- BSBAUD402B - Participate in a quality audit
Unit of Competency Mapping – Information for Teachers/Assessors – Information for Learners
BSBAUD402B Mapping and Delivery Guide
Participate in a quality audit
Version 1.0
Issue Date: May 2024
Qualification | - |
Unit of Competency | BSBAUD402B - Participate in a quality audit |
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Description | This unit describes the performance outcomes, skills and knowledge required to prepare for and participate in a quality audit as a member of a quality audit team.The process includes reviewing designated documentation; identifying and developing checklists and audit related documentation; preparing audit schedules; gathering, analysing and evaluating information; and reporting findings to the lead auditor.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement. | ||
Employability Skills | This unit contains employability skills. | ||
Learning Outcomes and Application | This unit applies to individuals working in a team audit environment who analyse and evaluate information from a variety of sources to provide solutions to auditing issues, including unpredictable quality auditing problems.The types of audit may include an external or internal systems audit or process or product/service audit.A broad knowledge of quality auditing is required for this unit.Leading an audit team is addressed by BSBAUD503B Lead a quality audit. | ||
Duration and Setting | X weeks, nominally xx hours, delivered in a classroom/online/blended learning setting. |
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Prerequisites/co-requisites | |||
Competency Field | Regulation, Licensing and Risk - Quality Auditing |
Development and validation strategy and guide for assessors and learners | Student Learning Resources | Handouts Activities |
Slides PPT |
Assessment 1 | Assessment 2 | Assessment 3 | Assessment 4 | |
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Elements of Competency | Performance Criteria | |||||||
Element: Review auditee documentation |
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Element: Participate in developing audit schedules |
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Element: Gather and analyse information |
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Element: Evaluate information |
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Element: Report findings |
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Element: Participate in exit meeting |
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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 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: preparation of multiple audit plans for a range of quality audits containing information on the audit schedule, proposed activities, methods, and techniques; risk analysis and proposed treatment of identified risks; entry and exit meeting agendas participation in audits as a member of an audit team gathering of data and information by a variety of methods knowledge of relevant legislation and national standards developing a comprehensive report for the exit meeting, which analyses findings and information gathered to arrive at the findings. |
Context of and specific resources for assessment | Assessment must ensure: access to an actual workplace undertaking a quality audit or a simulated workplace environment 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: direct questioning combined with review of portfolios of evidence by third party workplace reports of on-the-job performance by the candidate demonstration of quality auditing techniques observations of participation in exit meetings oral or written questioning to assess knowledge of audit preparation activities assessment of organisational documentation reviewed for the audit analysis of reports developed - with clear, comprehensive findings observation of performance in role plays. |
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. |
Submission Requirements
List each assessment task's title, type (eg project, observation/demonstration, essay, assignment, 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.
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Required skills |
communication skills to listen to clients and other audit team members and to clarify points with them as necessary culturally appropriate communication skills to relate to people from diverse backgrounds and people with diverse abilities interpersonal skills to establish rapport with clients and to liaise with other audit team members literacy skills to read, write, edit and proofread documents to ensure clarity of meaning, accuracy and consistency of information organisational and time management skills to sequence tasks, meet timelines and arrange meetings problem-solving skills to identify any issues that have the potential to impact on the auditing process or outcome and to develop options to resolve these issues when they arise teamwork skills technology skills to use a range of equipment required to conduct quality auditing activities. |
Required knowledge |
auditing codes of practice or ethics auditing methods and techniques auditing regulations and standards including: AS/NZS ISO 9000:2006 Quality management systems - Fundamentals and vocabulary AS/NZS ISO 19011:2003 Guidelines for quality and/or environmental management systems auditing current audit practices industry products and/or services quality auditing principles and techniques relevant legislation affecting business operation, including appropriate occupational health and safety, environmental, and privacy legislation terminology relating to quality auditing. |
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. | |
Audit plan may include: | audit requirements and/or identification of relevant quality system documentation auditee provision of personnel for audit confidentiality requirements contingency actions distribution of reports entry meeting exit meeting follow-up procedures measurement criteria reporting procedures resource requirements safety of auditors sampling techniques scope and objectives of audit time lines and schedules |
Methods and techniques may include: | advanced management information systems analysis determining information flows evaluating the effectiveness of system controls questioning sampling scanning tracing trend analysis |
Sources of information may include: | activities internal documentation interview results records, such as meeting minutes, reports or log books reports from external sources, such as external laboratory reports and vendor ratings |
Appropriate persons may include: | persons from different levels within the auditee's organisation such as 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 |
Relevant documentation may include: | audit procedures checklists forms for documenting conformance and non-conformance evidence forms for recording information organisational charts previous audit reports quality standards records of meetings sampling plans defined in documented procedures or in audit plan schedules |
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 |
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Where applicable, review auditee's previous quality audits to establish possible impact on the conduct of the current audit | |||
Request relevant organisational documents from auditee, and review and check the adequacy of these documents | |||
Amend reviewed documents, and determine and source any further documentation required | |||
Resolve issues which arise with auditee and relevant parties | |||
Access or prepare appropriate checklists/tools and audit related documentation | |||
Confirm schedules and required resources with auditee before beginning auditing activities | |||
Anticipate possible issues and outline strategies to address these issues, should they arise | |||
Ensure preparation activities and documentation correspond to the audit plan | |||
In consultation with auditing team, determine appropriate methods and techniques | |||
Assist lead auditor in creating entry and exit meeting agendas | |||
Access a range of potential sources of information | |||
Collect and make an initial assessment of sample documentation | |||
Interview appropriate persons in relation to relevant documentation | |||
Identify and report patterns, trends, interrelationships and areas of risk | |||
Identify aspects of the audit that require the use of specialists and request appropriate assistance | |||
Evaluate information against prescribed benchmarks | |||
Form a defensible opinion as to the meeting of these benchmarks by the auditee | |||
Ensure opinions are formed from and supported by available information | |||
Formulate findings and prepare a corrective action report if discrepancies or non-compliances are detected | |||
Examine results/findings against audit objectives and present to lead auditor | |||
Report recommendations for improvements as applicable | |||
Prepare for exit meeting | |||
Ensure reporting arrangements are agreed upon and documented during the meeting | |||
Ensure context and consequences of audit are explained, and follow-up is discussed |
Forms
Assessment Cover Sheet
BSBAUD402B - Participate in a quality audit
Assessment task 1: [title]
Student name:
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I declare that the assessment tasks submitted for this unit are my own work.
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Result: Competent Not yet competent
Feedback to student
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Assessment Record Sheet
BSBAUD402B - Participate in a quality audit
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
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Student signature:
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