Elements and Performance Criteria

The range statement indicates the context for demonstrating competence. This statement is a guide and unless otherwise indicated, items may or may not apply as required by the work context.
- Audits may be conducted against workplace programs and/or legislative requirements
- Audits may be undertaken for advisory or regulatory purposes and may be led by internal or external auditors
- Audits may be conducted by individuals or involve an audit team
- A corrective action plan identifies non-conformance, corrective actions, date by which action must be taken and any other follow up requirements. Depending on the nature and scope of an audit, the auditor may not be responsible for identifying appropriate corrective action. However it is a requirement that they have the technical knowledge to do so or involve a technical expert
- Appropriate communication skills and techniques must take account of English language, literacy and technical skill base of workplace personnel
- Information collection typically includes reviewing workplace records, conducting interviews, observing workplace practice and collecting other relevant information as required
- Detailed procedures and techniques for conducting audits are currently defined by ISO 10011. This standard is under review

The assessment process must address all of the following items of evidence.
Ability to:
1. Identify roles and responsibilities of personnel participating in the audit process
2. Establish and negotiate audit purpose and scope to meet the workplace and legislative requirements
3. Clarify program objectives and evaluation criteria to be applied. Where appropriate, this includes identifying legal compliance requirements
4. Establish the audit sequence, activities and timelines
5. Identify roles, responsibilities and competencies required to conduct an audit and confirm that the required competencies are available within the project team where appropriate
6. Identify and locate information required to conduct the audit
7. Review workplace documentation to confirm that required information is available
8. Select and apply appropriate data collection tools to provide information on both program outcomes and processes
9. Establish an audit plan and timetable and communicate the plan to relevant work areas/personnel. This may include allocating tasks to match requirements of the audit and competencies of the audit team
10. Assess information collected against program objectives and evaluation criteria to identify compliance/non-compliance
11. Identify any changes that have occurred in the workplace since initiating the program or since the last program audit that could affect program outcomes
12. Identify, investigate and record evidence of non-compliance
13. Assess severity of non-compliance and take immediate action to report non-compliance that presents an imminent and serious risk to achievement of program objectives. Action must comply with company audit procedures and with legal responsibilities where relevant
14. Based on the audit findings, assess the adequacy of the program under review. This includes verifying that information used to establish methods of controlling hazards is adequate and correct. Technical experts/accessing external technical resources may be used to support verification. Conclusions on audit outcomes should be objective and capable of duplication, given the evidence collected
15. Where findings indicate either a failure to comply with the program or inadequacy of the program, investigate and determine the causes of non-conformance and identify corrective action requirements
16. Communicate audit findings including corrective actions and timeframes with relevant work areas/personnel. This may include negotiating/securing required resources
17. Report the findings of the audit in appropriate format to meet the requirements of the workplace and legal compliance where relevant
Knowledge of:
18. The purpose and intent of the program being audited. This includes an understanding of the requirements of relevant national, state and local government legislation relating to program purpose and requirements
19. Auditor roles, responsibilities and legal obligations as relevant to the audit purpose. This includes an understanding of the responsibilities of both internal and external auditors, the different types of auditors and of authorized officers who may be involved in the audit program. It also includes an understanding of legal responsibilities for reporting imminent and serious non-conformities
20. Requirements and procedures for certification/registration of auditors and authorized officers according to audit type
21. The frequency and scope of audit requirements to meet legal obligations
22. Appropriate ethical conduct of auditors as set out in codes of ethics of auditors and additional requirements as may be determined by the workplace
23. The purpose and stages involved in the audit process. This may include compliance with ISO audit standards as appropriate to audit requirements
24. Workplace information and related information management systems
25. Techniques for collecting information. This includes awareness of appropriate sampling techniques, information collection methods and the strengths and weaknesses of each method to ensure data is adequate and representative. This may include an understanding of techniques as identified by ISO 10011
26. Data analysis methods relevant to the audit process
27. Communication skills and techniques appropriate questioning, observation and related communication skills to support information collection, appropriate to the workplace
28. Technical knowledge relevant to the program being audited in order to verify the adequacy of:
- hazard identification processes
- control methods. This includes knowledge of industry standards/practice
- monitoring and record keeping
- validation processes
- corrective action/process improvement procedures
29. Where program control methods or limits vary from industry standards or where there are no industry standards, technical knowledge required to assess data used by the business to validate acceptable limits. This may be addressed by identifying and involving appropriate technical expertise
30. Competency standards and related assessment and training options to support program implementation
31. Information management and communication systems to document and communicate audit outcomes in appropriate formats