Unit of competency details

BSBAUD501 - Initiate a quality audit (Release 1)


Usage recommendation:
Supersedes and is equivalent to BSBAUD501B - Initiate a quality auditUpdated to meet Standards for Training Packages 24/Mar/2015

Release Status:
ReleaseRelease date
1 1 (this release) 25/Mar/2015

Training packages that include this unit

CodeTitleSort Table listing Training packages that include this unit by the Title columnRelease
PPM - Pulp & Paper Manufacturing Industry Training PackagePulp & Paper Manufacturing Industry Training Package 2.0 
FWP - Forest and Wood Products Training PackageForest and Wood Products Training Package 1.0-5.0 
FBP - Food, Beverage and PharmaceuticalFood, Beverage and Pharmaceutical 2.0-3.0 
DEF - Defence Training PackageDefence Training Package 1.0-2.3 
CPP - Property Services Training PackageProperty Services Training Package 9.0-10.3 
BSB - Business Services Training PackageBusiness Services Training Package 1.0-6.1 
AVI - Aviation Training PackageAviation Training Package 1.0-5.0 

Qualifications that include this unit

PPM50116 - Diploma of Pulp and Paper Process ManagementDiploma of Pulp and Paper Process Management1-2 
FWP60116 - Advanced Diploma of Forest Industry SustainabilityAdvanced Diploma of Forest Industry Sustainability1-2 
FWP50316 - Diploma of Timber Truss and Frame DesignDiploma of Timber Truss and Frame Design1-2 
FWP50216 - Diploma of Timber Truss and Frame ManufactureDiploma of Timber Truss and Frame Manufacture1-2 
FWP50116 - Diploma of Forest and Forest ProductsDiploma of Forest and Forest Products1-3 
FBP50218 - Diploma of Food Safety AuditingDiploma of Food Safety Auditing
DEF55115 - Diploma of Range ManagementDiploma of Range Management
DEF52115 - Diploma of Explosive OrdnanceDiploma of Explosive Ordnance
DEF50717 - Diploma of Range Control and ManagementDiploma of Range Control and Management
DEF50617 - Diploma of Preventive HealthDiploma of Preventive Health
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Accredited courses that have this unit in the completion mapping


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 1

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


This unit describes the 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 audits may include external or internal systems audits or process or product/service audits.

It applies to individuals with a well-established 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. Individuals also supervise and monitor the processes and outcomes of others working in 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



Elements describe the essential outcomes.

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

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 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

Foundation Skills

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






1.3, 4.1, 6.1, 6.2, 7.1

  • Interprets and analyses information from organisational documentation


4.1-4.4, 6.2, 7.1-7.4

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

Oral Communication

1.1, 1.2, 2.1-2.3, 4.3, 5.1-5.3, 6.3

  • Participates in spoken exchanges using structure and language to suit the audience
  • Uses questioning and listening techniques to clarify requirements



  • Uses mathematical calculations for project scheduling

Navigate the world of work


  • Monitors adherence to organisational policies and relevant standards and considers own role in terms of its contribution to broader goals of the work environment

Interact with others

1.1, 1.2, 2.1, 2.2, 3.4, 4.4, 5.1, 5.2

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

Get the work done

1.1, 1.2, 1.4, 2.1, 2.3, 3.1, 3.2, 4.1, 4.2, 4.3, 6.1, 6.3

  • Organises, plans and sequences own workload and schedules work activities of others
  • Uses analytical processes to decide on a course of action, establishing criteria for deciding between options and seeking advice from others before taking action when necessary
  • Addresses some unfamiliar problems of increasing complexity within own scope, recognising when to seek the expertise of others

Unit Mapping Information

Code and title  

current version 

Code and title 

previous version 


Equivalence status 

BSBAUD501 Initiate a quality audit

BSBAUD501B Initiate a quality audit

Updated to meet Standards for Training Packages

Equivalent unit


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


Assessment requirements

Modification History



Release 1

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

Performance Evidence

Evidence of the ability to:

  • produce 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
  • allocation of individual audit team member responsibilities for conducting the proposed audit.
  • 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:

  • identify the relevant auditing codes of practice or ethics
  • describe auditing methods and techniques
  • outline the requirements of auditing regulations and standards
  • identify current audit practices
  • outline quality auditing principles, techniques and systems
  • describe the requirements of house or other style manual protocols for written communications
  • identify software applications relevant to 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 plans and audit plans.

Assessors must satisfy NVR/AQTF assessor requirements.


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