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Evidence Guide: PSPREG024 - Conduct measurement licensee audit

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

 

PSPREG024 - Conduct measurement licensee audit

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

Prepare for audit

  1. Establish audit scope.
  2. Identify and access activity specialists to support audit as required.
  3. Access and review licensee history.
  4. Access and interpret information and legislation appropriate to the audit.
  5. Make arrangements which outline the scope and process of the audit with the licensee.
  6. Identify and access necessary test equipment, documentation and audit report forms.
  7. Ensure test equipment is fit for purpose.
  8. Plan activities to meet audit objectives and minimise disruption to business operations.
Establish audit scope.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and access activity specialists to support audit as required.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access and review licensee history.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access and interpret information and legislation appropriate to the audit.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Make arrangements which outline the scope and process of the audit with the licensee.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and access necessary test equipment, documentation and audit report forms.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure test equipment is fit for purpose.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan activities to meet audit objectives and minimise disruption to business operations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct a quality audit

  1. Confirm audit scope and process with appropriate personnel.
  2. Collect and evaluate relevant objective evidence using audit methods and techniques.
  3. Review documentation and procedures relating to the licence and associated activities for compliance.
  4. Identify and report patterns, trends and areas of risk.
  5. Ensure audit is within the boundaries of legislated powers, whilst maintaining respect for the licensee and their rights.
Confirm audit scope and process with appropriate personnel.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collect and evaluate relevant objective evidence using audit methods and techniques.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review documentation and procedures relating to the licence and associated activities for compliance.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and report patterns, trends and areas of risk.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure audit is within the boundaries of legislated powers, whilst maintaining respect for the licensee and their rights.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct a performance audit

  1. Identify the scope of the activity being audited and the expected outcomes.
  2. Identify local workplace, health and safety issues and implement control strategies.
  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.
  4. Assess the suitability of the equipment, documentation and environs used for the licensed activity.
  5. Review completed documentation relating to the licensed activity for compliance.
  6. Use questioning to establish the methodology used by the authorised person(s) in completing the licensed activity.
Identify the scope of the activity being audited and the expected outcomes.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify local workplace, health and safety issues and implement control strategies.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess the suitability of the equipment, documentation and environs used for the licensed activity.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review completed documentation relating to the licensed activity for compliance.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use questioning to establish the methodology used by the authorised person(s) in completing the licensed activity.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse and report audit results

  1. Examine information, test results and observations against audit objectives and prescribed performance criteria.
  2. Analyse audit data for isolated and systemic quality and performance issues.
  3. Identify and report areas of non-compliance including any required corrective action and include any general recommendations for improvement.
  4. Communicate inspection results to the appropriate personnel.
Examine information, test results and observations against audit objectives and prescribed performance criteria.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse audit data for isolated and systemic quality and performance issues.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and report areas of non-compliance including any required corrective action and include any general recommendations for improvement.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate inspection results to the appropriate personnel.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Act on non-compliance

  1. Select remedial or enforcement action for the non-compliance.
  2. Inform licensee of non-compliance and consequences of failing to have it corrected.
  3. Implement enforcement action.
Select remedial or enforcement action for the non-compliance.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Inform licensee of non-compliance and consequences of failing to have it corrected.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement enforcement action.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare for audit

  1. Establish audit scope.
  2. Identify and access activity specialists to support audit as required.
  3. Access and review licensee history.
  4. Access and interpret information and legislation appropriate to the audit.
  5. Make arrangements which outline the scope and process of the audit with the licensee.
  6. Identify and access necessary test equipment, documentation and audit report forms.
  7. Ensure test equipment is fit for purpose.
  8. Plan activities to meet audit objectives and minimise disruption to business operations.
Establish audit scope.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and access activity specialists to support audit as required.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access and review licensee history.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access and interpret information and legislation appropriate to the audit.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Make arrangements which outline the scope and process of the audit with the licensee.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and access necessary test equipment, documentation and audit report forms.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure test equipment is fit for purpose.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Plan activities to meet audit objectives and minimise disruption to business operations.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct a quality audit

  1. Confirm audit scope and process with appropriate personnel.
  2. Collect and evaluate relevant objective evidence using audit methods and techniques.
  3. Review documentation and procedures relating to the licence and associated activities for compliance.
  4. Identify and report patterns, trends and areas of risk.
  5. Ensure audit is within the boundaries of legislated powers, whilst maintaining respect for the licensee and their rights.
Confirm audit scope and process with appropriate personnel.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collect and evaluate relevant objective evidence using audit methods and techniques.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review documentation and procedures relating to the licence and associated activities for compliance.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and report patterns, trends and areas of risk.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure audit is within the boundaries of legislated powers, whilst maintaining respect for the licensee and their rights.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct a performance audit

  1. Identify the scope of the activity being audited and the expected outcomes.
  2. Identify local workplace, health and safety issues and implement control strategies.
  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.
  4. Assess the suitability of the equipment, documentation and environs used for the licensed activity.
  5. Review completed documentation relating to the licensed activity for compliance.
  6. Use questioning to establish the methodology used by the authorised person(s) in completing the licensed activity.
Identify the scope of the activity being audited and the expected outcomes.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify local workplace, health and safety issues and implement control strategies.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess the suitability of the equipment, documentation and environs used for the licensed activity.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review completed documentation relating to the licensed activity for compliance.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Use questioning to establish the methodology used by the authorised person(s) in completing the licensed activity.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse and report audit results

  1. Examine information, test results and observations against audit objectives and prescribed performance criteria.
  2. Analyse audit data for isolated and systemic quality and performance issues.
  3. Identify and report areas of non-compliance including any required corrective action and include any general recommendations for improvement.
  4. Communicate inspection results to the appropriate personnel.
Examine information, test results and observations against audit objectives and prescribed performance criteria.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse audit data for isolated and systemic quality and performance issues.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and report areas of non-compliance including any required corrective action and include any general recommendations for improvement.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate inspection results to the appropriate personnel.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Act on non-compliance

  1. Select remedial or enforcement action for the non-compliance.
  2. Inform licensee of non-compliance and consequences of failing to have it corrected.
  3. Implement enforcement action.
Select remedial or enforcement action for the non-compliance.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Inform licensee of non-compliance and consequences of failing to have it corrected.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Implement enforcement action.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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.

Required Skills and Knowledge

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 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 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