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 plan, carry out and evaluate a quality audit, their own work and that of others working under their direct supervision in a quality audit team.

ELEMENT

PERFORMANCE CRITERIA

1. Assess quality audit scope and objectives

1.1. Determine and discuss audit objectives with the auditee, client and all other relevant parties

1.2. Determine and discuss scope of the quality audit with the auditee, client and all other relevant parties

1.3. Identify relevant standards that impact on the environment in which the audit operates

1.4. Determine scope commensurate with identified risks

2. Communicate with auditee regarding proposed quality audit

2.1. Determine audit history, organisational structure and culture through consultation with the auditee

2.2. Negotiate and ensure agreement with auditee, the proposed audit methods and techniques to be applied

2.3. Outline audit processes to establish sequence of audit activities, and the roles of the auditors and auditees in the process

3. Identify resources required to conduct quality audit

3.1. Identify resources required to perform the quality audit efficiently and effectively

3.2. Select audit team members on the basis of relevant expertise

3.3. Confirm availability of resources required to conduct the audit with auditee

3.4. Assign roles and responsibilities to audit team members

4. Develop and submit quality audit plan

4.1. Develop quality audit plan according to established scope and objectives

4.2. Assign timing, schedules and responsibilities for implementation of the audit plan

4.3. Develop audit priorities and ensure agreement with auditees and audit team members

4.4. Document and submit audit plan to auditee

5. Prepare audit team

5.1. Inform audit team members of their responsibilities, audit objectives and scope

5.2. Communicate audit plan and schedules to all audit team members

5.3. Discuss and clarify audit methods and techniques with audit team members

6. Review auditee documentation

6.1. Review auditee's previous audits to establish possible impact on the conduct of the current audit

6.2. Review and check relevant organisational documents for accuracy

6.3. Resolve arising problems with auditee and relevant parties

7. Identify and prepare checklists and audit related documentation

7.1. Develop checklists to reflect audit scope and objectives

7.2. Develop or obtain documentation required for the audit

7.3. Prepare agenda for entry meeting

7.4. Include value-adding activities in audit related documentation where required

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

problem-solving skills to overcome any issues which may potentially affect the auditing process or outcome

teamwork skills

technology skills to use 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, 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 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:

documented audit plans for auditees across a variety of contexts including the scope and objectives of the audit, proposed audit methods and techniques to be used, required resources and schedules, and allocation of individual audit team member responsibilities for conducting the proposed audit

knowledge of relevant legislation, national standards and compliance issues.

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:

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

review quality auditing documentation

demonstration of quality auditing techniques in a workplace

observations of interactions with team members and colleagues

observations of presentations of audit plans

oral or written questioning to assess knowledge of auditing codes of practice or ethics

assessment of audit plan.

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 objectives may include:

compliance with contractual and/or legislative requirements

evaluation of follow-up corrective action since previous audit

evaluation of level of compliance of auditee's activities, systems, processes, products or services with quality system's objectives

identifying areas of potential improvement

measuring performance in achieving quality objectives and confirming the effectiveness of the implemented quality system in meeting specified objectives

Scope may include:

depth and focus of audit

industry specific issues, for example seasonal factors

legal and regulatory issues

organisational customs and protocols

products, services, processes and/or activities to be audited

sites

standards to be applied

Relevant standards may include:

industry standards

professional standards

regulations

relevant legislation

Audit methods and techniques may include:

analysis

determining information flows

evaluating the effectiveness of system controls

questioning

sampling

scanning

tracing

trend analysis

Resources may include:

auditee-provided resources

experience and technical expertise of auditors

facilities

financial requirements

number of auditors required

reference materials

time

travel and accommodation

Quality 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 interview

follow-up procedures

measurement criteria

reporting procedures

resource requirements

roles and responsibilities of auditors

safety of auditors

sampling techniques

scope and objectives of audit

time lines and schedules

Unit sector

Regulation, Licensing and Risk - Quality Auditing

This unit contains employability skills.