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Evidence Guide: BSBAUD411 - Participate in quality audits

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

BSBAUD411 - Participate in quality audits

What evidence can you provide to prove your understanding of each of the following citeria?

Review own role and documentation

  1. Review own role and responsibilities within quality audit team
  2. Review previous quality audits and determine impact on conduct of current audit, where required
  3. Source required organisational documentation from lead auditor, and check the adequacy of the documentation
  4. Review documents, and determine and request further documentation required
  5. Identify and resolve documentation issues with lead auditor and relevant stakeholders, within scope of own role
  6. Identify aspects of the audit that require the use of specialists and refer to lead auditor
Review own role and responsibilities within quality audit team

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review previous quality audits and determine impact on conduct of current audit, where required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Source required organisational documentation from lead auditor, and check the adequacy of the documentation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Review documents, and determine and request further documentation required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and resolve documentation issues with lead auditor and relevant stakeholders, within scope of own role

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify aspects of the audit that require the use of specialists and refer to lead auditor

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Participate in audit preparation

  1. Access or prepare checklists, tools and audit related documentation
  2. Confirm schedule and required resources with lead auditor
  3. Prepare for possible issues and outline mitigation strategies
  4. Confirm that preparation activities and documentation align with the audit plan with required personnel
  5. Determine appropriate methods and techniques in consultation with auditing team
  6. Create entry and exit meeting agendas according to organisational templates, and present to required audit team member, where required
  7. Participate in entry meeting
Access or prepare checklists, tools and audit related documentation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm schedule and required resources with lead auditor

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare for possible issues and outline mitigation strategies

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm that preparation activities and documentation align with the audit plan with required personnel

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Determine appropriate methods and techniques in consultation with auditing team

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Create entry and exit meeting agendas according to organisational templates, and present to required audit team member, where required

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Participate in entry meeting

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Gather and analyse information

  1. Access a range of sources of information relevant to task
  2. Collect, and make an initial assessment of, documentation
  3. Communicate with relevant parties in relation to documentation
  4. Analyse patterns, trends, interrelationships and areas of risk, and communicate to team according to own role and responsibilities
  5. Evaluate information against prescribed benchmarks
  6. Form an objective decision regarding the level of compliance found
  7. Check decision is formed from and supported by available information
  8. Formulate findings and prepare recommendations on corrective actions if discrepancies or noncompliances are detected
  9. Examine results and findings against audit objectives and present to lead auditor
  10. Report recommendations for improvements to lead auditor according to agreed documentation
Access a range of sources of information relevant to task

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Collect, and make an initial assessment of, documentation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Communicate with relevant parties in relation to documentation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Analyse patterns, trends, interrelationships and areas of risk, and communicate to team according to own role and responsibilities

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Evaluate information against prescribed benchmarks

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Form an objective decision regarding the level of compliance found

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Check decision is formed from and supported by available information

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Formulate findings and prepare recommendations on corrective actions if discrepancies or noncompliances are detected

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Examine results and findings against audit objectives and present to lead auditor

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Report recommendations for improvements to lead auditor according to agreed documentation

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Participate in exit meeting process

  1. Prepare for exit meeting using exit meeting agenda
  2. Confirm context and consequences of audit are explained, and followup is discussed
Prepare for exit meeting using exit meeting agenda

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm context and consequences of audit are explained, and followup is discussed

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Required Skills and Knowledge

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.

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.