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Elements and Performance Criteria

1. Identify and prepare audit information
   • Identify audit objectives, scope and focus
   • Identify target operations and documentation
   • Determine audit process and sampling technique
   • Determine frequency and schedule of audit events
   • Acquire and prepare audit documentation and information ready for audit
   • Conduct pre-audit communications with client and relevant stakeholders
   • Organise on-site inspections to conduct audit process
   • Audit tree work operations being undertaken
   • Inspect and assess impact of arboricultural tree work on the tree health, structure, environment and development works
   • Audit works according to prepared documentation and legislative and regulatory requirements
   • Audit work to identify compliance with project documentation, and legislative and regulatory requirements
   • Record non-compliance according to audit procedures
   • Assess extent and manner of non-compliance against workplace and industry standards
   • Document findings according to audit and workplace procedures
2. Assess impact of non-arboricultural works
   • Inspect and assess non-arboricultural works impacting on the tree or work environment
   • Determine impact of non-arboricultural works of contractors and stakeholders
   • Provide feedback on non-arboricultural works to contractors and stakeholders
3. Provide feedback to stakeholders on audit
   • Provide feedback on the findings of audit to clients, contractors and stakeholders
   • Provide advice for improvement, rectification and management of non-conformances
   • Identify and specify priority of ongoing tree management
4. Specify remedial action for tree defects
   • Identify and assess impact of remedial action on tree and stakeholder expectations
   • Discuss tree retention value and remedial action options with stakeholder
   • Select and agree on acceptable remedial action with stakeholder
   • Document specifications for remedial action according to workplace procedures, industry standards and design parameters
   • Submit specifications to stakeholder for final approval
5. Document and present audit report, notifications and plans
   • Document audit report with non-conformance notifications
   • Advise stakeholders according to legislative and regulatory requirements
   • Document an ongoing management plan addressing audit findings
   • Document a rectification plan specifying the required rectifications of non-conformances and remedial action
   • Review audit process and outcomes and recommend modifications to audit process
   • Prepare and present reports and plans to stakeholders according to workplace procedures

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, on at least two occasions, audited tree works and created a report with specifications for rectification.

For each of the two audits, there must be evidence that the individual has:

identified audit objectives, scope and focus

identified target operations and documentation

determined audit process, sampling technique, frequency and schedule

compiled and prepared audit documentation

communicated audit preparations with client and stakeholders

organised site inspections to conduct audit

conducted audits of operational tree works for each of the following activities:

pruning, including root pruning

tree removal

transplanting and planting

tree protection on development sites

tree support systems

arboricultural practices

inspected and assessed impact of works on tree health, structure, environment and development

conducted the audit according to prepared documents and legislative requirements

audited compliance of works to documented project outcomes

recorded and assessed non-compliances against expected standards

prepared records of audit and non-compliances

inspected and assessed non-arboricultural works

determined impact of non-arboricultural works of contractors and stakeholders

provided feedback on the findings of inspections to stakeholders, including provided advice for:

improvements

rectification

management of non-conformances

identified and specified ongoing management priorities

discussed tree retention with stakeholder

identified and assessed effect of remedial action on tree and stakeholder expectations and selected remedial action

documented remedial action, which must include specifications for:

tree removal

tree transplanting

pruning, including root pruning work

tree support system

tree protection

documented audit report and non-conformance notifications and advised stakeholders according to regulatory requirements

documented ongoing management plan, which must include:

specifying the tree management techniques and ongoing maintenance

practices required to address the audit findings

documented a rectification plan specifying rectification of non-conformances

prepared and presented reports and plans to stakeholders.

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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:

developing and planning for audits, including:

setting objectives, scope and focus

auditing terminology

audit processes

audit sampling techniques

setting frequency and timing of audit events

preparation of audit documentation

communication in audit situations, including:

notifying and preparing stakeholders for audit

providing feedback after auditing

rectification notices and follow-up for non-compliance

negotiating rectification works and actions

reporting procedures of completed audit

relevant audit information and sample documentation, including:

codes of practice

Australian Standards including, AS2303, AS2223, AS3743, AS4373 and AS4970

arboriculture reports and specifications

legislation and regulations governing audit procedures and topics, including:

responsibilities for safety and safe work practices

tree protection and removal

conservation and environmental protection

statutory reporting and documentation

targeting, auditing and documenting specific tree work operations, including:

pruning, including root pruning

tree removal

planting and transplanting

tree protection techniques

arboricultural practices and construction and development activities

tree support systems

inspection and assessment of tree works and impact on physiology, anatomy, pathology and environment

inspections and assessment of non-arboricultural works that may impact on the tree or its environment

reconciling actual works performed against documented planned works

provision of feedback and findings of inspections to clients, contractors and stakeholders

improvement, rectification and management of non-conformances

documenting specified remedial action, including:

tree removal

pruning, crown maintenance and crown modifications

response of roots to wounding and treatment of severed roots

planting and transplanting

tree support systems

tree protection systems

tree management techniques and practices

rectifying and modifying work site practices and tree protection measures for trees on development sites

ongoing management and maintenance

documentation for recording and reporting audit procedures, including reviewing and revising audit procedures.

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