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Elements and Performance Criteria

  1. Negotiate follow-up process with client/auditee
  2. Monitor and review audit system and activities

Required Skills

This unit specifies the outcomes required to report on the outcomes of a quality audit and to take appropriate followup action It covers compiling audit results preparing a report for the auditeeclient negotiating followup action with the auditeeclient and monitoring and reviewing auditing system and activities

Business management services

Domain

Quality auditing

Application of the Competency

The unit addresses the function performed by either an auditor having sole responsibility for the audit or a lead auditor of a team

The types of quality audit that may be covered by this standard 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

Compile audit results

Results of the evaluation of audit evidence are compared against audit objectives and criteria

Prepare report

Objective evidence relating to the need for reduction elimination and prevention of nonconformance is provided as basis for the audit report

The audit report is produced according to specified audit requirements

The audit report is presented to auditee and other stakeholders

Negotiate followup process with clientauditee

Determination and initiation of any corrective action required to deal with nonconformance is conducted in consultation with auditee

Suggestions for improvements are provided where applicable

Timelines are agreed upon for completion of corrective action activities

Corrective action followup procedures are agreed with auditee

Monitor and review audit system and activities

Effectiveness and suitability in achieving audit objectives is evaluated

Possible improvements in audit methods economy and efficiency are investigated

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 completed and presented a number of audit reports to auditeesclients and stakeholders and negotiated required followup actions with the auditeeclient

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 andorEnvironmental Management Systems Auditing

• codes of practice, regulations and standards, for example ISO 9000:2000: Quality Management Systems – Fundamentals and Vocabulary, ISO19011 :2003: Guidelines for Quality and/orEnvironmental Management Systems Auditing

product andor service knowledge

quality principles and techniques

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

report development

communication skills interpersonal listening and questioning techniques

team work

problemsolving

organisational and planning skills

presentation 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 report and negotiate with clientauditee

communicating in writing to document findings and followup actions as required

Collecting analysing and organising information

determining required followup actions to be taken from outcomes of audits

Planning and organising activities

planning and organising followup actions with auditeeclient

Working in a team

working with auditeeclient and audit team involved in audits

Using mathematical ideas and techniques

not applicable

Solving problems

not applicable

Using technology

using word processing software to produce required documentation

using assistive technology if required

Innovation skills

skills associated with introducing improvements to auditing system as a result of review process

Products that could be used as evidence include

completed reports detailing required followup actions

notes made in preparing reports

correspondence with auditeeclient and audit team in relation to followup actions and reporting process

action plans developed after negotiation with auditeeclient

Processes that could be used as evidence include

how followup actions were determined from outcomes of audit

how followup actions were negotiated

how agreement was reached on followup action plans

how audit system and activities were reviewed

Resource implications for assessment include

access to relevant audit reports and followup action plans

access to feedback from auditees and other stakeholders

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 participation in followup actions and reporting of audit outcomes 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


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

Results may include:

• objective evidence of conformance

• objective evidence of non-conformance relating to organisational processes, systems, activities, products and/or services

• examination and evaluation of controls associated with systems, activities and processes

• corrective actions to reduce, eliminate and prevent non-conformance

• means of improving processes, systems, products and business results

The audit report may include:

• the agreed objectives and scope of the audit

• specified audit requirements

• timeframe in which the audit was conducted

• identification of the auditee’s representatives

• identification of audit team members

• outline of the auditing process, including obstacles encountered

• information on confidentiality

• audit results

• distribution list for the audit report

• follow-up required

• retention of auditing records, including work documents

Improvements in audit methods can be investigated by:

• overall evaluation of the methods and effectiveness of the audit organisation

• evaluation of auditor performance

• review of the audit reporting process and records

• examination of complaints, appeals and other feedback received from auditee

• assessment of the audit results

• evaluation of the effect of the quality audit outcomes on the auditee’s activities, products and/or services

• examination of mechanisms by which consistency of audits is achieved.