Assessor Resource

BSBAUD503
Lead a quality audit

Assessment tool

Version 1.0
Issue Date: April 2024


This unit describes the skills and knowledge required to lead an audit team as it runs a quality audit. It covers conducting entry and exit meetings; identifying and gathering relevant information; managing audit team resources; and providing feedback to audit team members on their performance. The types of quality audit that may be covered by this unit include an external or internal systems audit or process or product/service audit.

It applies to individuals with a well-established theoretical knowledge base of quality auditing, who are proficient in using a wide range of specialised quality auditing and managerial techniques to carry out their own work and to supervise the quality audit team. It is relevant to audits where a lead auditor is responsible for 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 Conduct entry meeting

1.1 Organise entry meeting in advance at a mutually agreed time

1.2 Prepare agenda for audit

1.3 Confirm objectives and scope of audit at entry meeting

1.4 Confirm schedules and logistical arrangements at entry meeting

1.5 Make changes to plan, schedules and arrangements where required

2 Identify and gather information

2.1 Identify a range of potential sources of information

2.2 Interview appropriate persons

2.3 Gather relevant information and sample documentation

3 Manage audit team resources

3.1 Supervise activities of audit team members

3.2 Assess and review audit team findings in line with audit scope

3.3 Reassign team members as required

3.4 Instigate contingency actions as required

3.5 Seek and reach agreement on corrective action reports

4 Conduct exit meeting

4.1 Make preparations for exit meeting

4.2 Examine results and findings against audit objectives and present to auditee

4.3 Ensure reporting arrangements are agreed on

4.4 Explain context and consequences of audit and discuss during followup

5 Guide team members in continuously improving their performance

5.1 Provide feedback on performance to audit team members

5.2 Encourage and support audit team members to critique their own work

5.3 Provide and document advice for individual improvement

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 Conduct entry meeting

1.1 Organise entry meeting in advance at a mutually agreed time

1.2 Prepare agenda for audit

1.3 Confirm objectives and scope of audit at entry meeting

1.4 Confirm schedules and logistical arrangements at entry meeting

1.5 Make changes to plan, schedules and arrangements where required

2 Identify and gather information

2.1 Identify a range of potential sources of information

2.2 Interview appropriate persons

2.3 Gather relevant information and sample documentation

3 Manage audit team resources

3.1 Supervise activities of audit team members

3.2 Assess and review audit team findings in line with audit scope

3.3 Reassign team members as required

3.4 Instigate contingency actions as required

3.5 Seek and reach agreement on corrective action reports

4 Conduct exit meeting

4.1 Make preparations for exit meeting

4.2 Examine results and findings against audit objectives and present to auditee

4.3 Ensure reporting arrangements are agreed on

4.4 Explain context and consequences of audit and discuss during followup

5 Guide team members in continuously improving their performance

5.1 Provide feedback on performance to audit team members

5.2 Encourage and support audit team members to critique their own work

5.3 Provide and document advice for individual improvement

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
Organise entry meeting in advance at a mutually agreed time 
Prepare agenda for audit 
Confirm objectives and scope of audit at entry meeting 
Confirm schedules and logistical arrangements at entry meeting 
Make changes to plan, schedules and arrangements where required 
Identify a range of potential sources of information 
Interview appropriate persons 
Gather relevant information and sample documentation 
Supervise activities of audit team members 
Assess and review audit team findings in line with audit scope 
Reassign team members as required 
Instigate contingency actions as required 
Seek and reach agreement on corrective action reports 
Make preparations for exit meeting 
Examine results and findings against audit objectives and present to auditee 
Ensure reporting arrangements are agreed on 
Explain context and consequences of audit and discuss during followup 
Provide feedback on performance to audit team members 
Encourage and support audit team members to critique their own work 
Provide and document advice for individual improvement 

Forms

Assessment Cover Sheet

BSBAUD503 - Lead a quality audit
Assessment task 1: [title]

Student name:

Student ID:

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

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

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Date:

Assessment Record Sheet

BSBAUD503 - Lead 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: