NTISthis.com

Evidence Guide: FBPPPL4007 - Manage internal audits

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

FBPPPL4007 - Manage internal audits

What evidence can you provide to prove your understanding of each of the following citeria?

Plan an audit

  1. Negotiate and agree on the purpose and scope of the audit
  2. Identify and secure information and resources required to conduct the audit
  3. Develop and negotiate an audit schedule to meet audit scope and timelines
Negotiate and agree on the purpose and scope of the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and secure information and resources required to conduct the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare for an audit

  1. Determine audit information sample and collection tools
  2. Identify and communicate roles, responsibilities and authority levels of the audit team to audit team members as appropriate
  3. Inform affected work areas and personnel of schedule, and advise of their role in the process
Determine audit information sample and collection tools

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Monitor the audit process

  1. Ensure information collected is adequate, representative and meets audit requirements
  2. Analyse information to assess adequacy of performance against program objectives
  3. Review records to confirm compliance with the program
  4. Observe compliance with the program in the workplace
  5. Identify issues requiring corrective action
  6. Address obstacles to achieving audit within agreed timelines
Ensure information collected is adequate, representative and meets audit requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse information to assess adequacy of performance against program objectives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review records to confirm compliance with the program

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Observe compliance with the program in the workplace

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify issues requiring corrective action

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Address obstacles to achieving audit within agreed timelines

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report and follow up audit outcomes

  1. Report situations presenting an imminent and serious risk to the program objectives in accordance with reporting requirements and workplace procedures
  2. Prepare audit reports to address audit scope requirements
  3. Communicate the results of the audit to appropriate personnel according to audit purpose and requirements and workplace procedures
  4. Develop and negotiate a corrective action plan within level of responsibility
  5. Monitor and confirm implementation of corrective action as set out in the corrective action plan
  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
  7. Negotiate and agree on the purpose and scope of the audit
  8. Identify and secure information and resources required to conduct the audit
  9. Develop and negotiate an audit schedule to meet audit scope and timelines
  10. Determine audit information sample and collection tools
  11. Identify and communicate roles, responsibilities and authority levels of the audit team to audit team members as appropriate
  12. Inform affected work areas and personnel of schedule, and advise of their role in the process
Report situations presenting an imminent and serious risk to the program objectives in accordance with reporting requirements and workplace procedures

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare audit reports to address audit scope requirements

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop and negotiate a corrective action plan within level of responsibility

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Negotiate and agree on the purpose and scope of the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and secure information and resources required to conduct the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine audit information sample and collection tools

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Required Skills and Knowledge