Unit of competency details
FWPCOT4224 - Conduct internal audit of chain of custody certification for forest and wood products (Release 1)
Summary
Usage recommendation:
Current
Releases:
| 1 1 (this release) |
25/Jan/2023 |
Companion volumes:
Unit of competency
Assessment requirements
Training packages that include this unit
Qualifications that include this unit
Classifications
Classification history
| ASCED Module/Unit of Competency Field of Education Identifier | 080317 | Quality Management | 30/Mar/2023 | |
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Unit of competency
Modification History
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Release
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Comments
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Release 1
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This version released with FWP Forest and Wood Products Training Package Version 8.0.
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Application
This unit of competency describes the skills and knowledge required to plan and implement an internal audit of chain of custody certification in a forest or wood products business.
The unit applies to quality assurance personnel, managers and other personnel who are responsible for scheduling, preparing for and conducting internal audits of chain of custody certification in forest and wood product procurement, processing, sales and distribution operations.
All work must be carried out to comply with workplace procedures, according to state/territory health and safety regulations, legislation and standards that apply to the workplace.
No licensing, legislative or certification requirements apply to this unit at the time of publication. Individuals must comply with any qualification requirements for internal auditors set by the relevant chain of custody certification body.
Pre-requisite Unit
Nil
Unit Sector
Common Technical (COT)
Elements and Performance Criteria
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Elements
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Performance Criteria
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Elements describe the essential outcomes.
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Performance criteria describe the performance needed to demonstrate achievement of the element.
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1. Plan internal audit of chain of custody certification
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1.1 Identify all requirements to be included in internal audit according to workplace and certification body policies and procedures
1.2 Confirm legislation, standards and codes of practice relevant to chain of custody operations
1.3 Prepare audit schedule to ensure that all requirements are audited at a frequency commensurate with risk
1.4 Confirm objectives, scope and criteria of audit according to chain of custody certification scheme and workplace requirements
1.5 Inform audit team of objectives, scope and criteria of audit and importance of ethical behaviour, as required
1.6 Identify procedures, records and documentation required for internal audit
1.7 Confirm all sites, business units and personnel that will be included in audit scope, including contractors and organisations performing outsourced functions, if required
1.8 Develop checklists and document evidence collection methods and sources to be used during audit according to chain of custody certification scheme and workplace requirements
1.9 Review documents prior to conduct of internal audit
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2. Conduct internal audit of chain of custody certification
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2.1 Inform relevant parties of purpose, scope and criteria for audit, audit methods, and procedures for reporting and following up results
2.2 Conduct audit in accordance with chain of custody certification scheme and workplace requirements
2.3 Use effective communication and negotiation skills when interacting with others while conducting the audit
2.4 Collect verifiable objective evidence against audit criteria
2.5 Make findings using objective evidence against audit criteria
2.6 Identify and categorise non-conformances according to chain of custody certification scheme and workplace requirements
2.7 Record audit activities
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3. Report outcomes of internal audit of chain of custody certification
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3.1 Document objective evidence according to chain of custody certification scheme and workplace requirements
3.2 Prepare audit report detailing areas audited, audit findings and non-conformances where applicable
3.3 Maintain records of audit process, objective evidence and findings
3.4 Report audit findings according to chain of custody certification scheme and workplace requirements
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4. Confirm implementation of corrective action
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4.1 Verify the implementation and effectiveness of recommended corrective actions
4.2 Maintain records of effectiveness of corrective actions
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Foundation Skills
This section describes those language, literacy, numeracy and employment skills that are essential for performance in this unit of competency but are not explicit in the performance criteria.
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Skill
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Description
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Reading
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- Interpret and analyse workplace documents used in internal audit of chain of custody certification
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Writing
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- Compile written notes and prepare reports used in internal audit process
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Oral communication
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- Ask questions using appropriate language to clarify workplace processes and obtain information relevant to audit
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Numeracy
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- Interpret graphical and statistical information in workplace records relevant to internal audit procedures for chain of custody certification
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Unit Mapping Information
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Code and title current version
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Code and title previous version
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Comments
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Equivalence status
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FWPCOT4224 Conduct internal audit of chain of custody certification for forest and wood products
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Not applicable
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The unit has been created to address a skill or task required by industry that is not covered by an existing unit
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Newly created
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Links
Companion Volumes, including Implementation Guides, are available at VETNet: - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=0d96fe23-5747-4c01-9d6f-3509ff8d3d47
Assessment requirements
Modification History
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Release
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Comments
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Release 1
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This version released with FWP Forest and Wood Products Training Package Version 8.0.
