This unit applies to individuals with well established, sound theoretical knowledge base in quality auditing who are proficient in using a wide range of specialised quality auditing and managerial techniques to carry out their own work and to supervise the quality audit team. The unit addresses the function performed by either an auditor having sole responsibility for the audit or a lead auditor of a quality audit team.

ELEMENT

PERFORMANCE CRITERIA

1. Compile audit results

1.1. Compare results of audit evaluation against audit objectives and criteria

1.2. Analyse audit results

2. Prepare report

2.1. Provide objective evidence relating to the need for reduction, elimination and prevention of non-conformance as the basis for the audit report

2.2. Produce audit report according to specified audit requirements

2.3. Present audit report to auditee and other stakeholders

3. Negotiate follow up process with auditee

3.1. Determine and initiate any corrective action required to deal with non-conformance, in consultation with auditee

3.2. Provide suggestions for improvements where applicable

3.3. Ensure time lines are agreed upon for completion of corrective action activities

3.4. Ensure corrective action follow-up procedures are agreed with auditee

4. Monitor and review audit system and activities

4.1. Evaluate effectiveness and suitability in achieving audit objectives

4.2. Investigate possible improvements in audit methods, economy and efficiency

Required skills

communication skills to listen to and question, clients and other audit team members

culturally appropriate communication skills to relate to people from diverse backgrounds and 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, planning and time management skills to sequence tasks, meet time lines, conduct inspections and arrange meetings

problem-solving skills to overcome any issues which may potentially affect the auditing process or outcome

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, product and/or 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.

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:

completion and presentation of audit reports to auditees/clients and stakeholders

negotiations for follow-up actions with auditees/clients

knowledge of auditing regulations and standards.

Context of and specific resources for assessment

Assessment must ensure:

access to workplace documentation including 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 objective evidence provided in relation to the need for reduction, elimination and prevention of non-conformance

review of audit reports

direct questioning combined with review of portfolios of evidence by third party workplace reports of on-the-job performance by the candidate

analysis of documentation outlining possible improvements in audit methods

observations of interactions with team members, colleagues and auditees

observations of presentations of audit reports to auditees and their organisation

oral or written questioning to assess knowledge of audit report contents

review of corrective action follow-up procedures agreed with auditee.

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.

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.

Results may include:

corrective actions to reduce, eliminate and prevent non-conformance

examination and evaluation of controls associated with systems, activities and processes

means of improving processes, systems, products and business results

objective evidence of conformance

objective evidence of non-conformance relating to organisational processes, systems, activities, products and/or services

Audit report may include:

agreed objectives and scope of audit

audit results

distribution list for the audit report

follow-up required

identification of audit team members

identification of the auditee's representatives

information on confidentiality

outline of the auditing process, including obstacles encountered

retention of auditing records, including work documents

specified audit requirements

timeframe in which audit was conducted

Improvements in audit methods may include:

assessment of audit results

evaluation of auditor performance

evaluation of the effect of the quality audit outcomes on the auditee's activities, products and/or services

examination of complaints, appeals and other feedback received from auditee

examination of mechanisms by which consistency of audits is achieved

overall evaluation of the methods and effectiveness of the audit organisation

review of the audit reporting process and records

Unit sector

Regulation, Licensing and Risk - Quality Auditing

This unit contains employability skills.