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Evidence Guide: BSBAUD402 - Participate in a quality audit

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

BSBAUD402 - Participate in a quality audit

What evidence can you provide to prove your understanding of each of the following citeria?

Review auditee documentation

  1. Where applicable, review auditee’s previous quality audits to establish possible impact on the conduct of the current audit
  2. Request relevant organisational documents from auditee, and review and check the adequacy of these documents
  3. Amend reviewed documents, and determine and source any further documentation required
  4. Resolve issues which arise with auditee and relevant parties
Where applicable, review auditee’s previous quality audits to establish possible impact on the conduct of the current audit

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Request relevant organisational documents from auditee, and review and check the adequacy of these documents

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Amend reviewed documents, and determine and source any further documentation required

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Resolve issues which arise with auditee and relevant parties

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Participate in developing audit schedules

  1. Access or prepare appropriate checklists/tools and audit related documentation
  2. Confirm schedules and required resources with auditee before beginning auditing activities
  3. Anticipate possible issues and outline strategies to address these issues, should they arise
  4. Ensure preparation activities and documentation correspond to the audit plan
  5. In consultation with auditing team, determine appropriate methods and techniques
  6. Assist lead auditor in creating entry and exit meeting agendas
Access or prepare appropriate checklists/tools and audit related documentation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Confirm schedules and required resources with auditee before beginning auditing activities

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Anticipate possible issues and outline strategies to address these issues, should they arise

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Ensure preparation activities and documentation correspond to the audit plan

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

In consultation with auditing team, determine appropriate methods and techniques

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assist lead auditor in creating entry and exit meeting agendas

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Gather and analyse information

  1. Access a range of potential sources of information
  2. Collect and make an initial assessment of sample documentation
  3. Interview appropriate persons in relation to relevant documentation
  4. Identify and report patterns, trends, interrelationships and areas of risk
  5. Identify aspects of the audit that require the use of specialists and request appropriate assistance
Access a range of potential sources of information

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Collect and make an initial assessment of sample documentation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Interview appropriate persons in relation to relevant documentation

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Identify and report patterns, trends, interrelationships and areas of risk

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Identify aspects of the audit that require the use of specialists and request appropriate assistance

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Evaluate information

  1. Evaluate information against prescribed benchmarks
  2. Form a defensible opinion as to the meeting of these benchmarks by the auditee
  3. Ensure opinions are formed from and supported by available information
Evaluate information against prescribed benchmarks

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Form a defensible opinion as to the meeting of these benchmarks by the auditee

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Ensure opinions are formed from and supported by available information

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Report findings

  1. Formulate findings and prepare a corrective action report if discrepancies or noncompliances are detected
  2. Examine results/findings against audit objectives and present to lead auditor
  3. Report recommendations for improvements as applicable
Formulate findings and prepare a corrective action report if discrepancies or noncompliances are detected

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Examine results/findings against audit objectives and present to lead auditor

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Report recommendations for improvements as applicable

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Participate in exit meeting

  1. Prepare for exit meeting
  2. Ensure reporting arrangements are agreed upon and documented during the meeting
  3. Ensure context and consequences of audit are explained, and followup is discussed
Prepare for exit meeting

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Ensure reporting arrangements are agreed upon and documented during the meeting

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Ensure context and consequences of audit are explained, and followup is discussed

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

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

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 noncompliances 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 followup is discussed

Required Skills and Knowledge

ELEMENT

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

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

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 noncompliances 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 followup is discussed