Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners

BSBAUD402 Mapping and Delivery Guide
Participate in a quality audit

Version 1.0
Issue Date: April 2024


Qualification -
Unit of Competency BSBAUD402 - Participate in a quality audit
Description
Employability Skills
Learning Outcomes and Application This unit describes the skills and knowledge required to prepare for and participate in a quality audit as a member of a quality audit team. The types of audits may include external or internal systems audits or process or product/service audits.The process includes reviewing designated documentation; identifying and developing checklists and audit related documentation; preparing audit schedules; gathering, analysing and evaluating information; and reporting findings to the lead auditor.It applies to individuals with a broad knowledge of the quality auditing environment who analyse and evaluate information from a variety of sources to provide solutions to auditing issues, including unpredictable quality auditing problems.No licensing, legislative or certification requirements apply to this unit at the time of publication.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites
Competency Field
Development and validation strategy and guide for assessors and learners Student Learning Resources Handouts
Activities 		Slides
PPT 		Assessment 1 Assessment 2 Assessment 3 Assessment 4
Elements of Competency Performance Criteria              
Element: Review auditee documentation
  • Where applicable, review auditee’s previous quality audits to establish possible impact on the conduct of the current audit
  • Request relevant organisational documents from auditee, and review and check the adequacy of these documents
  • Amend reviewed documents, and determine and source any further documentation required
  • Resolve issues which arise with auditee and relevant parties
       
Element: Participate in developing audit schedules
  • Access or prepare appropriate checklists/tools and audit related documentation
  • Confirm schedules and required resources with auditee before beginning auditing activities
  • Anticipate possible issues and outline strategies to address these issues, should they arise
  • Ensure preparation activities and documentation correspond to the audit plan
  • In consultation with auditing team, determine appropriate methods and techniques
  • Assist lead auditor in creating entry and exit meeting agendas
       
Element: Gather and analyse information
  • Access a range of potential sources of information
  • Collect and make an initial assessment of sample documentation
  • Interview appropriate persons in relation to relevant documentation
  • Identify and report patterns, trends, interrelationships and areas of risk
  • Identify aspects of the audit that require the use of specialists and request appropriate assistance
       
Element: Evaluate information
  • Evaluate information against prescribed benchmarks
  • Form a defensible opinion as to the meeting of these benchmarks by the auditee
  • Ensure opinions are formed from and supported by available information
       
Element: Report findings
  • Formulate findings and prepare a corrective action report if discrepancies or noncompliances are detected
  • Examine results/findings against audit objectives and present to lead auditor
  • Report recommendations for improvements as applicable
       
Element: Participate in exit meeting
  • Prepare for exit meeting
  • Ensure reporting arrangements are agreed upon and documented during the meeting
  • Ensure context and consequences of audit are explained, and followup is discussed
       


Evidence Required

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.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Review auditee documentation

1.1 Where applicable, review auditee’s previous quality audits to establish possible impact on the conduct of the current audit

