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 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
ELEMENT |
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.
Skill |
Performance Criteria |
Description |
Reading |
1.3, 4.1, 6.1, 6.2, 7.1 |
|
Writing |
4.1-4.4, 6.2, 7.1-7.4 |
|
Oral Communication |
1.1, 1.2, 2.1-2.3, 4.3, 5.1-5.3, 6.3 |
|
Numeracy |
4.2 |
|
Navigate the world of work |
1.3 |
|
Interact with others |
1.1, 1.2, 2.1, 2.2, 3.4, 4.4, 5.1, 5.2 |
|
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 |
|
Unit Mapping Information
Code and title current version |
Code and title previous version |
Comments |
Equivalence status |
BSBAUD501 Initiate a quality audit |
BSBAUD501B Initiate a quality audit |
Updated to meet Standards for Training Packages |
Equivalent unit |
Links
Companion Volume implementation guides are found in VETNet - https://vetnet.gov.au/Pages/TrainingDocs.aspx?q=11ef6853-ceed-4ba7-9d87-4da407e23c10