Assessor Resource

BSBAUD501
Initiate a quality audit

Assessment tool

Version 1.0
Issue Date: April 2024


This unit describes the skills and knowledge required to initiate and organise a quality audit with an auditee. It covers assessing the scope and objectives of a quality audit; communicating with the auditee regarding the proposed quality audit; identifying resources required to conduct the audit; and developing and submitting a quality audit plan. The types of audits may include external or internal systems audits or process or product/service audits.

It applies to individuals with a well-established theoretical knowledge base in quality auditing who are proficient in using a wide range of specialised, quality auditing and managerial techniques to plan, carry out and evaluate a quality audit. Individuals also supervise and monitor the processes and outcomes of others working in a quality audit team.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Assess quality audit scope and objectives

1.1 Determine and discuss audit objectives with the auditee, client and all other relevant parties

1.2 Determine and discuss scope of the quality audit with the auditee, client and all other relevant parties

1.3 Identify relevant standards that impact the environment in which the audit operates

1.4 Determine scope commensurate with identified risks

2 Communicate with auditee regarding proposed quality audit

2.1 Determine audit history, organisational structure and culture through consultation with the auditee

2.2 Negotiate and ensure agreement with auditee, the proposed audit methods and techniques to be applied

2.3 Outline audit processes to establish sequence of audit activities, and the roles of the auditors and auditees in the process

3 Identify resources required to conduct quality audit

3.1 Identify resources required to perform the quality audit efficiently and effectively

3.2 Select audit team members on the basis of relevant expertise

3.3 Confirm availability of resources required to conduct the audit with auditee

3.4 Assign roles and responsibilities to audit team members

4 Develop and submit quality audit plan

4.1 Develop quality audit plan according to established scope and objectives

4.2 Assign timing, schedules and responsibilities for implementation of the audit plan

4.3 Develop audit priorities and ensure agreement with auditees and audit team members

4.4 Document and submit audit plan to auditee

5 Prepare audit team

5.1 Inform audit team members of their responsibilities, audit objectives and scope

5.2 Communicate audit plan and schedules to all audit team members

5.3 Discuss and clarify audit methods and techniques with audit team members

6 Review auditee documentation

6.1 Review auditee’s previous audits to establish possible impact on the conduct of the current audit

6.2 Review and check relevant organisational documents for accuracy

6.3 Resolve arising problems with auditee and relevant parties

7 Identify and prepare checklists and audit related documentation

7.1 Develop checklists to reflect audit scope and objectives

7.2 Develop or obtain documentation required for the audit

7.3 Prepare agenda for entry meeting

7.4 Include valueadding activities in audit related documentation where required

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Assess quality audit scope and objectives

1.1 Determine and discuss audit objectives with the auditee, client and all other relevant parties

1.2 Determine and discuss scope of the quality audit with the auditee, client and all other relevant parties

1.3 Identify relevant standards that impact the environment in which the audit operates

1.4 Determine scope commensurate with identified risks

2 Communicate with auditee regarding proposed quality audit

2.1 Determine audit history, organisational structure and culture through consultation with the auditee

2.2 Negotiate and ensure agreement with auditee, the proposed audit methods and techniques to be applied

2.3 Outline audit processes to establish sequence of audit activities, and the roles of the auditors and auditees in the process

3 Identify resources required to conduct quality audit

3.1 Identify resources required to perform the quality audit efficiently and effectively

3.2 Select audit team members on the basis of relevant expertise

3.3 Confirm availability of resources required to conduct the audit with auditee

3.4 Assign roles and responsibilities to audit team members

4 Develop and submit quality audit plan

4.1 Develop quality audit plan according to established scope and objectives

4.2 Assign timing, schedules and responsibilities for implementation of the audit plan

4.3 Develop audit priorities and ensure agreement with auditees and audit team members

4.4 Document and submit audit plan to auditee

5 Prepare audit team

5.1 Inform audit team members of their responsibilities, audit objectives and scope

5.2 Communicate audit plan and schedules to all audit team members

5.3 Discuss and clarify audit methods and techniques with audit team members

6 Review auditee documentation

6.1 Review auditee’s previous audits to establish possible impact on the conduct of the current audit

6.2 Review and check relevant organisational documents for accuracy

6.3 Resolve arising problems with auditee and relevant parties

7 Identify and prepare checklists and audit related documentation

7.1 Develop checklists to reflect audit scope and objectives

7.2 Develop or obtain documentation required for the audit

7.3 Prepare agenda for entry meeting

7.4 Include valueadding activities in audit related documentation where required

Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Determine and discuss audit objectives with the auditee, client and all other relevant parties 
Determine and discuss scope of the quality audit with the auditee, client and all other relevant parties 
Identify relevant standards that impact the environment in which the audit operates 
Determine scope commensurate with identified risks 
Determine audit history, organisational structure and culture through consultation with the auditee 
Negotiate and ensure agreement with auditee, the proposed audit methods and techniques to be applied 
Outline audit processes to establish sequence of audit activities, and the roles of the auditors and auditees in the process 
Identify resources required to perform the quality audit efficiently and effectively 
Select audit team members on the basis of relevant expertise 
Confirm availability of resources required to conduct the audit with auditee 
Assign roles and responsibilities to audit team members 
Develop quality audit plan according to established scope and objectives 
Assign timing, schedules and responsibilities for implementation of the audit plan 
Develop audit priorities and ensure agreement with auditees and audit team members 
Document and submit audit plan to auditee 
Inform audit team members of their responsibilities, audit objectives and scope 
Communicate audit plan and schedules to all audit team members 
Discuss and clarify audit methods and techniques with audit team members 
Review auditee’s previous audits to establish possible impact on the conduct of the current audit 
Review and check relevant organisational documents for accuracy 
Resolve arising problems with auditee and relevant parties 
Develop checklists to reflect audit scope and objectives 
Develop or obtain documentation required for the audit 
Prepare agenda for entry meeting 
Include valueadding activities in audit related documentation where required 

Forms

Assessment Cover Sheet

BSBAUD501 - Initiate a quality audit
Assessment task 1: [title]

Student name:

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I declare that the assessment tasks submitted for this unit are my own work.

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Result: Competent Not yet competent

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Assessor name:

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Assessment Record Sheet

BSBAUD501 - Initiate a quality audit

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: