Unit of competency details

Unit descriptor 

This unit covers the process of auditing site operations and defines the standard required to: develop the scope and methodology for an audit; identify parameters of audit requirements; manage audit implementation; identify compliance and non compliance items; evaluate audit findings; provide feedback to staff, organisation and client; document and present the final audit report.

Application of the unit 

This unit applies to supervisors and managers engaged in the process of auditing site operations and covers determining the scope of the audit, specifying the audit requirements, defining the audit process, performing the audit, evaluating the audit findings and documenting an audit report.

Prerequisite units 

Employability skills 

This unit contains employability skills.

ELEMENT 

PERFORMANCE CRITERIA 

1. Determine the scope of the audit

1.1. Objectives and scope of the audit is prepared.

1.2. Expectations of client or organisation are described.

1.3. Pattern of random or non random audit events is determined.

1.4. Individual and personal actions are identified for audit requirements.

1.5. Groups and processes are identified for audit for audit requirements.

1.6. List of audit items is prepared.

2. Specify the audit requirements

2.1. Precise parameters of acceptable conditions / results are identified and documented.

2.2. Relevant sections of Codes of Practice and specific clauses in Australian Standards are described.

2.3. Written guidelines are communicated to the audited group and individual staff members.

2.4. Detailed information is provided to audit groups in a durable format for working conditions.

3. Define the audit process

3.1. Responsibilities for audit implementation and evaluation are determined and assigned.

3.2. The timing and frequency of the audit events of audit events are determined.

3.3. Schedules and logistical arrangements are confirmed and contingency arrangements planned.

3.4. Expectations are confirmed with the audited group and individual staff members.

3.5. Audit process is documented and communicated.

4. Manage the audit implementation

4.1. Audit meeting is organised in advance at a mutually agreed time.

4.2. Activities of audited group and individual staff members are examined.

4.3. Items of compliance and non compliance are identified and recorded.

4.4. Appropriate persons are interviewed for detailed information, clarification and feedback.

4.5. Relevant information and sample documentation is gathered and recorded.

4.6. Contingency actions are taken as required and recorded.

5. Evaluate and document the audit findings into a report

5.1. Results and findings are examined against audit objectives and presented to the audited group or individual.

5.2. Agreement is sought and reached on corrective action reports.

5.3. Context and consequences of audit are explained and discussed during follow-up meetings.

5.4. Feedback on results is provided to client or organisation.

5.5. Document the final audit report and present to client or organisation.

REQUIRED SKILLS AND KNOWLEDGE 

This section describes the skills and knowledge required for this unit.

Required skills 

• identify client or organisation expectations
• determine the scope of items for audit
• specify parameters of audit requirements
• define the audit process
• identify compliance and non compliance items
• implement an audit
• manage the implementation of audits
• plan for and act on contingencies
• evaluate audit findings
• organise scheduling and meetings
• use literacy skills to fulfil job roles as required by the organisation. The level of skill may range from reading and understanding documentation to completion of written reports
• use oral communication skills/language competence to fulfil the job role as specified by the organisation including questioning, active listening, asking for clarification, negotiating solutions and responding to a range of views
• use numeracy skills to estimate, calculate and record complex workplace measures
• use interpersonal skills to work with others and relate to people from a range of cultural, social and religious backgrounds and with a range of physical and mental abilities.

Required knowledge 

• audit methodology and techniques
• product and/or service knowledge
• quality principles and techniques
• interview techniques
• workplace documentation and policies
• logistics of operations of organisation
• legal issues and terminology relating to quality auditing
• award and enterprise agreements and relevant industrial instruments
• relevant legislation and regulations from all levels of government
• relevant codes of practice, regulations and standards, for example ISO 9000:2000: Quality Management Systems - Fundamentals and Vocabulary, ISO 19011:2003: Guidelines for Quality and/or Environmental Management Systems Auditing.

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 

Critical aspects for assessment and evidence required to demonstrate competency in this unit 

The evidence required to demonstrate competency in this unit must be relevant to workplace operations and satisfy holistically all of the requirements of the performance criteria and required skills and knowledge and include achievement of the following:

• develop the scope and methodology for an audit
• identify parameters of audit requirements
• manage audit implementation
• identify compliance and non compliance items
• evaluate audit findings
• provide feedback to staff, organisation and client
• document and present the final audit report.

Context of and specific resources for assessment 

Competency requires the application of work practices under work conditions. Selection and use of resources for some worksites may differ due to the regional or enterprise circumstances.

RANGE STATEMENT 

The range statement relates to the unit of competency as a whole.

Audits may include:

the evaluation of :

• a person
• organisation
• system
• process
• enterprise
• project
• product.

Sites may include:

• project works
• management or administration systems.

Unit sector 

Work

Co-requisite units 

Competency field