Elements and Performance Criteria

Range description
Audits may be conducted against workplace programs and/or legislative requirements
Audits may be undertaken for advisory or regulatory purposes and may be led by internal or external auditors
Information collection methods include interviews, observance, review of workplace records and accessing relevant technical information
A corrective action plan identifies non-conformance, corrective actions, date by which action must be taken and any other follow up requirements

Ability to:
Identify personal roles and responsibilities for participating in the audit process
Identify audit purpose, scope, steps and timelines
Identify and locate information required to conduct the audit
Review workplace documentation to confirm that required information is available
Prepare tools as required to collect information. These typically include checklists and interview schedules
Identify any changes that have occurred in the workplace since initiating the program or since the last program audit that could affect program outcomes
Apply appropriate questioning, observation and related communication skills to support information collection
Review records, conduct interviews, observe workplace practice and collect other relevant information as required to assess compliance with program requirements
Take immediate action to report non-conformities that present an imminent and serious risk to the program objectives within level of responsibility
Identify, investigate and record evidence of non-conformance and judge significance
Assess the adequacy of the program by analysing the information collected against the program objectives
Form conclusions on audit outcomes based on an objective assessment of evidence collected
Report the findings of the audit in appropriate format
Communicate audit outcomes within level of responsibility using techniques and presentation styles appropriate to the audience
Where findings indicate either a failure to comply with the program or inadequacy of the program, participate in investigation of causes of failure and identification of corrective action options

Knowledge of:
The purpose and intent of the program being audited
Personal roles and responsibilities in the audit process and related responsibilities of other members of the audit team
The purpose and stages involved in the audit process
Workplace information and related information management systems
Techniques for collecting information. This includes awareness of options, relevance and strengths and weaknesses of each method to ensure data is adequate and representative
Data analysis methods relevant to the audit process
Communication skills and techniques appropriate to the workplace
Technical knowledge relevant to the program being audited in order to verify compliance and assess adequacy of existing control measures. This includes awareness of relevant industry standards
Purpose and responsibilities for maintaining records

Relationship with other standards

The pre-requisite/s for this unit are the relevant program-related unit/s. These may include:

FDFCORFSY2A Implement the food safety program and procedures
FDFCORHS2A Implement occupational health and safety systems and procedures
FDFCORQAS2A Implement quality systems and procedures
FDFOPTENV2A Implement environmental policies and procedures

This unit should be assessed together with core units and other units of competence relevant to the function or work role. In addition, the following optional unit may be relevant:

BSBCMN405A Analyse and present research information

Resources required for assessment

Assessment must occur in a real or simulated workplace where the assessee has access to:

Workplace program documentation
Audit procedures and standards as applied in the workplace
Advice on related legislation, 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

Assessment requirements
For information on how to assess this competency standard and who can assess, refer to the Assessment Guidelines for this Training Package.

Communicating ideas and information
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Collecting analysing and organising information
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Planning and organising activities
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Working with others and in teams
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Using mathematical ideas and techniques
(0)

Solving problems
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Using technology
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