Modification History
Not applicable.
Unit Descriptor
Unit descriptor |
This unit of competency covers the ability to prepare for, carry out and document an internal audit of aspects of the laboratory's quality system. It also covers the implementation of the identified corrective action and opportunities for improvement and the monitoring of their effectiveness. |
Application of the Unit
Application of the unit |
This unit of competency is applicable to senior technical officers and laboratory supervisors working in all industry sectors. These people play a key role in the audit team due to their knowledge of the quality system and their broad technical expertise and specialised knowledge of procedures and technology. This unit of competency represents a thorough examination of various aspects of the quality system. Industry representatives have provided case studies to illustrate the practical application of this unit of competency and to show its relevance in a workplace setting. These can be found at the end of this unit of competency under the section 'This competency in practice'. |
Licensing/Regulatory Information
Not applicable.
Pre-Requisites
Prerequisite units |
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Employability Skills Information
Employability skills |
This unit contains employability skills. |
Elements and Performance Criteria Pre-Content
Elements describe the essential outcomes of a unit of competency. |
Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the required skills and knowledge section and the range statement. Assessment of performance is to be consistent with the evidence guide. |
Elements and Performance Criteria
ELEMENT |
PERFORMANCE CRITERIA |
1. Prepare for internal audit |
1.1. Analyse brief to determine the scope and detailed requirements of the planned audit 1.2. Identify procedures and/or the work area to be audited, and collect relevant documentation 1.3. Brief relevant personnel and allocate roles and responsibilities 1.4. Develop a detailed audit plan in consultation with relevant personnel 1.5. Develop a checklist to identify conformance and non-conformance |
2. Conduct audit |
2.1. Explain the components of the quality system and work area to be audited 2.2. Collaborate with relevant personnel to maximise continuous improvement and ownership of the audit process 2.3. Collect sufficient evidence to identify non-conforming aspects of the quality systems 2.4. Analyse evidence to identify suitable corrective actions |
3. Report findings |
3.1. Document findings from the audit process in the required format 3.2. Present recommendations for corrective actions 3.3. Provide strategies for the implementation of the corrective actions |
4. Complete corrective actions |
4.1. Develop and implement an action plan to improve the quality system 4.2. Consult with relevant personnel regarding the necessary strategies to improve the quality system 4.3. Evaluate and report the effectiveness of the corrective action after an agreed time interval 4.4. Ensure that relevant certification is maintained |
Required Skills and Knowledge
REQUIRED SKILLS AND KNOWLEDGE |
This section describes the skills and knowledge required for this unit. |
Required skills |
Required skill include:
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Required knowledge |
Required knowledge includes:
Specific industry Additional knowledge requirements may apply for different industry sectors. For example: Food processing:
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Evidence Guide
EVIDENCE GUIDE |
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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. |
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Overview of assessment |
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Critical aspects for assessment and evidence required to demonstrate competency in this unit |
Assessors should ensure that candidates can:
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Context of and specific resources for assessment |
This unit of competency is to be assessed in the workplace or simulated environment. Ideally, competency should be assessed within the context of a team based internal quality audit.Competency in this unit should be assessed over a sufficient period of time to enable the candidate to prepare and conduct the audit, report the findings and implement and evaluate any corrective action. This unit of competency may be assessed with:
Resources may include:
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Method of assessment |
The following assessment methods are suggested:
In all cases, practical assessment should be supported by questions to assess underpinning knowledge and those aspects of competency which are difficult to assess directly. Questioning techniques should suit the language and Where applicable, reasonable adjustment must be made to work environments and training situations to accommodate ethnicity, age, gender, demographics and disability. Access must be provided to appropriate learning and/or assessment support when required. The language, literacy and numeracy demands of assessment should not be greater than those required to undertake the unit of competency in a work like environment. |
This competency in practice |
Industry representatives have provided the case studies below to illustrate the practical application of this unit of competency and to show its relevance in a workplace setting. Manufacturing A new laboratory is being planned and the senior technical officer has been included in the steering committee to prepare the brief. The committee has decided that the preparation of the brief will include an audit of the safety and operating standards of the current laboratory. The aim of the audit will be to compare the current safety operations and facilities that are acceptable within the framework of the current premises with those of a modern building. The audit will monitor equipment, storage facilities and current methodologies in order to determine the necessary infrastructure changes that might be incorporated into the plan, or changes in methodologies that would bypass the need for the building changes through a change in equipment. Biomedical There have been a few problems in the sample reception area. Not all tests specified in requests have been allocated and, on a few occasions, a test was deleted because a technical assistant decided that there was insufficient sample provided. The supervisor has decided that the processing system should be reviewed and the reasons for the mistakes and omissions identified. After tracking the sample arrival, processing, labelling and distribution, the supervisor noted that the technical assistants often could not identify the sample test code. Despite the instruction to seek assistance, they did not contact a supervisor if they could not be approached immediately. Sometimes they put the sample aside for the supervisor's attention and it was forgotten over the shift change. On other occasions, they assigned a test code in good faith. As a result of the audit, a database of the test codes, sample requirements, distribution destination and conditions for storage was established at sample reception. The technical assistants were shown how to access information that they might require if the supervisor was not available. This action reduced the number of mistakes and the frequency of test omissions, and improved throughput of samples. Food processing Following an internal audit, a major non-conformance was identified which had resulted in a beverage label listing an ingredient that was not present. A corrective action had been made requiring that a new form be generated for release of label details from the purchasing department. The laboratory supervisor was given the responsibility as part of the audit team to follow up three weeks later and confirm that the corrective action had been completed. The laboratory supervisor gathered the data and a copy of the corrective action report and organised a meeting with staff from the purchasing department. During the meeting, the laboratory supervisor checked the revised quality form that now included the signature of the authorising officer from the purchasing department. The laboratory supervisor also reviewed the quality procedures to ensure that the new form's code was updated and that all old copies were removed. The report was then presented to the audit team for final approval and signing off. |
Range Statement
RANGE STATEMENT |
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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. |
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Codes of practice |
Where reference is made to industry codes of practice, and/or Australian/international standards, it is expected the latest version will be used |
Standards , codes , procedures and /or enterprise requirements |
Standards, codes, procedures and/or enterprise requirements may include:
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Elements of a quality system |
Elements of a quality system may include:
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Information sources |
Information sources may include:
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Quality improvement tools and techniques |
Quality improvement tools and techniques may include:
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Communication |
Communication may involve:
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Reporting |
Reporting may include:
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Documentation |
Documentation may include:
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Occupational health and safety (OHS ) and environmental management requirements |
OHS and environmental management requirements:
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Unit Sector(s)
Unit sector |
Maintenance |
Competency field
Competency field |
Co-requisite units
Co-requisite units |
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