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Elements and Performance Criteria

1. Assess the quality audit scope and objectives
   • Audit objectives are determined and discussed with the auditee, client and all other relevant parties
   • Scope of the quality audit is determined and discussed with the auditee, client and all other relevant parties
   • Relevant standards that impact on the environment in which the audit operates are identified
   • Scope is determined commensurate with identified risks
2. Communicate with auditee regarding proposed quality audit
   • Audit history, organisational structure and culture are determined through consultation with the auditee
   • Proposed audit methods and techniques to be applied are negotiated and agreed with the auditee
   • Audit processes are outlined to establish sequence of audit activities, and the roles of the auditors and auditees in the process
3. Identify resources required to conduct the quality audit
   • Resources required to perform the quality audit efficiently and effectively are identified
   • Availability of resources required to conduct the audit is confirmed with auditee
4. Develop and submit a quality audit plan
   • Quality audit plan is developed according to established scope and objectives
   • Timing, schedules and responsibilities are assigned for implementation of the audit plan
   • Audit priorities are developed and agreed with auditees and audit team members
   • Audit plan is documented and submitted to auditee

Required Skills

	This unit specifies the outcomes 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
	Business management services
Domain	Quality auditing
Application of the Competency	A quality audit is a systematic and objective examination and comparison of activities and their results with specified requirements and the determination about whether these are effective in meeting objectives The types of audit may include an external or internal systems audit or process or productservice audit

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
Assess the quality audit scope and objectives	Audit objectives are determined and discussed with the auditee client and all other relevant parties Scope of the quality audit is determined and discussed with the auditee client and all other relevant parties Relevant standards that impact on the environment in which the audit operates are identified Scope is determined commensurate with identified risks
Communicate with auditee regarding proposed quality audit	Audit history organisational structure and culture are determined through consultation with the auditee Proposed audit methods and techniques to be applied are negotiated and agreed with the auditee Audit processes are outlined to establish sequence of audit activities and the roles of the auditors and auditees in the process
Identify resources required to conduct the quality audit	Resources required to perform the quality audit efficiently and effectively are identified Availability of resources required to conduct the audit is confirmed with auditee
Develop and submit a quality audit plan	Quality audit plan is developed according to established scope and objectives Timing schedules and responsibilities are assigned for implementation of the audit plan Audit priorities are developed and agreed with auditees and audit team members Audit plan is documented and submitted to auditee

Evidence Required

The Evidence Guide provides advice to inform and support appropriate assessment of this unit It contains an overview of the assessment requirements followed by identification of specific aspects of evidence that will need to be addressed in determining competence The Evidence Guide is an integral part of the unit and should be read and interpreted in conjunction with the other components of competency

Assessment must reflect the endorsed Assessment Guidelines of the parent Training Package

Overview of Assessment Requirements

A person who demonstrates competence in this unit must be able to provide evidence that they have planned a number of quality audits with auditees and submitted audit plans for approval and actioning The documented audit plans will include the scope and objectives of the audit audit methods and techniques required resources and schedules and responsibilities for conducting the proposed audit

Specific Evidence Requirements

Required knowledge and understanding include	legal issues and terminology relating to quality auditing audit methods and techniques 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 communication skills interpersonal listening and 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 associated with the audit 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 auditee other auditors and managers to gain approval for audit plan
Using mathematical ideas and techniques	applying basic numerical and mathematical calculation skills to auditing processes
Solving problems	not applicable
Using technology	using word processing software to document audit plan using assistive technology if required
Innovation skills	identifying improvements to performance of auditee or area being audited through the process of initiating the audit
Products that could be used as evidence include	completed audit plan with schedules scope objectives and responsibilities notes made in preparing the audit plan lists of required resources for audit
Processes that could be used as evidence include	how scope and objectives of audits were determined how audit methods and techniques were negotiated and agreed to with auditee how required resources for audit were determined how audit plan was negotiated and agreement gained for plan
Resource implications for assessment included	access to workplace documentation access to auditees feedback on how audit plans were developed
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 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

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Range Statement

The Range Statement adds definition to the unit by elaborating critical or significant aspects of the performance requirements of the unit. The Range Statement establishes the range of indicative meanings or applications of these requirements in different operating contexts and conditions. The specific aspects which require elaboration are identified by the use of italics in the Performance Criteria.

Legislation, codes and national standards relevant to the workplace which may include:	• award and enterprise agreements and relevant industrial instruments • relevant legislation from all levels of government that affects business operation, especially in regard to Occupational Health and Safety and environmental issues, equal opportunity, industrial relations and anti-discrimination • relevant industry codes of practice
Audit objectives may include:	• evaluation of level of compliance of auditee’s activities, systems, processes, products or services with the quality system’s objectives • compliance with contractual and/or legislative requirements • measuring performance in achieving quality objectives and confirming the effectiveness of the implemented quality system in meeting specified objectives • identifying areas of potential improvement • evaluation of follow-up corrective action since previous audit
Scope may include:	• depth and focus of audit • sites • industry specific issues, for example seasonal factors • standards to be applied • products, services, processes and/or activities to be audited • legal and regulatory issues • organisational customs and protocols
Relevant standards may include:	• relevant legislation • regulations • professional standards • industry standards
Audit methods and techniques may include:	• analysis • sampling • scanning • determining information flows • evaluating the effectiveness of system controls • questioning • tracing • trend analysis
Resources may include:	• number of auditors required • experience and technical expertise of auditors • time • facilities • travel and accommodation • auditee-provided resources • reference materials • financial requirements
The quality audit plan may be as comprehensive as necessary, and include:	• entry meeting • roles and responsibilities of auditors • timelines and schedules • scope and objectives of audit • audit requirements and/or identification of relevant quality system documentation • resource requirements • contingency actions • sampling techniques • auditee provision of personnel for audit • safety of auditors • measurement criteria • reporting procedures • distribution of reports • exit interview • follow-up procedures • confidentiality requirements

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