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Elements and Performance Criteria

1. Conduct entry meeting
   • Organise entry meeting in advance at a mutually agreed time
   • Prepare agenda for audit
   • Confirm objectives and scope of audit at entry meeting
   • Confirm schedules and logistical arrangements at entry meeting
   • Make changes to plan, schedules and arrangements where required
2. Identify and gather information
   • Identify a range of potential sources of information
   • Interview appropriate persons
   • Gather relevant information and sample documentation
3. Manage audit team resources
   • Supervise activities of audit team members
   • Assess and review audit team findings in line with audit scope
   • Re-assign team members as required
   • Instigate contingency actions as required
   • Seek and reach agreement on corrective action reports
4. Conduct exit meeting
   • Make preparations for exit meeting
   • Examine results and findings against audit objectives and present to auditee
   • Ensure reporting arrangements are agreed upon
   • Explain context and consequences of audit and discuss during follow-up
5. Guide team members in continuously improving their performance
   • Provide feedback on performance to audit team members
   • Encourage and support audit team members to critique their own work
   • Provide and document advice for individual improvement

Required Skills

Required knowledge

auditing codes of practice or ethics auditing methods and techniques auditing regulations and standards including ASNZS ISO Quality management systems Fundamentals and vocabulary ASNZS ISO Guidelines for quality andor environmental management systems auditing current audit practices industry product andor service knowledge quality auditing principles techniques and systems requirements of house or other style manual protocols for written communications relevant legislation affecting business operations including appropriate occupational health and safety environmental and privacy legislation software applications relevant to conducting quality auditing activities terminology relating to quality auditing

Evidence Required

The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria required skills and knowledge range statement and the Assessment Guidelines for the Training Package
Overview of assessment
Critical aspects for assessment and evidence required to demonstrate competency in this unit	Evidence of the following is essential demonstration of leadership and management of a quality auditing team across quality audits in a variety of contexts management of the information gathering process by team members and analysis synthesis and reporting of the findings knowledge of auditing methods and techniques
Context of and specific resources for assessment	Assessment must ensure access to workplace documentation including previous quality audit reports checklists risk management plans and audit plans
Method of assessment	A range of assessment methods should be used to assess practical skills and knowledge The following examples are appropriate for this unit analysis of information gathered in the information gathering process review of audit plans direct questioning combined with review of portfolios of evidence by third party workplace reports of onthejob performance by the candidate observations of application of audit techniques observations of interactions with team members colleagues and auditees oral or written questioning to assess knowledge of current audit practices review of documentation advising team members about improving their performance
Guidance information for assessment	Holistic assessment with other units relevant to the industry sector workplace and job role is recommended for example other quality auditing units

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Range Statement

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.
Sources of information may include:	examination of internal documentation examination of reports from external sources, for example external laboratory reports and vendor ratings inspection of records, for example meeting minutes, reports or log books interviews observation of activities
Appropriate persons may include:	persons from different levels within the auditee's organisation, for example management, administrative personnel and work floor personnel persons performing activities or tasks under consideration in the audit process
Sample documentation may include:	documented procedures log books meeting minutes previous audit reports reports reports from external sources systems specifications test results user requirements definitions work instructions

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