Unit of competency Outline
Date retreived
23/07/2026 12:11 AM AWST
23/07/2026 12:11 AM AWST
Whilst all efforts are made to provide accurate and timely information from the relevant source/documentation, please be aware that the information supplied may not be the most current version. The accuracy of the detail has not been confirmed by the Department and therefore should not be relied upon without first confirming the contents.
Manage internal audits
Manage internal audits
Unit of competency
National Code
FDFPPL4008A
FDFPPL4008A
State Code
D4673
D4673
TGA Status
Replaced
Replaced
DTWD Status
Replaced
Replaced
State Implementation and Classification
Approved Date
04/08/2014
Field of Education
080317 - Quality Management
Original Release Date
04/08/2014
Nominal Hours
45
Description
This unit of competency covers the skills and knowledge required to support the management of internal audit processes across a range of programs, including but not limited to occupational health and safety (OHS), quality and environmental management.
Notes
Elements and Performance Criteria
1. Plan an audit
- 1.1. The purpose and scope of the audit is negotiated and agreed
- 1.2. Information and resources required to conduct the audit are identified and secured
- 1.3. An audit schedule is developed and negotiated to meet audit scope and timelines
2. Prepare for an audit
- 2.1. Audit information sample and collection tools are determined
- 2.2. Roles, responsibilities and authority levels of the audit team are identified and communicated to audit team members as appropriate
- 2.3. Affected work areas/personnel are informed of schedule and advised of their role in the process
3. Monitor the audit process
- 3.1. Information collected is adequate, representative and meets audit requirements
- 3.2. Information is analysed to assess adequacy of performance against program objectives
- 3.3. Records are reviewed to confirm compliance with the program
- 3.4. Compliance with the program is observed in the workplace
- 3.5. Areas requiring corrective action are identified
- 3.6. Obstacles to achieving audit within agreed timelines are identified and addressed
4. Report and follow up audit outcomes
- 4.1. Situations presenting an imminent and serious risk to the program objectives are identified and reported immediately in accordance with reporting requirements
- 4.2. Audit reports are prepared to address audit scope requirements
- 4.3. The results of the audit are communicated to appropriate personnel according to audit purpose and requirements
- 4.4. A corrective action plan is developed and negotiated within level of responsibility
- 4.5. Implementation of corrective action as set out in the corrective action plan is monitored and confirmed
- 4.6. Where corrective action does not meet the corrective action plan requirements, follow up action is taken/reported according to level of responsibility and audit purpose
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.
Audits
Audits may be
conducted against workplace programs and/or legislative requirements
undertaken for advisory or regulatory purposes and may be led by internal or external auditors
conducted by individuals or involve an audit team
Corrective action plan
A corrective action plan identifies:
non-conformance
corrective actions
date by which action must be taken
any other follow up requirements
Depending on the nature and scope of an audit, the auditor may not be responsible for identifying appropriate corrective action. However, it is a requirement that they have the technical knowledge to do so or involve a technical expert
Communication skills and techniques
Appropriate communication skills and techniques must take account of English language, literacy and technical skill base of workplace personnel
Information collection
Information collection typically includes:
reviewing workplace records
conducting interviews
observing workplace practice
collecting other relevant information as required
Procedures and techniques
Detailed procedures and techniques for conducting audits are currently defined by ISO 10011 (this standard is under review)
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.
Audits
Audits may be
conducted against workplace programs and/or legislative requirements
undertaken for advisory or regulatory purposes and may be led by internal or external auditors
conducted by individuals or involve an audit team
Corrective action plan
A corrective action plan identifies:
non-conformance
corrective actions
date by which action must be taken
any other follow up requirements
Depending on the nature and scope of an audit, the auditor may not be responsible for identifying appropriate corrective action. However, it is a requirement that they have the technical knowledge to do so or involve a technical expert
Communication skills and techniques
Appropriate communication skills and techniques must take account of English language, literacy and technical skill base of workplace personnel
Information collection
Information collection typically includes:
reviewing workplace records
conducting interviews
observing workplace practice
collecting other relevant information as required
Procedures and techniques
Detailed procedures and techniques for conducting audits are currently defined by ISO 10011 (this standard is under review)
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
Assessment must be carried out in a manner that recognises the cultural and literacy requirements of the assessee and is appropriate to the work performed. Competence in this unit must be achieved in accordance with food safety standards and regulations.
