Unit of competency details

BSBAUD503 - Lead a quality audit (Release 1)

Summary

Releases:
ReleaseStatusRelease date
1 1 (this release)Current 25/Mar/2015

Usage recommendation:
Current
Mapping:
MappingNotesDate
Supersedes and is equivalent to BSBAUD503B - Lead a quality auditUpdated to meet Standards for Training Packages 24/Mar/2015


Training packages that include this unit

CodeTitleSort Table listing Training packages that include this unit by the Title columnRelease
PSP - Public Sector Training PackagePublic Sector Training Package 1.0 
HLT - HealthHealth 2.0-3.1 
DEF - Defence Training PackageDefence Training Package 1.0-2.0 
BSB - Business Services Training PackageBusiness Services Training Package 1.0-2.0 
AVI - Aviation Training PackageAviation Training Package 3.0 

Classifications

SchemeCodeClassification value
ASCED Module/Unit of Competency Field of Education Identifier 080317 Quality Management  

Classification history

SchemeCodeClassification valueStart dateEnd date
ASCED Module/Unit of Competency Field of Education Identifier 080317 Quality Management  30/Jul/2015 
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Unit Of competency

Modification History

Release 

Comments 

Release 1

This version first released with BSB Business Services Training Package Version 1.0.

Application

This unit describes the skills and knowledge required to lead an audit team as it runs a quality audit. It covers conducting entry and exit meetings; identifying and gathering relevant information; managing audit team resources; and providing feedback to audit team members on their performance. The types of quality audit that may be covered by this unit include an external or internal systems audit or process or product/service audit.

It applies to individuals with a well-established theoretical knowledge base of quality auditing, who are proficient in using a wide range of specialised quality auditing and managerial techniques to carry out their own work and to supervise the quality audit team. It is relevant to audits where a lead auditor is responsible for a quality audit team.

No licensing, legislative or certification requirements apply to this unit at the time of publication.

Unit Sector

Regulation, Licensing and Risk – Quality Auditing

Elements and Performance Criteria

ELEMENT 

PERFORMANCE CRITERIA 

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1 Conduct entry meeting

1.1 Organise entry meeting in advance at a mutually agreed time

1.2 Prepare agenda for audit

1.3 Confirm objectives and scope of audit at entry meeting

1.4 Confirm schedules and logistical arrangements at entry meeting

1.5 Make changes to plan, schedules and arrangements where required

2 Identify and gather information

2.1 Identify a range of potential sources of information

2.2 Interview appropriate persons

2.3 Gather relevant information and sample documentation

3 Manage audit team resources

3.1 Supervise activities of audit team members

3.2 Assess and review audit team findings in line with audit scope

3.3 Re-assign team members as required

3.4 Instigate contingency actions as required

3.5 Seek and reach agreement on corrective action reports

4 Conduct exit meeting

4.1 Make preparations for exit meeting

4.2 Examine results and findings against audit objectives and present to auditee

4.3 Ensure reporting arrangements are agreed on

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

5 Guide team members in continuously improving their performance

5.1 Provide feedback on performance to audit team members

5.2 Encourage and support audit team members to critique their own work

5.3 Provide and document advice for individual improvement

Foundation Skills

This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.

Skill 

Performance 

Criteria 

Description 

Reading

3.2, 4.2

  • Interprets and analyses information from audit scoping materials

Writing

1.2, 1.5, 5.3

  • Develops a range of documents using relevant structure, tone and vocabulary appropriate to audience, context and purpose
  • Records or amends information and conveys details in accordance with audit objectives

Oral Communication

1.3, 1.4, 2.2, 3.5, 4.2-4.4, 5.1, 5.2, 5.3

  • Participates in spoken exchanges using clear language, tone and pace
  • Uses questioning and listening techniques to clarify requirements

Numeracy

4.2

  • Uses mathematical calculations to analyse and arrange numeric information

Interact with others

1.3, 1.4, 2.2, 3.1, 3.3, 4.2-4.4, 5.1, 5.2, 5.3

  • Selects the appropriate form, channel and mode of communication for a specific purpose relevant to own role
  • Recognises the importance of rapport in establishing and building effective working relationships
  • Collaborates with others to negotiate acceptable outcomes, playing an active role in directing and facilitating effective group interaction

Get the work done

1.1, 1.2, 1.4, 2.1, 2.3, 3.2, 3.3, 3.4, 4.1

  • Organises, plans and sequences own workload and schedules work activities of others
  • Uses a combination of formal, logical planning processes and an increasingly intuitive understanding of context to identify relevant information and evaluate appropriate strategies to achieve objectives
  • Responds to problems requiring immediate attention, drawing on past experiences to devise solutions
  • Makes a range of critical and non-critical decisions in relatively complex situations, taking a range of factors into account

Unit Mapping Information

Code and title  

current version 

Code and title 

previous version 

Comments 

Equivalence status 

BSBAUD503 Lead a quality audit

BSBAUD503B Lead a quality audit

Updated to meet Standards for Training Packages

Equivalent unit

Links

Companion Volume implementation guides are found in VETNet - https://vetnet.education.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10

 

Assessment requirements

Modification History

Release 

Comments 

Release 1

This version first released with BSB Business Services Training Package Version 1.0.

Performance Evidence

Evidence of the ability to:

  • identify all objectives, schedules and relevant information prior to commencement of audit
  • demonstrate leadership and management of a quality auditing team
  • manage the information gathering process by team members, and analysis, synthesis and reporting of the findings
  • encourage team members to continuously improve their performance through feedback and self-critique
  • use terminology relating to quality auditing in written or oral communications.

Note: If a specific volume or frequency is not stated, then evidence must be provided at least once.

Knowledge Evidence

To complete the unit requirements safely and effectively, the individual must:

  • describe quality auditing principles, methods and techniques
  • outline the requirements of auditing regulations and standards
  • identify current audit practices
  • identify software applications relevant to conducting quality auditing activities.

Assessment Conditions

Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the regulation, licensing and risk – quality auditing field of work and include access to:

  • workplace documentation including previous quality audit reports
  • checklists
  • risk management and audit plans.

Assessors must satisfy NVR/AQTF assessor requirements.

Links

Companion Volume implementation guides are found in VETNet - https://vetnet.education.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10

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