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Evidence Guide: BSBAUD511 - Initiate quality audits

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

 

BSBAUD511 - Initiate quality audits

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

Assess quality audit scope and objectives

  1. Identify standards that impact on the environment in which audit operates
  2. Determine and agree on audit objectives and scope with auditee and other required stakeholders
  3. Identify risks within scope of quality audit
Identify standards that impact on the environment in which audit operates

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine and agree on audit objectives and scope with auditee and other required stakeholders

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify risks within scope of quality audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate with auditee

  1. Consult with auditee and determine relevant information
  2. Prepare audit notifications according to organisational protocols
  3. Confirm proposed audit methods and techniques to be applied with auditee
  4. Outline audit processes and establish sequence of audit activities, and the role of the audit team and auditee
Consult with auditee and determine relevant information

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare audit notifications according to organisational protocols

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm proposed audit methods and techniques to be applied with auditee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Outline audit processes and establish sequence of audit activities, and the role of the audit team and auditee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare resources for quality audit

  1. Identify resources required to perform the quality audit
  2. Select audit team members on the basis of relevant expertise
  3. Identify resources required with auditee
Identify resources required to perform the quality audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Select audit team members on the basis of relevant expertise

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify resources required with auditee

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Develop and submit quality audit plan

  1. Develop quality audit plan according to established scope and objectives
  2. Assign roles and responsibilities to audit team members
  3. Assign timing, schedules and responsibilities for implementation of the audit plan
  4. Document and submit audit plan to auditee for approval, where required
  5. Inform audit team members of their responsibilities, audit objectives and scope
  6. Communicate audit plan and schedules to all audit team members
  7. Discuss and clarify audit methods and techniques with audit team members
Develop quality audit plan according to established scope and objectives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assign roles and responsibilities to audit team members

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document and submit audit plan to auditee for approval, where required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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. Determine auditee’s previous quality audits as relevant and establish impact on the conduct of the current audit
  2. Source organisational documentation from auditee, and check adequacy of documentation provided
  3. Review documents, and determine and source any further documentation required
Determine auditee’s previous quality audits as relevant and establish impact on the conduct of the current audit

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Source organisational documentation from auditee, and check adequacy of documentation provided

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review documents, and determine and source any further documentation required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare audit documentation

  1. Develop checklist according to audit scope and objectives
  2. Create entry and exit meeting agendas according to organisational templates
Develop checklist according to audit scope and objectives

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Create entry and exit meeting agendas according to organisational templates

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Required Skills and Knowledge

The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:

produce documented audit plans for auditees on at least two different occasions, including:

scope and objectives of the audit

proposed audit methods and techniques to be used

required resources and audit plan

allocation of individual audit team member responsibilities.

In the course of the above, the candidate must:

use terminology relating to quality auditing in communications.

The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:

auditing codes of practice and ethics

auditing methods and techniques, including audit plans and value adding activities

requirements of auditing regulations and standards

current audit practices

quality auditing principles, techniques and systems

requirements of organisational and audit style manual protocols for written communications

key features of technology required for quality auditing activities described in performance evidence.