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Evidence Guide: MTMPS415A - Conduct an internal audit of a documented program

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

MTMPS415A - Conduct an internal audit of a documented program

What evidence can you provide to prove your understanding of each of the following citeria?

Plan the audit

  1. Audit schedule is interpreted and the timely conduct of internal audit is planned and organised.
  2. Objectives, scope and criteria of audit are determined according to workplace requirements.
  3. Audit team is assembled and briefed, as required, for the objectives, scope and criteria of the audit.
  4. Those affected by and involved in the audit are notified and responsibilities documented according to workplace requirements.
  5. Stakeholders involved in an internal audit are notified according to workplace requirements.
  6. Procedures, records and workplace documentation needed for the audit are identified.
  7. Evidence collection methods and sources to be used in the audit are documented, including workplace checklists developed to workplace specifications.
  8. A document review is conducted prior to audit.
Audit schedule is interpreted and the timely conduct of internal audit is planned and organised.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Objectives, scope and criteria of audit are determined according to workplace requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Audit team is assembled and briefed, as required, for the objectives, scope and criteria of the audit.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Those affected by and involved in the audit are notified and responsibilities documented according to workplace requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Stakeholders involved in an internal audit are notified according to workplace requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Procedures, records and workplace documentation needed for the audit are identified.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evidence collection methods and sources to be used in the audit are documented, including workplace checklists developed to workplace specifications.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

A document review is conducted prior to audit.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct the audit

  1. An entry meeting is conducted with relevant parties to explain the purpose, scope and criteria for the audit, the methods to be used in the audit, and how results will be reported and followed up.
  2. An audit of the program is conducted in accordance with workplace and regulatory requirements.
  3. Effective communication skills are used to conduct the audit
  4. Verifiable objective evidence is collected against the criteria of the audit.
  5. Findings are made using the objective evidence against the criteria of the audit.
  6. Non-conformances are identified and categorised according to workplace requirements
  7. Audit activity is recorded according to workplace requirements.
An entry meeting is conducted with relevant parties to explain the purpose, scope and criteria for the audit, the methods to be used in the audit, and how results will be reported and followed up.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

An audit of the program is conducted in accordance with workplace and regulatory requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Effective communication skills are used to conduct the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Verifiable objective evidence is collected against the criteria of the audit.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Findings are made using the objective evidence against the criteria of the audit.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Non-conformances are identified and categorised according to workplace requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Audit activity is recorded according to workplace requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report on audit findings

  1. An audit report is prepared, detailing areas of the program which were audited and findings against the audit criteria, including non-conformances, where applicable.
  2. Objective evidence is documented according to workplace standards.
  3. Records of audit process, objective evidence and findings are kept in accordance with workplace and regulatory requirements.
  4. Findings are reported according to workplace requirements.
An audit report is prepared, detailing areas of the program which were audited and findings against the audit criteria, including non-conformances, where applicable.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Objective evidence is documented according to workplace standards.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Records of audit process, objective evidence and findings are kept in accordance with workplace and regulatory requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Findings are reported according to workplace requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm and close out corrective action

  1. The effectiveness of corrective actions is verified.
  2. Records of the effectiveness of corrective actions are maintained.
The effectiveness of corrective actions is verified.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Records of the effectiveness of corrective actions are maintained.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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

The meat industry has specific and clear requirements for evidence. A minimum of three forms of evidence is required to demonstrate competency in the meat industry. This is specifically designed to provide evidence that covers the demonstration in the workplace of all aspects of competency over time.

These requirements are in addition to the requirements for valid, current, authentic and sufficient evidence.

Three forms of evidence means three different kinds of evidence - not three pieces of the same kind. In practice it will mean that most of the unit is covered twice. This increases the legitimacy of the evidence.

All assessment must be conducted against Australian meat industry standards and regulations.

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

Candidates must be able to plan, conduct and report and internal audit of a documented program.

