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Evidence Guide: BSBAUD501 - Initiate 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

 

BSBAUD501 - Initiate a quality audit

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

Assess quality audit scope and objectives

  1. Determine and discuss audit objectives with the auditee, client and all other relevant parties
  2. Determine and discuss scope of the quality audit with the auditee, client and all other relevant parties
  3. Identify relevant standards that impact the environment in which the audit operates
  4. Determine scope commensurate with identified risks
Determine and discuss audit objectives with the auditee, client and all other relevant parties

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify relevant standards that impact the environment in which the audit operates

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine scope commensurate with identified risks

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate with auditee regarding proposed quality audit

  1. Determine audit history, organisational structure and culture through consultation with the auditee
  2. Negotiate and ensure agreement with auditee, the proposed audit methods and techniques to be applied
  3. Outline audit processes to establish sequence of audit activities, and the roles of the auditors and auditees in the process
Determine audit history, organisational structure and culture through consultation with the auditee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify resources required to conduct quality audit

  1. Identify resources required to perform the quality audit efficiently and effectively
  2. Select audit team members on the basis of relevant expertise
  3. Confirm availability of resources required to conduct the audit with auditee
  4. Assign roles and responsibilities to audit team members
Identify resources required to perform the quality audit efficiently and effectively

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Select audit team members on the basis of relevant expertise

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm availability of resources required to conduct the audit with auditee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assign roles and responsibilities to audit team members

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop and submit quality audit plan

  1. Develop quality audit plan according to established scope and objectives
  2. Assign timing, schedules and responsibilities for implementation of the audit plan
  3. Develop audit priorities and ensure agreement with auditees and audit team members
  4. Document and submit audit plan to auditee
Develop quality audit plan according to established scope and objectives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document and submit audit plan to auditee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare audit team

  1. Inform audit team members of their responsibilities, audit objectives and scope
  2. Communicate audit plan and schedules to all audit team members
  3. Discuss and clarify audit methods and techniques with audit team members
Inform audit team members of their responsibilities, audit objectives and scope

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate audit plan and schedules to all audit team members

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Discuss and clarify audit methods and techniques with audit team members

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review auditee documentation

  1. Review auditee’s previous audits to establish possible impact on the conduct of the current audit
  2. Review and check relevant organisational documents for accuracy
  3. Resolve arising problems with auditee and relevant parties
Review auditee’s previous audits to establish possible impact on the conduct of the current audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review and check relevant organisational documents for accuracy

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Resolve arising problems with auditee and relevant parties

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and prepare checklists and audit related documentation

  1. Develop checklists to reflect audit scope and objectives
  2. Develop or obtain documentation required for the audit
  3. Prepare agenda for entry meeting
  4. Include valueadding activities in audit related documentation where required
Develop checklists to reflect audit scope and objectives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop or obtain documentation required for the audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare agenda for entry meeting

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Include valueadding activities in audit related documentation where required

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 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 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 valueadding activities in audit related documentation where required

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 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 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 valueadding activities in audit related documentation where required