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Unit of competency details

FBPPPL4007 - Manage internal audits (Release 1)

Summary

Usage recommendation:
Current
Mapping:
MappingNotesDate
Supersedes and is equivalent to FDFPPL4008A - Manage internal auditsUpdated to meet Standards for Training Packages Prerequisites removed Minor changes to Performance Criteria for clarity 17/Dec/2018

Release Status:
Current
Releases:
ReleaseRelease date
1 1 (this release) 18/Dec/2018

Companion volumes:
Unit of competency Assessment requirements

Delivery:
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Training packages that include this unit

Qualifications that include this unit

CodeSort Table listing Qualifications that include this unit by the Code columnTitleSort Table listing Qualifications that include this unit by the Title columnUsage RecommendationRelease
FBP40321 - Certificate IV in Food ProcessingCertificate IV in Food ProcessingCurrent1 
FBP40621 - Certificate IV in Artisan Fermented ProductsCertificate IV in Artisan Fermented ProductsCurrent1-2 
FBP50321 - Diploma of Artisan CheesemakingDiploma of Artisan CheesemakingCurrent1 
AMP40222 - Certificate IV in Meat ProcessingCertificate IV in Meat ProcessingCurrent1 
FBP40421 - Certificate IV in Food Science and TechnologyCertificate IV in Food Science and TechnologyCurrent1 
FBP50221 - Diploma of Food Safety AuditingDiploma of Food Safety AuditingCurrent1 
FBP40619 - Certificate IV in Artisan Fermented ProductsCertificate IV in Artisan Fermented ProductsSuperseded1 
FBP50319 - Diploma of Artisan CheesemakingDiploma of Artisan CheesemakingSuperseded1 
FBP40318 - Certificate IV in Food ProcessingCertificate IV in Food ProcessingSuperseded1 
FBP40418 - Certificate IV in Food Science and TechnologyCertificate IV in Food Science and TechnologySuperseded1-2 
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Classifications

SchemeCodeClassification value
ASCED Module/Unit of Competency Field of Education Identifier 080317 Quality Management  

Classification history

SchemeCodeClassification valueStart dateEnd date
ASCED Module/Unit of Competency Field of Education Identifier 080317 Quality Management  18/Dec/2018 
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Unit of competency

Modification History

Release 

Comments 

Release 1

This version released with the FBP Food, Beverage and Pharmaceutical Training Package Version 2.0.

Application

This unit of competency covers the skills and knowledge required to support the management of internal audit processes across a range of programs.

This unit applies to individuals who conduct internal audit processes to support externally audited programs. In this context, auditing must occur in an area that the person is not directly responsible for and where they are required to follow a formal, structured process. In addition to this standard, an auditor would typically work within the audit procedures as outlined in the relevant International Organization for Standardization (ISO) standard.

When conducting a food safety audit, FBPAUD4003 Conduct food safety audits should be used.

No occupational licensing or certification requirements apply to this unit at the time of publication.

Pre-requisite Unit

Nil

Unit Sector

People, Planning and Logistics (PPL)

Elements and Performance Criteria

Elements 

Performance Criteria 

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Plan an audit

1.1 Negotiate and agree on the purpose and scope of the audit

1.2 Identify and secure information and resources required to conduct the audit

1.3 Develop and negotiate an audit schedule to meet audit scope and timelines

2. Prepare for an audit

2.1 Determine audit information sample and collection tools

2.2 Identify and communicate roles, responsibilities and authority levels of the audit team to audit team members as appropriate

2.3 Inform affected work areas and personnel of schedule, and advise of their role in the process

3. Monitor the audit process

3.1 Ensure information collected is adequate, representative and meets audit requirements

3.2 Analyse information to assess adequacy of performance against program objectives

3.3 Review records to confirm compliance with the program

3.4 Observe compliance with the program in the workplace

3.5 Identify issues requiring corrective action

3.6 Address obstacles to achieving audit within agreed timelines

4. Report and follow up audit outcomes

4.1 Report situations presenting an imminent and serious risk to the program objectives in accordance with reporting requirements and workplace procedures

4.2 Prepare audit reports to address audit scope requirements

4.3 Communicate the results of the audit to appropriate personnel according to audit purpose and requirements and workplace procedures

4.4 Develop and negotiate a corrective action plan within level of responsibility

4.5 Monitor and confirm implementation of corrective action as set out in the corrective action plan

4.6 Ensure that breaches in corrective action plan are followed up, and action is taken or reported according to level of responsibility and audit purpose

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.

