The Evidence Guide provides advice to inform and support appropriate assessment of this unit. It contains an overview of the assessment requirements followed by identification of specific aspects of evidence that will need to be addressed in determining competence. The Evidence Guide is an integral part of the unit and should be read and interpreted in conjunction with the other components of competency.
Assessment must reflect the endorsed Assessment Guidelines of the parent Training Package.
A person who demonstrates competence in this unit must be able to provide evidence that they have planned a number of quality audits with auditees and submitted audit plans for approval and actioning. The documented audit plans will include the scope and objectives of the audit, audit methods and techniques, required resources and schedules, and responsibilities for conducting the proposed audit.
Required knowledge and understanding include: | • legal issues and terminology relating to quality auditing • audit methods and techniques • codes of practice, regulations and standards, for example ISO 9000:2000: Quality Management Systems – Fundamentals and Vocabulary, ISO 19011:2003: Guidelines for Quality and/or Environmental Management Systems Auditing • product and/or service knowledge • quality principles and techniques • current audit practices • auditor code of ethics |
Required skills and attributes include: | • ability to relate to people from a range of social, cultural and ethnic backgrounds, and physical and mental abilities • communication skills: interpersonal, listening and questioning techniques • team work • problem-solving • organisational and planning skills • time management |
Key competencies or generic skills relevant to this unit | The seven key competencies represent generic skills considered essential for effective work participation. Innovation skills represent a further area of generic competence. The bracketed numbering indicates the performance level required in this unit: Level (1) represents the competence to undertake tasks effectively Level (2) represents the competence to manage tasks Level (3) represents the competence to use concepts for evaluating and reshaping tasks The bulleted points provide examples of how the key competencies can be applied for this unit. |
Communicating ideas and information (3) | • communicating verbally to negotiate and consult with auditee and other relevant parties associated with the audit • communicating in writing to meet documentation requirements |
Collecting, analysing and organising information (2) | • gathering information and tools • analysing available methods to inform audit |
Planning and organising activities (3) | • planning audit schedule and activities with auditee |
Working in a team (2) | • working with auditee, other auditors and managers to gain approval for audit plan |
Using mathematical ideas and techniques (1) | • applying basic numerical and mathematical calculation skills to auditing processes |
Solving problems | • not applicable |
Using technology (1) | • using word processing software to document audit plan • using assistive technology, if required |
Innovation skills (1) | • identifying improvements to performance of auditee or area being audited through the process of initiating the audit |
Products that could be used as evidence include: | • completed audit plan with schedules, scope, objectives and responsibilities • notes made in preparing the audit plan • lists of required resources for audit |
Processes that could be used as evidence include: | • how scope and objectives of audits were determined • how audit methods and techniques were negotiated and agreed to with auditee • how required resources for audit were determined • how audit plan was negotiated and agreement gained for plan |
Resource implications for assessment included: | • access to workplace documentation • access to auditee's feedback on how audit plans were developed |
Validity and sufficiency of evidence requires: | • that where assessment is part of a learning experience, evidence will need to be collected over a period of time, involving both formative and summative assessment • at least four examples of completed audit plans produced by the candidate for a range of situations |
Integrated competency assessment means: | • that this unit can be assessed alone or as part of an integrated assessment activity involving other relevant units in the areas of auditing, project management and frontline management |