Unit of competency Outline

Date retreived
22/07/2026 8:30 AM AWST

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Lead a quality audit

Lead a quality audit

Unit of competency
National Code
BSBAUD503B
State Code
D0606
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
12/08/2014
Field of Education
080317 - Quality Management
Original Release Date
12/08/2014
Nominal Hours
45
Description
This unit describes the performance outcomes, skills and knowledge required to lead an audit team as they undertake a quality audit. It covers conducting entry and exit meetings; identifying and gathering relevant information; managing audit team resources; and providing feedback to audit team members on their performance.The types of quality audit that may be covered by this unit 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. Conduct entry meeting
  • 1.1. Organise entry meeting in advance at a mutually agreed time
  • 1.2. Prepare agenda for audit
  • 1.3. Confirm objectives and scope of audit at entry meeting
  • 1.4. Confirm schedules and logistical arrangements at entry meeting
  • 1.5. Make changes to plan, schedules and arrangements where required
2. Identify and gather information
  • 2.1. Identify a range of potential sources of information
  • 2.2. Interview appropriate persons
  • 2.3. Gather relevant information and sample documentation
3. Manage audit team resources
  • 3.1. Supervise activities of audit team members
  • 3.2. Assess and review audit team findings in line with audit scope
  • 3.3. Re-assign team members as required
  • 3.4. Instigate contingency actions as required
  • 3.5. Seek and reach agreement on corrective action reports
4. Conduct exit meeting
  • 4.1. Make preparations for exit meeting
  • 4.2. Examine results and findings against audit objectives and present to auditee
  • 4.3. Ensure reporting arrangements are agreed upon
  • 4.4. Explain context and consequences of audit and discuss during follow-up
5. Guide team members in continuously improving their performance
  • 5.1. Provide feedback on performance to audit team members
  • 5.2. Encourage and support audit team members to critique their own work
  • 5.3. Provide and document advice for individual improvement
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.
Sources of information may include:
examination of internal documentation
examination of reports from external sources, for example external laboratory reports and vendor ratings
inspection of records, for example meeting minutes, reports or log books
interviews
observation of activities
Appropriate persons may include:
persons from different levels within the auditee's organisation, for example 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
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:
demonstration of leadership and management of a quality auditing team across quality audits in a variety of contexts
management of the information gathering process by team members, and analysis, synthesis and reporting of the findings
knowledge of auditing methods and techniques.
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:
analysis of information gathered in the information gathering process
review of audit plans
direct questioning combined with review of portfolios of evidence by third party workplace reports of on-the-job performance by the candidate
observations of application of audit techniques
observations of interactions with team members, colleagues and auditees
oral or written questioning to assess knowledge of current audit practices
review of documentation advising team members about improving their performance.
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
C7088 BSBAUD503A Lead a quality audit Unit of competency
C7087 BSBAUD502A Prepare to lead a quality audit Unit of competency
Replaced By
State Code National Code Title Type
AUI01 BSBAUD503 Lead a quality audit Unit of competency