SAI-EDRTO 36-1 01 06/14 www.saiglobal.com | 1 PATHWAY FOR BSB51607 DIPLOMA OF QUALITY AUDITING AND RPL SELF ASSESSMENT Name of Applicant: Email: Contact No.: Postal address: The BSB51607 Diploma of Quality Auditing is a nationally recognised qualification essential for Lead Auditors. In addition to audit and compliance competencies, this modularised learning and assessment solution also covers the management of risks within the management system, and provides a variety of electives to suit your particular workplace development requirements. SAI Global offers 5 specialist pathways for the BSB51607 Diploma of Quality Auditing allowing you to select the units most relevant to your job role: BSB51607 Diploma of Quality Auditing: Information Security Management Systems BSB51607 Diploma of Quality Auditing: Environmental Management Systems BSB51607 Diploma of Quality Auditing: Food Safety Management Systems BSB51607 Diploma of Quality Auditing: Quality Management Systems BSB51607 Diploma of Quality Auditing: Work Health & Safety Management Systems The qualification is 8 units of competency. All units are elective: 3 units must be selected from the group A units below. 2 electives must be selected from group A or B units or any Diploma level qualification within the Business Services training package. The remaining 3 elective units may be selected from the Group A or Group B units listed below, or any currently endorsed Training Package, or accredited course at the same qualification level. If not listed below, 1 unit may be selected from either a Certificate IV or Advanced Diploma qualification. On the attached table please indicate your preferred pathway to completing all units of competency for BSB51607 Diploma of Quality Auditing. The options available through SAI Global are: Attend and successfully complete an SAI Global training course – A suitable pathway if you need to obtain the knowledge and skills to become competent in the unit. Course details, dates and registration forms are available at http://www.saiglobal.com/Training/assurance/Qualifications/diploma-qualityaudit.htm Credit Transfer – If you have been issued this unit of competency from another Registered Training Organisation (RTO) please provide a JP certified copy of your transcript. Apply for Recognition of Prior Learning –A suitable pathway if you have knowledge and skills from life and work experience or previous training that is relevant to the unit and you can provide evidence. You will be sent an evidence map for each unit.
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SAI-EDRTO 36-1 01 06/14 www.saiglobal.com | 1
PATHWAY FOR BSB51607 DIPLOMA OF QUALITY AUDITING AND RPL SELF ASSESSMENT
Name of Applicant:
Email:
Contact No.:
Postal address:
The BSB51607 Diploma of Quality Auditing is a nationally recognised qualification essential for Lead
Auditors. In addition to audit and compliance competencies, this modularised learning and
assessment solution also covers the management of risks within the management system, and
provides a variety of electives to suit your particular workplace development requirements.
SAI Global offers 5 specialist pathways for the BSB51607 Diploma of Quality Auditing allowing you to
select the units most relevant to your job role:
BSB51607 Diploma of Quality Auditing: Information Security Management Systems
BSB51607 Diploma of Quality Auditing: Environmental Management Systems
BSB51607 Diploma of Quality Auditing: Food Safety Management Systems
BSB51607 Diploma of Quality Auditing: Quality Management Systems
BSB51607 Diploma of Quality Auditing: Work Health & Safety Management Systems
The qualification is 8 units of competency. All units are elective:
3 units must be selected from the group A units below.
2 electives must be selected from group A or B units or any Diploma level qualification within
the Business Services training package.
The remaining 3 elective units may be selected from the Group A or Group B units listed
below, or any currently endorsed Training Package, or accredited course at the same
qualification level. If not listed below, 1 unit may be selected from either a Certificate IV or
Advanced Diploma qualification.
On the attached table please indicate your preferred pathway to completing all units of competency
for BSB51607 Diploma of Quality Auditing. The options available through SAI Global are:
Attend and successfully complete an SAI Global training course – A suitable pathway if you
need to obtain the knowledge and skills to become competent in the unit. Course details, dates
BSB51607 DIPLOMA OF QUALITY AUDITING RPL SELF ASSESSMENT
Name of Applicant:
Email:
Contact No.:
This self-assessment form provides you with a detailed overview of the units of competency
for BSB51607. A maximum of 8 units should be selected on the form below. If you need
help selecting units please refer to the pathway document or an assessor from SAI Global can
assist you.
Once you have selected units for recognition of prior learning (RPL) an assessor from SAI
Global will issue you an evidence map for each unit. The evidence map is used to gather and
record your evidence.
Core Units of Competency Apply Group A units – at least 3 units must be selected from this list BSBINM501A Manage an information or knowledge management system YES
NO
1. Organise learning to use information or knowledge management system
2. Manage use of information or knowledge management system
3. Review use of information or knowledge management system
Evidence of the following is essential: analysis of the strengths and weaknesses of information or knowledge management
system/s and evaluation of suitability for a particular work or organisational context knowledge of relevant legislation, codes of practice and national standards.
BSBAUD402B Participate in a quality audit YES
NO
1. Review auditee documentation
2. Participate in developing audit schedules
3. Gather and analyse information
4. Evaluate information
5. Report findings
6. Participate in exit meeting
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.
BSBAUD501B Initiate a quality audit YES
NO
1. Assess quality audit scope and objectives
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2. Communicate with auditee regarding proposed quality audit
3. Identify resources required to conduct quality audit
4. Develop and submit quality audit plan
5. Prepare audit team
6. Review auditee documentation
7. Identify and prepare checklists and audit related documentation
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.
BSBAUD503B Lead a quality audit YES
NO
1. Conduct entry meeting
2. Identify and gather information
3. Manage audit team resources
4. Conduct exit meeting
5. Guide team members in continuously improving their performance
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.
