Unit of competency Outline

Date retreived
22/07/2026 7:27 AM AWST

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Initiate a quality audit

Initiate a quality audit

Unit of competency
National Code
BSBAUD501B
State Code
D0605
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
1.00
Current Release Date
10/03/2009
View on TGA
State Implementation and Classification
Approved Date
05/08/2014
Field of Education
080317 - Quality Management
Original Release Date
05/08/2014
Nominal Hours
40
Description
This unit describes the performance outcomes, skills and knowledge required to initiate and organise a quality audit with an auditee. It covers assessing the scope and objectives of a quality audit; communicating with the auditee regarding the proposed quality audit; identifying resources required to conduct the audit; and developing and submitting a quality audit plan.The types of audit may include an external or internal systems audit or process or product/service audit.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Assess quality audit scope and objectives
  • 1.1. Determine and discuss audit objectives with the auditee, client and all other relevant parties
  • 1.2. Determine and discuss scope of the quality audit with the auditee, client and all other relevant parties
  • 1.3. Identify relevant standards that impact on the environment in which the audit operates
  • 1.4. Determine scope commensurate with identified risks
2. Communicate with auditee regarding proposed quality audit
  • 2.1. Determine audit history, organisational structure and culture through consultation with the auditee
  • 2.2. Negotiate and ensure agreement with auditee, the proposed audit methods and techniques to be applied
  • 2.3. Outline audit processes to establish sequence of audit activities, and the roles of the auditors and auditees in the process
3. Identify resources required to conduct quality audit
  • 3.1. Identify resources required to perform the quality audit efficiently and effectively
  • 3.2. Select audit team members on the basis of relevant expertise
  • 3.3. Confirm availability of resources required to conduct the audit with auditee
  • 3.4. Assign roles and responsibilities to audit team members
4. Develop and submit quality audit plan
  • 4.1. Develop quality audit plan according to established scope and objectives
  • 4.2. Assign timing, schedules and responsibilities for implementation of the audit plan
  • 4.3. Develop audit priorities and ensure agreement with auditees and audit team members
  • 4.4. Document and submit audit plan to auditee
5. Prepare audit team
  • 5.1. Inform audit team members of their responsibilities, audit objectives and scope
  • 5.2. Communicate audit plan and schedules to all audit team members
  • 5.3. Discuss and clarify audit methods and techniques with audit team members
6. Review auditee documentation
  • 6.1. Review auditee's previous audits to establish possible impact on the conduct of the current audit
  • 6.2. Review and check relevant organisational documents for accuracy
  • 6.3. Resolve arising problems with auditee and relevant parties
7. Identify and prepare checklists and audit related documentation
  • 7.1. Develop checklists to reflect audit scope and objectives
  • 7.2. Develop or obtain documentation required for the audit
  • 7.3. Prepare agenda for entry meeting
  • 7.4. Include value-adding activities in audit related documentation where required
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.
Audit objectives may include:
compliance with contractual and/or legislative requirements
evaluation of follow-up corrective action since previous audit
evaluation of level of compliance of auditee's activities, systems, processes, products or services with quality system's objectives
identifying areas of potential improvement
measuring performance in achieving quality objectives and confirming the effectiveness of the implemented quality system in meeting specified objectives
Scope may include:
depth and focus of audit
industry specific issues, for example seasonal factors
legal and regulatory issues
organisational customs and protocols
products, services, processes and/or activities to be audited
sites
standards to be applied
Relevant standards may include:
industry standards
professional standards
regulations
relevant legislation
Audit methods and techniques may include:
analysis
determining information flows
evaluating the effectiveness of system controls
questioning
sampling
scanning
tracing
trend analysis
Resources may include:
auditee-provided resources
experience and technical expertise of auditors
facilities
financial requirements
number of auditors required
reference materials
time
travel and accommodation
Quality 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 interview
follow-up procedures
measurement criteria
reporting procedures
resource requirements
roles and responsibilities of auditors
safety of auditors
sampling techniques
scope and objectives of audit
time lines and schedules
EVIDENCE GUIDE
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:
documented audit plans for auditees across a variety of contexts including the scope and objectives of the audit, proposed audit methods and techniques to be used, required resources and schedules, and allocation of individual audit team member responsibilities for conducting the proposed audit
knowledge of relevant legislation, national standards and compliance issues.
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:
direct questioning combined with review of portfolios of evidence by third party workplace reports of on-the-job performance by the candidate
review quality auditing documentation
demonstration of quality auditing techniques in a workplace
observations of interactions with team members and colleagues
observations of presentations of audit plans
oral or written questioning to assess knowledge of auditing codes of practice or ethics
assessment of audit plan.
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.
Replaces
State Code National Code Title Type
C7086 BSBAUD501A Initiate a quality audit Unit of competency
Replaced By
State Code National Code Title Type
AUM33 BSBAUD501 Initiate a quality audit Unit of competency