in the audit processes

accurate documentation of reports and other records of audit according to workplace policies and procedures and the requirements of the specific quality system

project or work activities to conduct internal quality audits on multiple occasions and over a period of time to ensure the monitoring aspects of an audit can be completed, to ensure consistency of performance and ability to respond to and evaluate different situations.

Context of and specific resources for assessment

Assessment must ensure:

access to appropriate computers, communication technology and software programs to conduct quality audits

consultation with staff

access to relevant documentation, such as internal quality standards and workplace procedures.

Methods of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:

observation of candidate identifying procedures and benchmarks for audit, accessing required documents and sources of information for audit, conducting audit, and preparing and writing audit reports

written or verbal questioning to assess knowledge and understanding of relevant workplace policies and procedures with regard to conducting internal quality audits in the funeral services industry

review of portfolios of evidence and third-party workplace reports of on-the-job performance by the candidate.

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:

TDTJ197B Apply quality procedures.

Employability skills embedded in this unit should be assessed holistically with other relevant units that make up the skill set or qualification and in the context of the job role.


Range Statement

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.

Procedures to be audited may include:

OHS in terms of duties of employers, employees, suppliers and contractors

standards and certification requirements

maintenance

finance

record keeping

emergency procedures, including fire and accident procedures.

Support personnel may include:

technical staff

external consultants.

Documents and sources of information may include:

quality or enterprise work specifications and procedures

manufacturer specifications and supplier handling and storage advice

workplace operating procedures and policies

supplier or client instructions

material safety data sheets (MSDS)

communications technology equipment

verbal, aural or signed communications

personal and work area work procedures and practices

conditions of service, legislation and industrial agreements, including:

workplace agreements and awards

OHS procedures

applicable federal, state and territory legislative framework concerning:

OHS in terms of duties of employers, employees, suppliers and contractors

workplace relations

workers' compensation

hazardous substances and dangerous goods

environment protection

anti-discrimination, equal employment opportunity (EEO) and affirmative action

standards and certification requirements

licence, patent or copyright arrangements

quality assurance procedures

emergency procedures, including fire and accident procedures.

Workplace policies and procedures may include:

timing of audits

agreed intervals between audits

timeframes

procedures for identifying non-compliance and best practice.

Workplace changes may include:

increased accidents or incidents

insurance requirements.

Appropriate staff may include:

supervisors

other employees.

Methods may include:

techniques to encourage participation by employees, clients and suppliers

use of approved third party

allocation and delegation of tasks

information gathering techniques.

Non-compliance reports may include:

location of non-compliance

relevant standard or activity that does not comply

evidence and supporting information.

Corrective actions may include:

improved procedures

improved practices.


Sectors

Sector

Funeral Services


Competency Field

Governance and Legal Compliance


Employability Skills

This unit contains employability skills.


Licensing Information

Not applicable.