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of ability to:
determine scope of and purpose of audit
schedule audit and make required arrangements
establish information collection parameters
select information collection techniques
collect and analyse information
ensure compliance
develop and communicate required corrective action plan
complete workplace records as required
apply safe work practices and identify OHS hazards and controls.
Context of and specific resources for assessment
Assessment must occur in a real or simulated workplace where the assessee has access to:
workplace program and related documentation
relevant legislation
audit procedures and standards, including any external standards relevant to the audit, such as ISO standards
advice on related technical industry standards and codes of practice
information systems and data collection technology
reporting formats/requirements
workplace/personnel access as required to collect data/observe compliance.
Method of assessment
This unit should be assessed together with core units and other units of competency relevant to the function or work role. In addition, the following optional units may be relevant:
FDFOP2015A Apply principles of statistical process control
FDFPPL3004A Lead work teams and groups
FDFPPL5001A Design and maintain programs to support legal compliance
BSBRES4001A Analyse and present research information.
For information on how to assess this unit of competency and who can assess, refer to the Assessment Guidelines for this Training Package. For some types of audits, auditors are required to comply with assessment arrangements specified by relevant regulatory bodies. Where this is the case, these separate assessment requirements must also be met.
Guidance information for assessment
To ensure consistency in one's performance, competency should be demonstrated on more than one occasion over a period of time in order to cover a variety of circumstances, cases and responsibilities, and where possible, over a number of assessment activities.
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
Assessment must be carried out in a manner that recognises the cultural and literacy requirements of the assessee and is appropriate to the work performed. Competence in this unit must be achieved in accordance with food safety standards and regulations.
Critical aspects for assessment and evidence required to demonstrate competency in this unit
Evidence of ability to:
determine scope of and purpose of audit
schedule audit and make required arrangements
establish information collection parameters
select information collection techniques
collect and analyse information
ensure compliance
develop and communicate required corrective action plan
complete workplace records as required
apply safe work practices and identify OHS hazards and controls.
Context of and specific resources for assessment
Assessment must occur in a real or simulated workplace where the assessee has access to:
workplace program and related documentation
relevant legislation
audit procedures and standards, including any external standards relevant to the audit, such as ISO standards
advice on related technical industry standards and codes of practice
information systems and data collection technology
reporting formats/requirements
workplace/personnel access as required to collect data/observe compliance.
Method of assessment
This unit should be assessed together with core units and other units of competency relevant to the function or work role. In addition, the following optional units may be relevant:
FDFOP2015A Apply principles of statistical process control
FDFPPL3004A Lead work teams and groups
FDFPPL5001A Design and maintain programs to support legal compliance
BSBRES4001A Analyse and present research information.
For information on how to assess this unit of competency and who can assess, refer to the Assessment Guidelines for this Training Package. For some types of audits, auditors are required to comply with assessment arrangements specified by relevant regulatory bodies. Where this is the case, these separate assessment requirements must also be met.
Guidance information for assessment
To ensure consistency in one's performance, competency should be demonstrated on more than one occasion over a period of time in order to cover a variety of circumstances, cases and responsibilities, and where possible, over a number of assessment activities.
Replaces
| State Code | National Code | Title | Type |
|---|---|---|---|
| S6304 | FDFIMMA4A | Manage internal audits | Unit of competency |
| W1214 | FDFIMMIA4A | Manage Internal Audits | Unit of competency |
Replaced By
| State Code | National Code | Title | Type |
|---|---|---|---|
| OAN12 | FBPPPL4007 | Manage internal audits | Unit of competency |
| State Code | National Code | Title | Type |
|---|---|---|---|
| S774 | FDF40210 | Certificate IV in Pharmaceutical Manufacturing | Qualification |