Assessor Resource

BSBAUD411
Participate in quality audits

Assessment tool

Version 1.0
Issue Date: May 2024


This unit describes the skills and knowledge required to prepare for and participate in quality audits as a member of a quality audit team. The types of audits may include internal or external systems audits, process audits or product/service audits. The process includes reviewing designated documentation; identifying and developing checklists and audit related documentation; preparing audit plans and evaluating information; and reporting findings to the lead auditor.

The unit applies to individuals with a broad knowledge of the quality auditing environment, who gather, analyse and evaluate information from a variety of sources and provide objective audit findings, to be included as part of the audit report.

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

You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)


Evidence Required

List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.

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:

participate in a quality audit as a member of a quality audit team on at least two occasions.

In the course of the above, the candidate must:

source and review documentation

develop audit plan using tools and strategies

use predetermined reference criteria to evaluate findings and formulate well-founded objective decisions

contribute to preparation of a corrective action report

use terminology relating to auditing in written and oral 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 benchmarks

auditing methods and techniques

current audit practices

current industry products and services that support the auditing process

key components of an audit plan

patterns, trends, interrelationships and areas of risk in an organisational quality system

key features of technology required for quality auditing participation and reporting.

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.

This includes access to:

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

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.

Submission Requirements

List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here

Assessment task 1: [title]      Due date:

(add new lines for each of the assessment tasks)

Assessment Tasks

Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.

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:

participate in a quality audit as a member of a quality audit team on at least two occasions.

In the course of the above, the candidate must:

source and review documentation

develop audit plan using tools and strategies

use predetermined reference criteria to evaluate findings and formulate well-founded objective decisions

contribute to preparation of a corrective action report

use terminology relating to auditing in written and oral 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 benchmarks

auditing methods and techniques

current audit practices

current industry products and services that support the auditing process

key components of an audit plan

patterns, trends, interrelationships and areas of risk in an organisational quality system

key features of technology required for quality auditing participation and reporting.

Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.

This includes access to:

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

Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.
Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.

Observation Checklist

Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice Yes No Comments/feedback
Review own role and responsibilities within quality audit team 
Review previous quality audits and determine impact on conduct of current audit, where required 
Source required organisational documentation from lead auditor, and check the adequacy of the documentation 
Review documents, and determine and request further documentation required 
Identify and resolve documentation issues with lead auditor and relevant stakeholders, within scope of own role 
Identify aspects of the audit that require the use of specialists and refer to lead auditor 
Access or prepare checklists, tools and audit related documentation 
Confirm schedule and required resources with lead auditor 
Prepare for possible issues and outline mitigation strategies 
Confirm that preparation activities and documentation align with the audit plan with required personnel 
Determine appropriate methods and techniques in consultation with auditing team 
Create entry and exit meeting agendas according to organisational templates, and present to required audit team member, where required 
Participate in entry meeting 
Access a range of sources of information relevant to task 
Collect, and make an initial assessment of, documentation 
Communicate with relevant parties in relation to documentation 
Analyse patterns, trends, interrelationships and areas of risk, and communicate to team according to own role and responsibilities 
Evaluate information against prescribed benchmarks 
Form an objective decision regarding the level of compliance found 
Check decision is formed from and supported by available information 
Formulate findings and prepare recommendations on corrective actions if discrepancies or noncompliances are detected 
Examine results and findings against audit objectives and present to lead auditor 
Report recommendations for improvements to lead auditor according to agreed documentation 
Prepare for exit meeting using exit meeting agenda 
Confirm context and consequences of audit are explained, and followup is discussed 

Forms

Assessment Cover Sheet

BSBAUD411 - Participate in quality audits
Assessment task 1: [title]

Student name:

Student ID:

I declare that the assessment tasks submitted for this unit are my own work.

Student signature:

Result: Competent Not yet competent

Feedback to student

 

 

 

 

 

 

 

 

Assessor name:

Signature:

Date:

Assessment Record Sheet

BSBAUD411 - Participate in quality audits

Student name:

Student ID:

Assessment task 1: [title] Result: Competent Not yet competent

(add lines for each task)

Feedback to student:

 

 

 

 

 

 

 

 

Overall assessment result: Competent Not yet competent

Assessor name:

Signature:

Date:

Student signature:

Date: