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

BSBAUD503B Mapping and Delivery Guide
Lead a quality audit

Version 1.0
Issue Date: March 2024


Qualification -
Unit of Competency BSBAUD503B - Lead a quality audit
Description This unit describes the performance outcomes, skills and knowledge required to lead an audit team as they undertake a quality audit. It covers conducting entry and exit meetings; identifying and gathering relevant information; managing audit team resources; and providing feedback to audit team members on their performance.The types of quality audit that may be covered by this unit include an external or internal systems audit or process or product/service audit.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 with well established, sound theoretical knowledge base in quality auditing who are proficient in using a wide range of specialised quality auditing and managerial techniques to carry out their own work and to supervise the quality audit team. The unit is relevant to audits where a lead auditor is responsible for a quality audit team.
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: Conduct entry meeting
  • Organise entry meeting in advance at a mutually agreed time
  • Prepare agenda for audit
  • Confirm objectives and scope of audit at entry meeting
  • Confirm schedules and logistical arrangements at entry meeting
  • Make changes to plan, schedules and arrangements where required
       
Element: Identify and gather information
  • Identify a range of potential sources of information
  • Interview appropriate persons
  • Gather relevant information and sample documentation
       
Element: Manage audit team resources
  • Supervise activities of audit team members
  • Assess and review audit team findings in line with audit scope
  • Re-assign team members as required
  • Instigate contingency actions as required
  • Seek and reach agreement on corrective action reports
       
Element: Conduct exit meeting
  • Make preparations for exit meeting
  • Examine results and findings against audit objectives and present to auditee
  • Ensure reporting arrangements are agreed upon
  • Explain context and consequences of audit and discuss during follow-up
       
Element: Guide team members in continuously improving their performance
  • Provide feedback on performance to audit team members
  • Encourage and support audit team members to critique their own work
  • Provide and document advice for individual improvement
       


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:

demonstration of leadership and management of a quality auditing team across quality audits in a variety of contexts

management of the information gathering process by team members, and analysis, synthesis and reporting of the findings

knowledge of auditing methods and techniques.

Context of and specific resources for assessment

Assessment must ensure:

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:

analysis of information gathered in the information gathering process

review of audit plans

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

observations of application of audit techniques

observations of interactions with team members, colleagues and auditees

oral or written questioning to assess knowledge of current audit practices

review of documentation advising team members about improving their performance.

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 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, product and/or 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.

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.

Sources of information may include:

examination of internal documentation

examination of reports from external sources, for example external laboratory reports and vendor ratings

inspection of records, for example meeting minutes, reports or log books

interviews

observation of activities

Appropriate persons may include:

persons from different levels within the auditee's organisation, for example 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

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
Organise entry meeting in advance at a mutually agreed time 
Prepare agenda for audit 
Confirm objectives and scope of audit at entry meeting 
Confirm schedules and logistical arrangements at entry meeting 
Make changes to plan, schedules and arrangements where required 
Identify a range of potential sources of information 
Interview appropriate persons 
Gather relevant information and sample documentation 
Supervise activities of audit team members 
Assess and review audit team findings in line with audit scope 
Re-assign team members as required 
Instigate contingency actions as required 
Seek and reach agreement on corrective action reports 
Make preparations for exit meeting 
Examine results and findings against audit objectives and present to auditee 
Ensure reporting arrangements are agreed upon 
Explain context and consequences of audit and discuss during follow-up 
Provide feedback on performance to audit team members 
Encourage and support audit team members to critique their own work 
Provide and document advice for individual improvement 

Forms

Assessment Cover Sheet

BSBAUD503B - Lead 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

BSBAUD503B - Lead 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: