The Evidence Guide provides advice to inform and support appropriate assessment of this unit. It contains an overview of the assessment requirements followed by identification of specific aspects of evidence that will need to be addressed in determining competence. The Evidence Guide is an integral part of the unit and should be read and interpreted in conjunction with the other components of competency.
Assessment must reflect the endorsed Assessment Guidelines of the parent Training Package.
A person who demonstrates competence in this unit must be able to provide evidence that
they have undertaken preparations for a range of quality audits that will involve a team leader and a team of auditors. Evidence of preparation for such audits will include production of audit documentation including: an audit plan with schedules, activities, methods and techniques; risk analysis and proposed treatment of identified risks; approval for proposed plan; and entry and exit meeting agendas.
Required knowledge and understanding include: | • audit methods and techniques • legal issues and terminology relating to quality auditing • codes of practice, regulations and standards, for example ISO 9000:2000: Quality Management Systems – Fundamentals and Vocabulary, ISO 19011:2003: Guidelines for Quality and/or Environmental Management Systems Auditing • product and/or service knowledge • quality principles and techniques • current audit practices • auditor code of ethics |
Required skills and attributes include: | • ability to relate to people from a range of social, cultural and ethnic backgrounds, and physical and mental abilities • risk assessment • communication skills: interpersonal, listening, questioning techniques • team work • problem-solving • organisational and planning skills • time management |
Key competencies or generic skills relevant to this unit | The seven key competencies represent generic skills considered essential for effective work participation. Innovation skills represent a further area of generic competence. The bracketed numbering indicates the performance level required in this unit: Level (1) represents the competence to undertake tasks effectively Level (2) represents the competence to manage tasks Level (3) represents the competence to use concepts for evaluating and reshaping tasks The bulleted points provide examples of how the key competencies can be applied for this unit. |
Communicating ideas and information (2) | • communicating verbally to negotiate and consult with auditee and other relevant parties • communicating in writing to meet documentation requirements |
Collecting, analysing and organising information (2) | • gathering information and tools • analysing available methods to inform audit |
Planning and organising activities (2) | • planning audit schedule and activities with auditee |
Working in a team (2) | • working with team leader and auditing team and personnel in area to be audited |
Using mathematical ideas and techniques (1) | • applying basic numerical and mathematical calculation skills to auditing processes |
Solving problems (2) | • applying problem-solving skills to risk analysis and treatment • applying problem-solving skills to issues arising with auditee and relevant parties |
Using technology (1) | using word processing software to produce required documentation for audits • using assistive technology, if required |
Innovation skills (1) | • identifying improvements to audit plan and methodologies to be used |
Products that could be used as evidence include: | • completed audit plan with schedules, scope, objectives, outcomes and resources • notes made in preparing audit plan • risk analysis and treatment options • checklists and other tools developed for audit |
Processes that could be used as evidence include: | • how audit documentation was reviewed and issues resolved with auditee in relation to proposed audit • how documentation was prepared for audit, including risk analysis and treatment options • how audit schedules were developed and approval gained |
Resource implications for assessment include: | • access to workplace documentation |
Validity and sufficiency of evidence requires: | • that where assessment is part of a learning experience, evidence will need to be collected over a period of time, involving both formative and summative assessment • at least four examples of completed audit plans that have been produced by the candidate for a range of situations |
Integrated competency assessment means: | • that this unit can be assessed alone or as part of an integrated assessment activity involving other relevant units in the areas of auditing, project management and frontline management |