Skill 

Description 

Reading
  • Analyse documentation from a variety of sources to determine and compare audit requirements

Writing

  • Prepare and produce documentation using clear and detailed language in order to convey explicit information, requirements and recommendations for audits

Unit Mapping Information

Code and title current version 

Code and title previous version 

Comments 

Equivalence status 

FBPPPL4007 Manage internal audits

FDFPPL4008A Manage internal audits

Updated to meet Standards for Training Packages

Prerequisites removed

Minor changes to Performance Criteria for clarity

Equivalent unit

Links

Companion Volume Implementation Guides are found in VETNet: - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=78b15323-cd38-483e-aad7-1159b570a5c4

 

Assessment requirements

Modification History

Release 

Comments 

Release 1

This version released with the FBP Food, Beverage and Pharmaceutical Training Package Version 2.0.

Performance Evidence

An individual demonstrating competency in this unit must satisfy all of the elements and performance criteria of this unit.

There must be evidence that the individual has managed at least one internal audit, including:

  • determining scope of and purpose of audit
  • scheduling audit and making required arrangements
  • establishing information collection parameters
  • selecting information collection techniques
  • collecting and analysing information
  • ensuring compliance with workplace procedures
  • developing and communicating required corrective action plan
  • completing workplace records as 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:

  • the purpose and intent of the program being audited, including the requirements of relevant national, state and local government legislation relating to program purpose and requirements
  • auditor roles, responsibilities and legal obligations as relevant to the audit purpose, including:
  • responsibilities of both internal and external auditors
  • different types of auditors and of authorised officers who may be involved in the audit program
  • legal responsibilities for reporting imminent and serious non-conformities
  • audit requirements relating to work health and safety and quality environmental management audits
  • requirements and procedures for certification/registration of auditors and authorised officers according to audit type
  • frequency and scope of audit requirements to meet legal obligations
  • appropriate ethical conduct of auditors as set out in codes of ethics of auditors, and additional requirements as may be determined by the workplace
  • the purpose and stages involved in the audit process, including compliance with International Organization for Standardization (ISO) audit standards as appropriate to audit requirements
  • workplace information and related information management systems
  • techniques for collecting information, including:
  • appropriate sampling techniques
  • information collection methods
  • the strengths and weaknesses of each method to ensure data is adequate and representative
  • an understanding of techniques identified in the relevant ISO standard.
  • data analysis methods relevant to the audit process
  • communication skills and techniques, including appropriate questioning, observation and related communication skills to support information collection, appropriate to the workplace
  • technical knowledge relevant to the program being audited in order to verify the adequacy of:
  • workplace safety processes and standards
  • control methods, including industry standards/practice
  • monitoring and recordkeeping
  • validation processes
  • corrective action/process improvement procedures
  • where program control methods or limits vary from industry standards or where there are no industry standards, technical knowledge required to assess data used by the business to validate acceptable limits (this may be addressed by identifying and involving appropriate technical expertise)
  • information management and communication systems to document and communicate audit outcomes in appropriate formats.

Assessment Conditions

Assessment of skills must take place under the following conditions:

  • physical conditions:
  • skills must be demonstrated in a workplace setting or an environment that accurately represents a real workplace
  • resources, equipment and materials:
  • workplace program and related documentation
  • specifications:
  • relevant legislation
  • audit procedures and standards, including any external standards relevant to the audit, including ISO standards
  • advice on related technical industry standards and codes of practice
  • information systems and data collection technology.

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.

Links

Companion Volume Implementation Guides are found in VETNet: - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=78b15323-cd38-483e-aad7-1159b570a5c4

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