BSBAUD501B Initiate a quality audit

Revision Number: 1
BSBAUD501B Initiate a quality audit Date this document was generated: 26 May 2012

BSBAUD501B Initiate a quality audit

Modification History
Not applicable.

Unit Descriptor
Unit descriptor 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.

Application of the Unit

Application of the unit This unit applies to individuals with well established,
sound theoretical knowledge base in quality auditing who
are proficient in using a wide range of specialised quality
auditing and managerial techniques to plan, carry out and
evaluate a quality audit, their own work and that of others
working under their direct supervision in a quality audit
team.

Licensing/Regulatory Information
Not applicable.

Approved Page 2 of 10
© Commonwealth of Australia, 2012 Innovation and Business Skills Australia
BSBAUD501B Initiate a quality audit Date this document was generated: 26 May 2012

Pre-Requisites
Prerequisite units

Employability Skills Information

Employability skills This unit contains employability skills.

Elements and Performance Criteria Pre-Content

Elements describe the Performance criteria describe the performance needed to
essential outcomes of a demonstrate achievement of the element. Where bold
unit of competency. italicised text is used, further information is detailed in the
required skills and knowledge section and the range
statement. Assessment of performance is to be consistent
with the evidence guide.

Approved Page 3 of 10
© Commonwealth of Australia, 2012 Innovation and Business Skills Australia
BSBAUD501B Initiate a quality audit Date this document was generated: 26 May 2012

Elements and Performance Criteria

ELEMENT PERFORMANCE CRITERIA
1. Assess quality audit 1.1. Determine and discuss audit objectives with the
scope and objectives 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 2.1. Determine audit history, organisational structure
auditee regarding and culture through consultation with the auditee
proposed quality audit 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 3.1. Identify resources required to perform the quality
required to conduct audit efficiently and effectively
quality audit 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 4.1. Develop quality audit plan according to established
quality audit plan 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 6.1. Review auditee's previous audits to establish
documentation possible impact on the conduct of the current audit

Approved Page 4 of 10
© Commonwealth of Australia, 2012 Innovation and Business Skills Australia
BSBAUD501B Initiate a quality audit Date this document was generated: 26 May 2012

ELEMENT PERFORMANCE CRITERIA

6.2. Review and check relevant organisational
documents for accuracy
6.3. Resolve arising problems with auditee and relevant
parties
7. Identify and prepare 7.1. Develop checklists to reflect audit scope and
checklists and audit objectives
related documentation 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

Approved Page 5 of 10
© Commonwealth of Australia, 2012 Innovation and Business Skills Australia
BSBAUD501B Initiate a quality audit Date this document was generated: 26 May 2012

Required Skills and Knowledge

REQUIRED SKILLS AND KNOWLEDGE

This section describes the skills and knowledge required for this unit.

Required skills
 communication skills to listen to and question clients and other audit team
members
 culturally appropriate communication skills to relate to people from diverse
backgrounds and abilities
 interpersonal skills to establish rapport with clients and to liaise with other audit
team members
 literacy skills to read, write, edit and proofread documents to ensure clarity of
meaning, accuracy and consistency of information
 organisational, planning and time management skills to sequence tasks, meet time
lines, conduct inspections and arrange meetings
 problem-solving skills to overcome any issues which may potentially affect the
auditing process or outcome
 teamwork skills
 technology skills to use equipment required to conduct quality auditing activities.
Required knowledge
 auditing codes of practice or ethics
 auditing methods and techniques
 auditing regulations and standards, including:
 AS/NZS ISO: 9000:2006: Quality management systems - Fundamentals and
vocabulary
 AS/NZS ISO 19011:2003: Guidelines for quality and/or environmental
management systems auditing
 current audit practices
 industry, product and/or service knowledge
 quality auditing principles, techniques and systems
 requirements of house or other style manual protocols for written communications
 relevant legislation affecting business operations including appropriate
occupational health and safety, environmental, and privacy legislation
 software applications relevant to conducting quality auditing activities
 terminology relating to quality auditing.

Approved Page 6 of 10
© Commonwealth of Australia, 2012 Innovation and Business Skills Australia
BSBAUD501B Initiate a quality audit Date this document was generated: 26 May 2012

Evidence Guide
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 of the following is essential:

evidence required to demonstrate  documented audit plans for auditees across a variety
competency in this unit 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 must ensure:
assessment  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 Holistic assessment with other units relevant to the
assessment industry sector, workplace and job role is recommended,
for example:
 other quality auditing units.

Approved Page 7 of 10
© Commonwealth of Australia, 2012 Innovation and Business Skills Australia
BSBAUD501B Initiate a quality audit Date this document was generated: 26 May 2012

Range Statement
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  analysis
may include:  determining information flows
 evaluating the effectiveness of system controls
 questioning
 sampling
 scanning
 tracing
 trend analysis

Approved Page 8 of 10
© Commonwealth of Australia, 2012 Innovation and Business Skills Australia
BSBAUD501B Initiate a quality audit Date this document was generated: 26 May 2012

RANGE STATEMENT

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

Unit Sector(s)
Unit sector

Competency field
Competency field Regulation, Licensing and Risk - Quality Auditing

Approved Page 9 of 10
© Commonwealth of Australia, 2012 Innovation and Business Skills Australia
BSBAUD501B Initiate a quality audit Date this document was generated: 26 May 2012

Co-requisite units
Co-requisite units

Approved Page 10 of 10
© Commonwealth of Australia, 2012 Innovation and Business Skills Australia