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Evidence Guide: BSBAUD501B - 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

 

BSBAUD501B - 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 on 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 on 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 value-adding 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 value-adding activities in audit related documentation where required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

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.

Required Skills and Knowledge

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.

Range Statement

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