- BSBAUD504B - Report on a quality audit
Report on a quality audit
Issue Date: November 2018
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 addresses the function performed by either an auditor having sole responsibility for the audit or a lead auditor of a quality audit team.
This unit describes the performance outcomes, skills and knowledge required to report on the outcomes of a quality audit and to take appropriate follow up action. It covers compiling audit results; preparing a report for the auditee/client; negotiating follow up action with the auditee/client; and monitoring and reviewing auditing system and activities.
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)
This unit contains employability skills.
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:
completion and presentation of audit reports to auditees/clients and stakeholders
negotiations for follow-up actions with auditees/clients
knowledge of auditing regulations and standards.
Context of and specific resources for assessment
Assessment must ensure:
access to workplace documentation including 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 objective evidence provided in relation to the need for reduction, elimination and prevention of non-conformance
review of audit reports
direct questioning combined with review of portfolios of evidence by third party workplace reports of on-the-job performance by the candidate
analysis of documentation outlining possible improvements in audit methods
observations of interactions with team members, colleagues and auditees
observations of presentations of audit reports to auditees and their organisation
oral or written questioning to assess knowledge of audit report contents
review of corrective action follow-up procedures agreed with auditee.
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.
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)
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.
communication skills to listen to and question, clients and other audit team members
culturally appropriate communication skills to relate to people from diverse backgrounds and abilities
interpersonal skills to establish rapport with clients and to liaise with other audit team members
literacy skills to read, write, edit and proofread documents to ensure clarity of meaning, accuracy and consistency of information
organisational, planning and time management skills to sequence tasks, meet time lines, conduct inspections and arrange meetings
problem-solving skills to overcome any issues which may potentially affect the auditing process or outcome
technology skills to use a range of equipment required to conduct quality auditing activities.
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.
Results may include:
corrective actions to reduce, eliminate and prevent non-conformance
examination and evaluation of controls associated with systems, activities and processes
means of improving processes, systems, products and business results
objective evidence of conformance
objective evidence of non-conformance relating to organisational processes, systems, activities, products and/or services
Audit report may include:
agreed objectives and scope of audit
distribution list for the audit report
identification of audit team members
identification of the auditee's representatives
information on confidentiality
outline of the auditing process, including obstacles encountered
retention of auditing records, including work documents
specified audit requirements
timeframe in which audit was conducted
Improvements in audit methods may include:
assessment of audit results
evaluation of auditor performance
evaluation of the effect of the quality audit outcomes on the auditee's activities, products and/or services
examination of complaints, appeals and other feedback received from auditee
examination of mechanisms by which consistency of audits is achieved
overall evaluation of the methods and effectiveness of the audit organisation
review of the audit reporting process and records
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.
|Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice||Yes||No||Comments/feedback|
|Compare results of audit evaluation against audit objectives and criteria|
|Analyse audit results|
|Provide objective evidence relating to the need for reduction, elimination and prevention of non-conformance as the basis for the audit report|
|Produce audit report according to specified audit requirements|
|Present audit report to auditee and other stakeholders|
|Determine and initiate any corrective action required to deal with non-conformance, in consultation with auditee|
|Provide suggestions for improvements where applicable|
|Ensure time lines are agreed upon for completion of corrective action activities|
|Ensure corrective action follow-up procedures are agreed with auditee|
|Evaluate effectiveness and suitability in achieving audit objectives|
|Investigate possible improvements in audit methods, economy and efficiency|
Assessment Cover Sheet
BSBAUD504B - Report on a quality audit
Assessment task 1: [title]
I declare that the assessment tasks submitted for this unit are my own work.
Result: Competent Not yet competent
Feedback to student
Assessment Record Sheet
BSBAUD504B - Report on a quality audit
Assessment task 1: [title] Result: Competent Not yet competent
(add lines for each task)
Feedback to student:
Overall assessment result: Competent Not yet competent