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.

ELEMENT

PERFORMANCE CRITERIA

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 non-compliances 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 follow-up is discussed

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 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.

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

Unit sector

Regulation, Licensing and Risk - Quality Auditing

This unit contains employability skills.