BSBAUD504
Report on a quality audit


Application

This unit describes the skills and knowledge required to report on the outcomes of a quality audit and to take appropriate follow up action. It covers compiling audit results; preparing a report for the auditee/client; negotiating follow up action with the auditee/client; and monitoring and reviewing the auditing system and activities. 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.

It applies to individuals with a well-established 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. It addresses the function performed by either an auditor having sole responsibility for the audit or a lead auditor of a quality audit team.

No licensing, legislative or certification requirements apply to this unit at the time of publication.


Elements and Performance Criteria

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

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

1 Compile audit results

1.1 Compare results of the audit evaluation against audit objectives and criteria plan

1.2 Analyse audit results

2 Prepare report

2.1 Provide objective evidence relating to the need for reduction, elimination and prevention of nonconformance as the basis for the audit report

2.2 Produce audit report according to specified audit requirements

2.3 Present audit report to auditee and other stakeholders

3 Negotiate follow up process with auditee

3.1 Determine and initiate any corrective action required to deal with nonconformance, in consultation with auditee

3.2 Provide suggestions for improvements where applicable

3.3 Ensure timelines are agreed on for completion of corrective action activities

3.4 Ensure corrective action follow-up procedures are agreed with auditee

4 Monitor and review audit system and activities

4.1 Evaluate effectiveness and suitability in achieving audit objectives

4.2 Investigate possible improvements in audit methods, economy and efficiency

Foundation Skills

This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.

Skill

Performance

Criteria

Description

Reading

1.1, 1.2, 4.1

Interprets and analyses information from a complex range of organisational documentation

Writing

2.1, 2.2, 4.1

Develops a variety of complex documents using relevant structure, tone and vocabulary appropriate to audience, context and purpose

Oral Communication

2.3, 3.1-3.4

Participates in spoken exchanges using clear language, tone and pace

Uses questioning and listening techniques to clarify understanding

Numeracy

1.1, 1.2, 3.3, 4.2

Collects, represents, summarises and interprets a range of statistical data

Performs calculations required to measure output against timeframes

Navigate the world of work

2.2

Monitors adherence to organisational policies and procedures

Considers own role in terms of its contribution to broader goals of the work environment

Interact with others

2.3, 3.1-3.4

Selects the appropriate form, channel and mode of communication for a specific purpose relevant to own role

Collaborates with others to negotiate joint outcomes, playing an active role in facilitating team understanding

Get the work done

1.1, 1.2, 3.1, 4.1, 4.2

Organises, plans and sequences own workload according to timelines and organisational requirements

Makes a range of critical and non-critical decisions in relatively complex situations, taking a range of factors into account

Analyses outcomes of decisions to identify opportunities for improvement

Recognises a range of familiar problems, their symptoms and causes, actively looking for suitable corrective actions


Sectors

Regulation, Licensing and Risk – Quality Auditing