The Evidence Guide provides advice to inform and support appropriate assessment of this unit. It contains an overview of the assessment requirements followed by identification of specific aspects of evidence that will need to be addressed in determining competence. The Evidence Guide is an integral part of the unit and should be read and interpreted in conjunction with the other components of competency.
Assessment must reflect the endorsed Assessment Guidelines of the parent Training Package.
A person who demonstrates competence in this standard must be able to provide evidence that they have taken a leadership role in a range of quality audits. Evidence will demonstrate that the individual managed the information gathering process by team members and the analysis, synthesis and reporting of findings.
Required knowledge and understanding include: | • legal issues and terminology relating to quality auditing • audit methods and techniques • codes of practice, regulations and standards, for example ISO 9000:2000: Quality Management Systems – Fundamentals and Vocabulary, ISO 19011:2003: Guidelines for Quality and/or Environmental Management Systems Auditing • product and/or service knowledge • quality principles and techniques • current audit practices • auditor code of ethics |
Required skills and attributes include: | • ability to relate to people from a range of social, cultural and ethnic backgrounds, and physical and mental abilities • communication skills: interpersonal, listening and questioning techniques • team work • leadership • problem-solving • organisational and planning skills • time management |
Key competencies or generic skills relevant to this unit | The seven key competencies represent generic skills considered essential for effective work participation. Innovation skills represent a further area of generic competence. The bracketed numbering indicates the performance level required in this unit: Level (1) represents the competence to undertake tasks effectively Level (2) represents the competence to manage tasks Level (3) represents the competence to use concepts for evaluating and reshaping tasks The bulleted points provide examples of how the key competencies can be applied for this unit. |
Communicating ideas and information (3) | • communicating verbally to work with auditees and other team members associated with the audit • communicating in writing to meet documentation requirements |
Collecting, analysing and organising information (2) | • managing process to gather and analyse information for audit |
Planning and organising activities (2) | • planning and organising own role in audit and that of members of the audit team • overseeing audit process |
Working in a team (3) | • leading and working with audit team • working with auditees |
Using mathematical ideas and techniques (1) | • applying basic numerical and mathematical calculation skills to auditing processes |
Solving problems (2) | • applying problem-solving skills to address issues arising during course of the audit |
Using technology (2) | • understanding how the auditee uses software in managing data • using word processing software to produce required documentation arising from analysis and evaluation phase of audit •using assistive technology, if required |
Innovation skills (2) | • identifying and recommending improvements to auditee team members’ performance |
Products that could be used as evidence include: | • correspondence with auditees and team members • corrective action reports • reports provided for auditees • agendas and minutes of entry and exit meetings • written feedback provided to audit team members |
Processess that could be used as evidence include: | • how process was planned from entry to exit meeting • how team members were managed during audits • how contingencies were addressed as they arose • how team members’ participation was reviewed and fed back to individuals |
Resource implications for assessment include: | • access to audit documentation • access to feedback from auditees and other team members |
Validity and sufficiency of evidence requires: | • that where assessment is part of a learning experience, evidence will need to be collected over a period of time, involving both formative and summative assessment • at least four examples of participation in audits as a lead auditor for the audit team for a range of situations |
Integrated competency assessment means: | • that this unit can be assessed alone or as part of an integrated assessment activity involving other relevant units in the areas of auditing, project management and frontline management |