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Performance Evidence
An individual demonstrating competency must satisfy all of the elements and performance criteria in this unit.
There must be evidence that the individual has conducted one internal audit of chain of custody certification in either a forest and wood processing, sales or distribution business.
In performing this task, the individual has:
- sourced standards and internal audit requirements for the relevant chain of custody certification scheme
- complied with legislation, standards and codes of practice relevant to chain of custody operations
- communicated the internal audit process, requirements and findings to workplace personnel
- planned the internal audit
- explained features of ethical behaviour to audit team
- applied communication and negotiation skills to facilitate internal audit processes, including conducting one-on-one and group meetings and applying conflict resolution skills, as required
- identified and followed an audit trail
- identified, collected and analysed evidence
- gathered, analysed, recorded and distributed internal audit data using business information systems
- interpreted evidence and made compliance judgements
- prepared factual and objective written internal audit reports
- recommended corrective actions, if required
- verified implementation of corrective actions, if required.
Knowledge Evidence
An individual must be able to demonstrate the knowledge required to perform the tasks outlined in the elements and performance criteria of this unit. This includes knowledge of:
- legislation, standards and codes of practice relevant to chain of custody operations, including current Australian Standard on internal auditing requirements
- ethical behaviour of internal auditors, including:
- integrity
- objectivity
- confidentiality
- competency
- purpose of internal audit of chain of custody certification
- chain of custody certification, including:
- purpose of certification
- roles and responsibilities of personnel responsible for chain of custody implementation and monitoring in workplace
- chain of custody certification process and period of chain of custody certification
- certification documentation, including product groups
- chain of custody certification bodies and schemes
- functions in chain of custody schemes
- key components of chain of custody system, including:
- system for purchasing, acquiring and receipting certified materials
- system for handling certified material and reason for separating from non-certified materials
- system for providing certified material to customers
- chain of custody certification requirements, including:
- workplace chain of custody procedures
- responsible sourcing, including information requirements and verification of certification claims by suppliers
- classification of materials (certified, neutral and other)
- controlled sources
- traceability
- chain of custody implementation methods (physical separation method, percentage-based method and credit method)
- types, meaning, conditions of use and correct use of chain of custody trademarks, logos and labels
- format, content and use of chain of custody workplace documents used for certification, audit and quality purposes, including:
- timber source documents
- receipts
- processing records
- quality records
- numbering and labelling documents
- workplace and chain of custody certification scheme internal audit requirements and processes, including:
- scheduling of audits
- role of internal auditors
- process, documentation and reporting
- procedures for multi-site audits
- reasons for inclusion of contractors and organisations providing outsourced functions in internal audits
- requirements for and methods of responding to non-compliances and process improvements identified by audit
- relationship between internal and external audit processes
- information needs and communication methods relevant for different groups and audience engaged in internal audit process
- evidence appropriate for use in internal audit of chain of custody certification for forest and wood products
- evidence collection methods
- key features of legislation that impacts on the conduct of internal audit procedures, including privacy, workplace health and safety and anti-discrimination legislation
- structure, authority levels and lines of reporting in workplace
- vocabulary and terms relating to chain of custody certification for forest and wood products.
Assessment Conditions
Assessment of the skills in this unit of competency must take place under the following conditions:
- skills must be demonstrated in a timber and wood products work environment or an environment that accurately represents workplace conditions
- resources, equipment and materials:
- internet access and computer equipment to research information on chain of custody certification scheme
- workplace documentation relevant to operation of chain of custody certification scheme
- chain of custody certification scheme documentation, including policy, procedures and standards
- templates or formats for collecting evidence and completing audit report.
Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.
Links
Companion Volumes, including Implementation Guides, are available at VETNet: - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=0d96fe23-5747-4c01-9d6f-3509ff8d3d47
