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Elements and Performance Criteria

1. Compile audit results
   • Compare results of audit evaluation against audit objectives and criteria
   • Analyse audit results
2. Prepare report
   • 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
3. Negotiate follow up process with auditee
   • 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
4. Monitor and review audit system and activities
   • Evaluate effectiveness and suitability in achieving audit objectives
   • Investigate possible improvements in audit methods, economy and efficiency

Required Skills

Required skills

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 problemsolving skills to overcome any issues which may potentially affect the auditing process or outcome teamwork skills technology skills to use a range of equipment required to conduct quality auditing activities

Required knowledge

auditing codes of practice or ethics auditing methods and techniques auditing regulations and standards including ASNZS ISO Quality management systems Fundamentals and vocabulary ASNZS ISO Guidelines for quality andor environmental management systems auditing current audit practices industry product andor 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

Evidence Required

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 auditeesclients and stakeholders negotiations for followup actions with auditeesclients 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 nonconformance review of audit reports direct questioning combined with review of portfolios of evidence by third party workplace reports of onthejob 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 followup 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

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Range Statement

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 audit results distribution list for the audit report follow-up required 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

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