Assessment Requirements for FWPCOT4224 Conduct internal audit of chain of custody certification for forest and wood products

Release: 1

Assessment Requirements for FWPCOT4224 Conduct internal audit of chain of custody certification for forest and wood products

Modification History

Release	Comments
Release 1	This version released with FWP Forest and Wood Products Training Package Version 8.0.

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:

physical 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

specifications:

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