1.2 Request relevant organisational documents from auditee, and review and check the adequacy of these documents

1.3 Amend reviewed documents, and determine and source any further documentation required

1.4 Resolve issues which arise with auditee and relevant parties

2 Participate in developing audit schedules

2.1 Access or prepare appropriate checklists/tools and audit related documentation

2.2 Confirm schedules and required resources with auditee before beginning auditing activities

2.3 Anticipate possible issues and outline strategies to address these issues, should they arise

2.4 Ensure preparation activities and documentation correspond to the audit plan

2.5 In consultation with auditing team, determine appropriate methods and techniques

2.6 Assist lead auditor in creating entry and exit meeting agendas

3 Gather and analyse information

3.1 Access a range of potential sources of information

3.2 Collect and make an initial assessment of sample documentation

3.3 Interview appropriate persons in relation to relevant documentation

3.4 Identify and report patterns, trends, interrelationships and areas of risk

3.5 Identify aspects of the audit that require the use of specialists and request appropriate assistance

4 Evaluate information

4.1 Evaluate information against prescribed benchmarks

4.2 Form a defensible opinion as to the meeting of these benchmarks by the auditee

4.3 Ensure opinions are formed from and supported by available information

5 Report findings

5.1 Formulate findings and prepare a corrective action report if discrepancies or noncompliances are detected

5.2 Examine results/findings against audit objectives and present to lead auditor

5.3 Report recommendations for improvements as applicable

6 Participate in exit meeting

6.1 Prepare for exit meeting

6.2 Ensure reporting arrangements are agreed upon and documented during the meeting

6.3 Ensure context and consequences of audit are explained, and followup is discussed

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

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.

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Review auditee documentation

1.1 Where applicable, review auditee’s previous quality audits to establish possible impact on the conduct of the current audit

1.2 Request relevant organisational documents from auditee, and review and check the adequacy of these documents

1.3 Amend reviewed documents, and determine and source any further documentation required

1.4 Resolve issues which arise with auditee and relevant parties

2 Participate in developing audit schedules

2.1 Access or prepare appropriate checklists/tools and audit related documentation

2.2 Confirm schedules and required resources with auditee before beginning auditing activities

2.3 Anticipate possible issues and outline strategies to address these issues, should they arise

2.4 Ensure preparation activities and documentation correspond to the audit plan

2.5 In consultation with auditing team, determine appropriate methods and techniques

2.6 Assist lead auditor in creating entry and exit meeting agendas

3 Gather and analyse information

3.1 Access a range of potential sources of information

3.2 Collect and make an initial assessment of sample documentation

3.3 Interview appropriate persons in relation to relevant documentation

3.4 Identify and report patterns, trends, interrelationships and areas of risk

3.5 Identify aspects of the audit that require the use of specialists and request appropriate assistance

4 Evaluate information

4.1 Evaluate information against prescribed benchmarks

4.2 Form a defensible opinion as to the meeting of these benchmarks by the auditee

4.3 Ensure opinions are formed from and supported by available information

5 Report findings

5.1 Formulate findings and prepare a corrective action report if discrepancies or noncompliances are detected

5.2 Examine results/findings against audit objectives and present to lead auditor

5.3 Report recommendations for improvements as applicable

6 Participate in exit meeting

6.1 Prepare for exit meeting

6.2 Ensure reporting arrangements are agreed upon and documented during the meeting

6.3 Ensure context and consequences of audit are explained, and followup is discussed

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.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Where applicable, review auditee’s previous quality audits to establish possible impact on the conduct of the current audit 
Request relevant organisational documents from auditee, and review and check the adequacy of these documents 
Amend reviewed documents, and determine and source any further documentation required 
Resolve issues which arise with auditee and relevant parties 
Access or prepare appropriate checklists/tools and audit related documentation 
Confirm schedules and required resources with auditee before beginning auditing activities 
Anticipate possible issues and outline strategies to address these issues, should they arise 
Ensure preparation activities and documentation correspond to the audit plan 
In consultation with auditing team, determine appropriate methods and techniques 
Assist lead auditor in creating entry and exit meeting agendas 
Access a range of potential sources of information 
Collect and make an initial assessment of sample documentation 
Interview appropriate persons in relation to relevant documentation 
Identify and report patterns, trends, interrelationships and areas of risk 
Identify aspects of the audit that require the use of specialists and request appropriate assistance 
Evaluate information against prescribed benchmarks 
Form a defensible opinion as to the meeting of these benchmarks by the auditee 
Ensure opinions are formed from and supported by available information 
Formulate findings and prepare a corrective action report if discrepancies or noncompliances are detected 
Examine results/findings against audit objectives and present to lead auditor 
Report recommendations for improvements as applicable 
Prepare for exit meeting 
Ensure reporting arrangements are agreed upon and documented during the meeting 
Ensure context and consequences of audit are explained, and followup is discussed 

Forms

Assessment Cover Sheet

BSBAUD402 - Participate in a quality audit
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

BSBAUD402 - Participate in a quality audit

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: