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Elements and Performance Criteria

1. Review own role and documentation
   • 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
2. Participate in audit preparation
   • 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
3. Gather and analyse information
   • 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
4. Participate in exit meeting process
   • Prepare for exit meeting using exit meeting agenda
   • Confirm context and consequences of audit are explained, and followup is discussed

Performance Evidence

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.

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Knowledge Evidence

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.

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