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

BSBAUD402B Mapping and Delivery Guide
Participate in a quality audit

Version 1.0
Issue Date: March 2024


Qualification -
Unit of Competency BSBAUD402B - Participate in a quality audit
Description This unit describes the performance outcomes, skills and knowledge required to prepare for and participate in a quality audit as a member of a quality audit team.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.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Employability Skills This unit contains employability skills.
Learning Outcomes and Application This unit applies to individuals working in a team audit environment who analyse and evaluate information from a variety of sources to provide solutions to auditing issues, including unpredictable quality auditing problems.The types of audit may include an external or internal systems audit or process or product/service audit.A broad knowledge of quality auditing is required for this unit.Leading an audit team is addressed by BSBAUD503B Lead a quality audit.
Duration and Setting X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting.
Prerequisites/co-requisites
Competency Field Regulation, Licensing and Risk - Quality Auditing
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 non-compliances 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 follow-up 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.

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:

preparation of multiple audit plans for a range of quality audits containing information on the audit schedule, proposed activities, methods, and techniques; risk analysis and proposed treatment of identified risks; entry and exit meeting agendas

participation in audits as a member of an audit team

gathering of data and information by a variety of methods

knowledge of relevant legislation and national standards

developing a comprehensive report for the exit meeting, which analyses findings and information gathered to arrive at the findings.

Context of and specific resources for assessment

Assessment must ensure:

access to an actual workplace undertaking a quality audit or a simulated workplace environment

access to workplace documentation including previous 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:

direct questioning combined with review of portfolios of evidence by third party workplace reports of on-the-job performance by the candidate

demonstration of quality auditing techniques

observations of participation in exit meetings

oral or written questioning to assess knowledge of audit preparation activities

assessment of organisational documentation reviewed for the audit

analysis of reports developed - with clear, comprehensive findings

observation of performance in role plays.

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.


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.

Required skills

communication skills to listen to clients and other audit team members and to clarify points with them as necessary

culturally appropriate communication skills to relate to people from diverse backgrounds and people with diverse 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 and time management skills to sequence tasks, meet timelines and arrange meetings

problem-solving skills to identify any issues that have the potential to impact on the auditing process or outcome and to develop options to resolve these issues when they arise

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:

AS/NZS ISO 9000:2006 Quality management systems - Fundamentals and vocabulary

AS/NZS ISO 19011:2003 Guidelines for quality and/or environmental management systems auditing

current audit practices

industry products and/or services

quality auditing principles and techniques

relevant legislation affecting business operation, including appropriate occupational health and safety, environmental, and privacy legislation

terminology relating to quality auditing.

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.

Audit plan may include:

audit requirements and/or identification of relevant quality system documentation

auditee provision of personnel for audit

confidentiality requirements

contingency actions

distribution of reports

entry meeting

exit meeting

follow-up procedures

measurement criteria

reporting procedures

resource requirements

safety of auditors

sampling techniques

scope and objectives of audit

time lines and schedules

Methods and techniques may include:

advanced management information systems

analysis

determining information flows

evaluating the effectiveness of system controls

questioning

sampling

scanning

tracing

trend analysis

Sources of information may include:

activities

internal documentation

interview results

records, such as meeting minutes, reports or log books

reports from external sources, such as external laboratory reports and vendor ratings

Appropriate persons may include:

persons from different levels within the auditee's organisation such as management, administrative personnel and work floor personnel

persons performing activities or tasks under consideration in the audit process

Sample documentation may include:

documented procedures

log books

meeting minutes

previous audit reports

reports

reports from external sources

systems specifications

test results

user requirements definitions

work instructions

Relevant documentation may include:

audit procedures

checklists

forms for documenting conformance and non-conformance evidence

forms for recording information

organisational charts

previous audit reports

quality standards

records of meetings

sampling plans defined in documented procedures or in audit plan

schedules

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 non-compliances 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 follow-up is discussed 

Forms

Assessment Cover Sheet

BSBAUD402B - 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

BSBAUD402B - 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: