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.
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 |
Sectors
People, Planning and Logistics (PPL)