Unit of competency Outline

Date retreived
22/07/2026 3:12 PM AWST

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Participate in a quality audit

Participate in a quality audit

Unit of competency
National Code
BSBAUD402B
State Code
D0604
TGA Status
Replaced
DTWD Status
Replaced
Current Release Number
1.00
Current Release Date
18/07/2008
View on TGA
State Implementation and Classification
Approved Date
13/10/2014
Field of Education
080317 - Quality Management
Original Release Date
13/10/2014
Nominal Hours
35
Description
This unit describes the performance outcomes, skills and knowledge required to prepare for and participate in a quality audit as a member of a quality audit team.The process includes reviewing designated documentation; identifying and developing checklists and audit related documentation; preparing audit schedules; gathering, analysing and evaluating information; and reporting findings to the lead auditor.No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
Notes
Elements and Performance Criteria
1. Review auditee documentation
  • 1.1. Where applicable, review auditee's previous quality audits to establish possible impact on the conduct of the current audit
  • 1.2. Request relevant organisational documents from auditee, and review and check the adequacy of these documents
  • 1.3. Amend reviewed documents, and determine and source any further documentation required
  • 1.4. Resolve issues which arise with auditee and relevant parties
2. Participate in developing audit schedules
  • 2.1. Access or prepare appropriate checklists/tools and audit related documentation
  • 2.2. Confirm schedules and required resources with auditee before beginning auditing activities
  • 2.3. Anticipate possible issues and outline strategies to address these issues, should they arise
  • 2.4. Ensure preparation activities and documentation correspond to the audit plan
  • 2.5. In consultation with auditing team, determine appropriate methods and techniques
  • 2.6. Assist lead auditor in creating entry and exit meeting agendas
3. Gather and analyse information
  • 3.1. Access a range of potential sources of information
  • 3.2. Collect and make an initial assessment of sample documentation
  • 3.3. Interview appropriate persons in relation to relevant documentation
  • 3.4. Identify and report patterns, trends, interrelationships and areas of risk
  • 3.5. Identify aspects of the audit that require the use of specialists and request appropriate assistance
4. Evaluate information
  • 4.1. Evaluate information against prescribed benchmarks
  • 4.2. Form a defensible opinion as to the meeting of these benchmarks by the auditee
  • 4.3. Ensure opinions are formed from and supported by available information
5. Report findings
  • 5.1. Formulate findings and prepare a corrective action report if discrepancies or non-compliances are detected
  • 5.2. Examine results/findings against audit objectives and present to lead auditor
  • 5.3. Report recommendations for improvements as applicable
6. Participate in exit meeting
  • 6.1. Prepare for exit meeting
  • 6.2. Ensure reporting arrangements are agreed upon and documented during the meeting
  • 6.3. Ensure context and consequences of audit are explained, and follow-up is discussed
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 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 meeting
follow-up procedures
measurement criteria
reporting procedures
resource requirements
safety of auditors
sampling techniques
scope and objectives of audit
time lines and schedules
Methods and techniques may include:
advanced management information systems
analysis
determining information flows
evaluating the effectiveness of system controls
questioning
sampling
scanning
tracing
trend analysis
Sources of information may include:
activities
internal documentation
interview results
records, such as meeting minutes, reports or log books
reports from external sources, such as external laboratory reports and vendor ratings
Appropriate persons may include:
persons from different levels within the auditee's organisation such as 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
Relevant documentation may include:
audit procedures
checklists
forms for documenting conformance and non-conformance evidence
forms for recording information
organisational charts
previous audit reports
quality standards
records of meetings
sampling plans defined in documented procedures or in audit plan
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:
preparation of multiple audit plans for a range of quality audits containing information on the audit schedule, proposed activities, methods, and techniques; risk analysis and proposed treatment of identified risks; entry and exit meeting agendas
participation in audits as a member of an audit team
gathering of data and information by a variety of methods
knowledge of relevant legislation and national standards
developing a comprehensive report for the exit meeting, which analyses findings and information gathered to arrive at the findings.
Context of and specific resources for assessment
Assessment must ensure:
access to an actual workplace undertaking a quality audit or a simulated workplace environment
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
demonstration of quality auditing techniques
observations of participation in exit meetings
oral or written questioning to assess knowledge of audit preparation activities
assessment of organisational documentation reviewed for the audit
analysis of reports developed - with clear, comprehensive findings
observation of performance in role plays.
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
C7085 BSBAUD402A Participate in a quality audit Unit of competency
C7084 BSBAUD401A Prepare for a quality audit Unit of competency
Replaced By
State Code National Code Title Type
AUI79 BSBAUD402 Participate in a quality audit Unit of competency