This unit specifies the outcomes required to prepare for the conduct of a quality audit within a quality audit team by reviewing identifying and developing specific components of the audit plan

Business management services

Domain

Quality auditing

Application of the Competency

This unit addresses reviewing documentation identifying and preparing checklists and audit related documentation and preparing audit schedules through the lead auditor

The types of audit may include an external or internal systems audit or process or productservice audit Preparation for an audit as a sole auditor is addressed by BSBAUDA Initiate a quality audit This unit BSBAUDA is relevant to preparing for an audit where the audit is undertaken by an audit team

The types of audit may include an external or internal systems audit or process or product/service audit. Preparation for an audit as a sole auditor is addressed by BSBAUD501A Initiate a quality audit. This unit (BSBAUD401A ) is relevant to preparing for an audit where the audit is undertaken by an audit team.

Element

Performance Criteria

Elements define the critical outcomes of a unit of competency.

The Performance Criteria specify the level of performance required to demonstrate achievement of the Element Italicised terms are elaborated in the Range Statement

Review auditee documentation

Auditees previous quality audits are reviewed to establish possible impact on the conduct of the current audit

Relevant organisational documents are reviewed and checked for adequacy

Issues which arise are resolved with auditee and relevant parties

Identify and prepare checklists and audit related documentation

Appropriate checklists are developed to reflect scope and objectives of the quality audit

Potential risks are identified and contingency plans developed

Specific work documents required for quality audit are developed or obtained as required

Valueadding activities are included in audit related documentation where required

Develop audit schedules through the lead auditor

Schedules and required resources are confirmed with auditee before auditing activities begin

Preparation activities and documentation are checked to ensure they correspond with the audit plan

Approval is sought and received for quality audit plan activities methods and techniques and relevant documentation from auditee through lead auditor

Entry and exit meeting agendas are prepared

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 Quality Management Systems Fundamentals and Vocabulary ISO Guidelines for Quality andor Environmental Management Systems Auditing

product andor 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

problemsolving

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 represents the competence to undertake tasks effectively

Level represents the competence to manage tasks

Level 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

communicating verbally to negotiate and consult with auditee and other relevant parties

communicating in writing to meet documentation requirements

Collecting analysing and organising information

gathering information and tools

analysing available methods to inform audit

Planning and organising activities

planning audit schedule and activities with auditee

Working in a team

working with team leader and auditing team and personnel in area to be audited

Using mathematical ideas and techniques

applying basic numerical and mathematical calculation skills to auditing processes

Solving problems

applying problemsolving skills to risk analysis and treatment

applying problemsolving skills to issues arising with auditee and relevant parties

Using technology

using word processing software to produce required documentation for audits

using assistive technology if required

Innovation skills

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