Competency must be demonstrated in the workplace, utilising an approved audit plan and procedure from the workplace. Candidates must conduct an entire internal audit.

Context of and specific resources for assessment

Assessment must involve working with actual realistic data and in the context of an audit plan that meets regulatory requirements.

Method of assessment

Recommended methods of assessment include:

mock audit conducted in the workplace

debrief after participation in a real audit

quiz of underpinning knowledge

verified work log or diary

workplace demonstration

workplace referee or third-party report of performance over time.

Assessment practices should take into account any relevant language or cultural issues related to Aboriginality or Torres Strait Islander, gender, or language backgrounds other than English. Language and literacy demands of the assessment task should not be higher than those of the work role.

Guidance information for assessment

A current list of resources for this Unit of Competency is available from MINTRAC www.mintrac.com.au or telephone 1800 817 462.

Required Skills and Knowledge

Required skills

Ability to

locate relevant commonwealth, state and/or territory legislation, regulations and related codes of practice and determine the legal responsibilities of the business relevant to the industry sector

locate relevant codes or compliance program requirements

communicate the audit process, requirements and findings to relevant personnel clearly and accurately

apply planning skills to ensure the smooth conduct of the audit process

use negotiation skills to organise and facilitate audit processes, including following meeting procedures and resolving issues

identify and follow an audit trail

conduct research to identify, collect and analyse evidence

gather, analyse and record data accurately

plan and organise audit activities

use information systems, technologies and software to manage security, authorisation and distribution of audit data and records

interpret evidence and make a judgement on the level of compliance

prepare well-balanced, factual and objective written audit reports

Required knowledge

Knowledge of:

audit management to develop and implement an audit against an agreed plan, including an understanding of the scope/level of authority to revise the resource and allocate time allocations to take account of variation to plan

audit processes

legislation, regulations, orders, codes and standards applicable to the areas being audited

communication methods relevant to different groups and audience

evidence appropriate for use in audit processes, including an understanding of the difference between objective and hearsay evidence and methods for recording and managing evidence to provide reliable reference information in the event that evidence is challenged

evidence collection methods including record sampling and sample analysis, including an understanding of the evidence collection options relevant to a given audit situation, the reliability of each collection method and the range/extent of evidence collection methods required to ensure that audit outcomes are objective, consistent, fair and reliable

legislation that impacts on acceptable communication methods and conduct including anti-discrimination, anti-harassment and privacy legislation

methods used to identify Critical Control Points and establish critical limits, suited to the nature of the hazard, the requirements of the audit and the industry sector

personal attributes required of an auditor

strategies to communicate in culturally diverse environments

the internal auditing policies and procedures of the workplace

the structure, authority levels and lines of reporting within the organisation

the underlying principles of risk-based approaches to controlling food safety hazards including HACCP as described in the Codex Alimentarius Guidelines

vocabulary and terms relating to food safety, including terms and jargon to describe technical processes, industry standards and common biological and chemical terms

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.

workplace requirements may include

hygiene and sanitation requirements

internal and external OH&S requirements

industry standards and codes of practices

regulatory standards, including AS 4696:2007 Australian Standard for the Production and Transportation of Meat and Meat products for Human Consumption

state and federal legislation

the wearing of Personal Protective Equipment (PPE)

observation of workplace hygiene and sanitation requirements.

workplace documentation may include:

work instructions

Standard Operating Procedures (SOPs)

enterprise specific procedures

OH&S requirements

QA requirements

previous audit reports and corrective action records

vendor requirements

environmental requirements.

Evidence collection methods and sources may include:

observation

interviews

checklists

auditee documentation review

reports/data from other sources such as customer feedback, technical references, computerised databases

results of analyses

analytical results.

Audit evidence may include

system records

evidence collection records

statements of fact or other information relevant to the audit criteria and which is verifiable

observations

third party certification (e.g. HACCP accreditation)

records of audit stage progression.

Audit records may include:

audit plans

audit reports

non-conformity reports

corrective action reports

follow up reports

audit data base.