Assessor Resource

PSPRAIL601A
Coordinate audit or inspection programs

Assessment tool

Version 1.0
Issue Date: May 2024


In the workplace, staff members must be able to plan and coordinate a structured, strategic audit or inspection program consistent with legislative requirements and using a risk management approach to determining the focus, scope, scheduling and frequency of audits or inspections. They must have a good understanding of risk management and audit principles, analytical skills to interpret intelligence and occurrence information from operators, and judgment to assess organisations against risk indicators and make decisions on risk ratings and related audit or inspection requirements.

This unit covers the development and coordination of audit or inspection programs using a risk management approach informed by intelligence and occurrence information.

No licensing, legislative, regulatory or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)

Prerequisites

Not applicable.

Employability Skills

This unit contains employability skills.



Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

The Evidence Guide specifies the evidence required to demonstrate achievement in the unit of competency as a whole. It must be read in conjunction with the unit descriptor, performance criteria, The range statement and the Assessment Guidelines for the Public Sector Training Package.

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

In addition to integrated demonstration of the elements and their related performance criteria, look for evidence that confirms:

the knowledge requirements of this unit

the skill requirements of this unit

application of employability skills as they relate to this unit

coordinating audit or inspection programs in a range of 3 or more contexts or occasions, over time

Context of and specific resources for assessment

Valid assessment of this unit requires:

a workplace environment or one that closely resembles normal work practice and replicates the range of conditions likely to be encountered when coordinating audit or inspection programs, including coping with difficulties, irregularities and breakdowns in routine

Resources essential for assessment include:

legislation and guidelines relating to coordination of audit or inspection programs, based on a risk management approach

organisational procedures/guidelines and protocols relating to coordination of audit or inspection programs

scenarios and/or case studies to capture the range of situations likely to be encountered when coordinating audit or inspection programs

access to relevant systems

Method of assessment

Assessment methods suitable for valid and reliable assessment of this unit must use authenticated evidence from the workplace and/or training courses and may include, but are not limited to, a combination of 2 or more of:

demonstration

observation

simulation or role plays

case studies/scenarios

workplace projects

portfolios

authenticated evidence from the workplace and/or training courses

The assessment environment should not disadvantage the candidate and where the person has a disability the principle of reasonable adjustment should be applied during assessment

Assessment methods should reflect but not exceed workplace demands, such as literacy demands and the needs of particular groups, such as:

people with disabilities

people from culturally and linguistically diverse backgrounds

Aboriginal and Torres Strait Islander people

women

young people

older people

people in rural and remote locations

Suggested units that may be co-assessed with this unit to increase the efficiency and realism of the assessment process include, but are not limited to:

PSPETHC601B Maintain and enhance confidence in public service

PSPGOV602B Establish and maintain strategic networks

PSPLEGN601B Manage compliance with legislation in the public sector

PSPMNGT608B Manage risk

PSPREG601B Manage regulatory compliance

PSPREG602B Evaluate regulatory compliance

PSPREG603A Manage and lead inspection and monitoring programs

Guidance information for assessment

For consistency of assessment:

evidence must be gathered over time in a range of contexts to ensure the person can achieve the unit outcome and apply the competency in different situations or environments

Assessing employability skills:

employability skills are integral to effective performance in the workplace and are broadly consistent across industry sectors

the way these skills are applied varies between occupations and qualifications due to the different work functions and contexts

employability skills embedded in this unit of competency should be assessed holistically with other relevant units that make up the skills set or qualification, and in the context of the job role

In practice, coordinating audit or inspection programs overlaps with other generalist or specialist work activities, such as acting ethically, managing risk, managing and evaluating regulatory compliance, and managing and leading inspection programs. Co-assessment with units of competency addressing these other activities could be considered.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

This section describes the essential skills and knowledge and their level, required for this unit.

