- BSBAUD503B - Lead a quality audit
Assessor Resource
BSBAUD503B
Lead a quality audit
Assessment tool
Version 1.0
Issue Date: May 2024
This unit applies to individuals with well established, sound theoretical knowledge base in 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. The unit is relevant to audits where a lead auditor is responsible for a quality audit team.
This unit describes the performance outcomes, skills and knowledge required to lead an audit team as they undertake 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.
No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)
Employability Skills
This unit contains employability skills.
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.
The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package. | |
Overview of assessment | |
Critical aspects for assessment and evidence required to demonstrate competency in this unit | Evidence of the following is essential: demonstration of leadership and management of a quality auditing team across quality audits in a variety of contexts management of the information gathering process by team members, and analysis, synthesis and reporting of the findings knowledge of auditing methods and techniques. |
Context of and specific resources for assessment | Assessment must ensure: access to workplace documentation including previous quality audit reports, checklists, risk management plans and audit plans. |
Method of assessment | A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit: analysis of information gathered in the information gathering process review of audit plans direct questioning combined with review of portfolios of evidence by third party workplace reports of on-the-job performance by the candidate observations of application of audit techniques observations of interactions with team members, colleagues and auditees oral or written questioning to assess knowledge of current audit practices review of documentation advising team members about improving their performance. |
Guidance information for assessment | Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example: other quality auditing units. |
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.
Required knowledge |
auditing codes of practice or ethics auditing methods and techniques auditing regulations and standards, including: AS/NZS ISO: 9000:2006: Quality management systems - Fundamentals and vocabulary AS/NZS ISO 19011:2003: Guidelines for quality and/or environmental management systems auditing current audit practices industry, product and/or service knowledge quality auditing principles, techniques and systems requirements of house or other style manual protocols for written communications relevant legislation affecting business operations including appropriate occupational health and safety, environmental, and privacy legislation software applications relevant to conducting quality auditing activities terminology relating to quality auditing. |
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included. | |
Sources of information may include: | examination of internal documentation examination of reports from external sources, for example external laboratory reports and vendor ratings inspection of records, for example meeting minutes, reports or log books interviews observation of activities |
Appropriate persons may include: | persons from different levels within the auditee's organisation, for example management, administrative personnel and work floor personnel persons performing activities or tasks under consideration in the audit process |
Sample documentation may include: | documented procedures log books meeting minutes previous audit reports reports reports from external sources systems specifications test results user requirements definitions work instructions |
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 | |||
Re-assign 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 upon | |||
Explain context and consequences of audit and discuss during follow-up | |||
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
BSBAUD503B - Lead a quality audit
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Assessment Record Sheet
BSBAUD503B - Lead a quality audit
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