Modification History
Not applicable.
Unit Descriptor
Unit descriptor |
This unit describes the performance outcomes, skills and knowledge required to initiate and organise a quality audit with an auditee. It covers assessing the scope and objectives of a quality audit; communicating with the auditee regarding the proposed quality audit; identifying resources required to conduct the audit; and developing and submitting a quality audit plan. The types of audit may include an external or internal systems audit or process or product/service audit. No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement. |
Application of the Unit
Application of the unit |
This unit applies to individuals with well established, sound theoretical knowledge base in quality auditing who are proficient in using a wide range of specialised quality auditing and managerial techniques to plan, carry out and evaluate a quality audit, their own work and that of others working under their direct supervision in a quality audit team. |
Licensing/Regulatory Information
Not applicable.
Pre-Requisites
Prerequisite units |
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Employability Skills Information
Employability skills |
This unit contains employability skills. |
Elements and Performance Criteria Pre-Content
Elements describe the essential outcomes of a unit of competency. |
Performance criteria describe the performance needed to demonstrate achievement of the element. Where bold italicised text is used, further information is detailed in the required skills and knowledge section and the range statement. Assessment of performance is to be consistent with the evidence guide. |
Elements and Performance Criteria
ELEMENT |
PERFORMANCE CRITERIA |
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 on 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 value-adding activities in audit related documentation where required |
Required Skills and Knowledge
REQUIRED SKILLS AND KNOWLEDGE |
This section describes the skills and knowledge required for this unit. |
Required skills |
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Required knowledge |
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Evidence Guide
EVIDENCE GUIDE |
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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. |
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Overview of assessment |
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Critical aspects for assessment and evidence required to demonstrate competency in this unit |
Evidence of the following is essential:
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Context of and specific resources for assessment |
Assessment must ensure:
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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:
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Guidance information for assessment |
Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:
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Range Statement
RANGE STATEMENT |
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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. |
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Audit objectives may include: |
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Scope may include: |
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Relevant standards may include: |
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Audit methods and techniques may include: |
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Resources may include: |
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Quality audit plan may include: |
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Unit Sector(s)
Unit sector |
Competency field
Competency field |
Regulation, Licensing and Risk - Quality Auditing |
Co-requisite units
Co-requisite units |
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