Required skills:

Look for evidence that confirms skills in:

applying legislation and guidelines relating to coordination of audits and inspections

researching information related to special safety audits, random or targeted audits or joint national audits

analysing intelligence and occurrence information

determining risk ratings

planning and organising to prepare for and schedule audit and inspection programs

communicating with others, involving the explanation of complex information relating to audit and inspection scheduling, using a risk management approach

numeracy to confirm accuracy of numerical information

decision making in relation to audit and inspection outcomes

self-management to work ethically and in accordance with legislation

using technology to conduct research, make enquiries, review available data, access legislative requirements and prepare schedules

responding to diversity, including gender and disability

applying environmental and occupational health and safety procedures to administrative work when preparing, scheduling and reviewing audits and inspections.

Required knowledge:

Look for evidence that confirms knowledge and understanding of:

rail safety risks presented by different operators

risk management principles and practices

moderation processes

legislative, regulatory and procedural requirements for coordinating audits and inspections

The range statement provides information about the context in which the unit of competency is carried out. The variables cater for differences between States and Territories and the Commonwealth, and between organisations and workplaces. They allow for different work requirements, work practices and knowledge. The range statement also provides a focus for assessment. It relates to the unit as a whole. Text in italics in the Performance criteria is explained here.

Risk indicatorsmay be:

performance risk indicators, such as compliance history, occurrence notification report data, history of complaints, previous audit results, annual safety reports, whether identified faults have been addressed

operational risk indicators, such as scope of operations, high risk activities, period since last audit or inspection, whether all elements of the system have been audited over time, multiple sites, subcontractors, etc.

Audits:

are planned, systematic and documented processes used to assess the extent of compliance with accreditation requirements

are conducted in a way that encourages organisations to demonstrate compliance and make improvements

provide feedback to support continuous improvement of operations and outcomes

Specified requirementsmay include:

regulator's quality management systems and procedures

links to priorities

sufficiency and targeting of sampling used

checks that previous faults have been rectified

Moderation:

is a process which involves auditors/inspectors discussing and reaching agreement about audit/inspection processes and outcomes in a particular industry or industry sector

enables auditors/inspectors to develop a shared understanding of the requirements of the audit/inspection criteria, relevant guidelines, nature of evidence, how evidence is collected and basis on which audit/inspection decisions are made

is used to ensure a consistent approach to audit or inspection practices

is used to improve reliability of outcomes

Stakeholdersmay include:

senior management

government

accredited rail organisations

contractors

industry

unions

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Requirements for safety audits, random or targeted audits or joint national audits are confirmed 
Information on the current performance of organisations and their operating environment is gathered and analysed 
Intelligence and occurrence information are analysed against risk indicators and risk ratings are determined in accordance with risk management principles and legislative requirements 
Data to be used for risk analysis is valid, sufficient, current and verifiable 
Type, scope and frequency of audits or inspections for rail transport operators are determined in accordance with risk management principles and legislative requirements 
All elements of the system are audited over a prescribed period, with audit priority assigned to those matters representing greatest risk and those that need to be audited in that period 
Audit or inspection schedule is prepared, including assigning responsibility for conducting audit or inspection, in accordance with organisational policies, procedures and guidelines 
Audit or inspection schedule is structured to take into account the impact on the business operations of rail organisations, as far as is reasonably practicable 
Audit or inspection timetable takes account of the scheduling of national audits, human and other resource requirements 
Audit program is reviewed and re-prioritised when necessary 
Quality of conducted audits or inspections is evaluated against specified requirements, and anomalies and inconsistencies are identified 
Improvements in audit or inspection practices and processes are identified and implemented in accordance with organisational policies, procedures and guidelines 
Analysis of audit or inspection data is undertaken to identify risk issues and trends for the industry or for particular types of industry organisations 
Strategic information on issues and trends is provided to management and other stakeholders in accordance with organisational policies, procedures and guidelines 

Forms

Assessment Cover Sheet

PSPRAIL601A - Coordinate audit or inspection programs
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

PSPRAIL601A - Coordinate audit or inspection programs

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: