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Evidence Guide: BSBAUD503B - Lead 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

 

BSBAUD503B - Lead a quality audit

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

Conduct entry meeting

  1. Organise entry meeting in advance at a mutually agreed time
  2. Prepare agenda for audit
  3. Confirm objectives and scope of audit at entry meeting
  4. Confirm schedules and logistical arrangements at entry meeting
  5. Make changes to plan, schedules and arrangements where required
Organise entry meeting in advance at a mutually agreed time

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare agenda for audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm objectives and scope of audit at entry meeting

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm schedules and logistical arrangements at entry meeting

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Make changes to plan, schedules and arrangements where required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and gather information

  1. Identify a range of potential sources of information
  2. Interview appropriate persons
  3. Gather relevant information and sample documentation
Identify a range of potential sources of information

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Interview appropriate persons

Completed
Date:

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Gather relevant information and sample documentation

Completed
Date:

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Manage audit team resources

  1. Supervise activities of audit team members
  2. Assess and review audit team findings in line with audit scope
  3. Re-assign team members as required
  4. Instigate contingency actions as required
  5. Seek and reach agreement on corrective action reports
Supervise activities of audit team members

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assess and review audit team findings in line with audit scope

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Re-assign team members as required

Completed
Date:

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Instigate contingency actions as required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Seek and reach agreement on corrective action reports

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Conduct exit meeting

  1. Make preparations for exit meeting
  2. Examine results and findings against audit objectives and present to auditee
  3. Ensure reporting arrangements are agreed upon
  4. Explain context and consequences of audit and discuss during follow-up
Make preparations for exit meeting

Completed
Date:

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Examine results and findings against audit objectives and present to auditee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Ensure reporting arrangements are agreed upon

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Explain context and consequences of audit and discuss during follow-up

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Guide team members in continuously improving their performance

  1. Provide feedback on performance to audit team members
  2. Encourage and support audit team members to critique their own work
  3. Provide and document advice for individual improvement
Provide feedback on performance to audit team members

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Encourage and support audit team members to critique their own work

Completed
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Provide and document advice for individual improvement

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:

demonstration of leadership and management of a quality auditing team across quality audits in a variety of contexts

management of the information gathering process by team members, and analysis, synthesis and reporting of the findings

knowledge of auditing methods and techniques.

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:

analysis of information gathered in the information gathering process

review of audit plans

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

observations of application of audit techniques

observations of interactions with team members, colleagues and auditees

oral or written questioning to assess knowledge of current audit practices

review of documentation advising team members about improving their performance.

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 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.

Sources of information may include:

examination of internal documentation

examination of reports from external sources, for example external laboratory reports and vendor ratings

inspection of records, for example meeting minutes, reports or log books

interviews

observation of activities

Appropriate persons may include:

persons from different levels within the auditee's organisation, for example management, administrative personnel and work floor personnel

persons performing activities or tasks under consideration in the audit process

Sample documentation may include:

documented procedures

log books

meeting minutes

previous audit reports

reports

reports from external sources

systems specifications

test results

user requirements definitions

work instructions