BSBAUD504B Report on a quality audit YES
NO
1. Compile audit results
2. Prepare report
3. Negotiate follow up process with auditee
4. Monitor and review audit system and activities
Evidence of the following is essential: completion and presentation of audit reports to auditees/clients and stakeholders negotiations for follow-up actions with auditees/clients knowledge of auditing regulations and standards.
Evidence of the following is essential: risk management plan which includes a detailed stakeholder analysis, explanation of
the risk context, critical success factors, identified and analysed risks, and treatments for prioritised risks
details of monitoring arrangements for risk management plan and an evaluation of the risk management plan’s efficacy in treating risks
knowledge of relevant legislation, codes of practice and national standards.
Group B units – 0 to 5 units can be selected from this list.
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BSBMGT502B Manage people performance YES
NO
1. Allocate work
2. Assess performance
3. Provide feedback
4. Manage follow up
Evidence of the following is essential: documented performance indicators and a critical description and analysis of
performance management system from the workplace techniques in providing feedback and coaching for improvement in performance knowledge of relevant awards and certified agreements.
BSBMGT516C Facilitate continuous improvement YES
NO
1. Lead continuous improvement systems and processes
2. Monitor and adjust performance strategies
3. Manage opportunities for further improvement
Evidence of the following is essential: development and use of a range of strategies and approaches that improve work
outcomes or organisational functioning, using continuous improvement models monitoring performance and customer service.
BSBPMG513A Manage project quality YES
NO
1. Determine quality requirements
2. Implement quality processes
3. Implement project quality improvements
Evidence of the following is essential: successfully managing project environment so that quality outcomes are achieved
for a project of sufficient complexity to demonstrate the full range of performance requirements
applying a range of quality management tools, techniques and methodologies.
BSBSUS501A Develop workplace policy and procedures for sustainability YES
Evidence of the following is essential: candidate's involvement as a key person in planning, developing and implementing
organisational policy and that the developed policy complies with legislative requirements
implementation strategy, as part of the policy, that has been devised, implemented and reviewed showing a measurable improvement utilising the chosen benchmark indicators
communicating with stakeholders to discuss possible approaches to policy development and implementation, and contributing to the resolution of disputes among stakeholders
developing and monitoring policies for analysing data on enterprise resource
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consumption using software systems for recording and filing documentation for measurement of
current usage and using word processing and other basic software for interpreting charts, flowcharts, graphs and other visual data and information
reviewing and improving policies by identifying improvements and benchmarking against industry best practice and attempting new approaches continuously over time.
BSBWOR502B Ensure team effectiveness YES
NO
1. Establish team performance plan
2. Develop and facilitate team cohesion
3. Facilitate teamwork
4. Liaise with stakeholders
Evidence of the following is essential: range of techniques that can be used to build work teams, strengthen
communications in the team and resolve issues methods for engaging with stakeholders and obtaining advice from outside the work
team, to ensure team is focussed and on track knowledge of group behaviour.
Units currently issued by SAI Global. Up to 5 units can be selected from the list below – one unit
can be a Cert IV unit or Advanced Diploma level BSBCOM501B Identify and interpret compliance requirements YES
NO
1. Clarify the scope of operations
2. Identify compliance requirements
3. Interpret, analyse and prioritise identified compliance requirements
4. Document compliance requirements
Evidence of the ability to: document processes used to identify, analyse and interpret organisational
compliance requirements apply knowledge of elements of compliance programs and related management
systems.
BSBWHS503A Contribute to the systematic management of WHS risk YES
NO
1. Access information and data to contribute to the systematic management of WHS risk
2. Contribute to effective consultation and participation during all stages of the risk-
management process
3. Contribute to establishing the context for risk management
4. Contribute to risk assessment
5. Contribute to risk treatment
6. Contribute to monitoring, reviewing and recording risk-management process
Evidence of the following is essential: contributing to the development, implementation and evaluation of a systematic
approach to WHS risk management knowledge of pertinent sections of relevant Australian standards and WHS Acts,
regulations, codes of practice and standards, including the Safe Work Australia model Code of Practice: How to Manage Work Health and Safety Risks
preparing an action plan to implement a systematic approach to WHS risk
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management preparing positive performance indicators for evaluation of a systematic approach
to WHS risk management.
BSBWHS504A Manage WHS hazards and risks YES
NO
1. Access information and data on WHS hazards and risks
2. Prepare to manage WHS hazards and risks
3. Develop and implement WHS hazard and risk-management processes
Evidence of the following is essential: complete risk assessment using a range tools and processes outline risk factors and recommended risk controls for a hazard action plan to implement risk controls and risk-management processes, including
positive performance indicators to monitor implementation knowledge of relevant WHS Acts, regulations, codes of practice, standards and
guidance material.
BSBWHS509A Facilitate the development and use of hazard management tools YES
NO
1. Select and develop hazard-management tools
2. Facilitate the use of hazard-management tools
3. Communicate outcomes of use of hazard-management tools
4. Review use of hazard-management tools
Evidence of the following is essential: evaluating usefulness and usability of a range of hazard-management tools and
suggested changes for future use knowledge of hazard-management tools, their correct application, use and
limitations.
BSBCUS501A Manage quality customer service YES
NO
1. Plan to meet internal and external customer requirements
2. Ensure delivery of quality products and/or services
3. Monitor, adjust and review customer service
Evidence of the following is essential: plans, policies or procedures for delivering quality customer service demonstrated techniques in solving complex customer complaints and system
problems that lead to poor customer service knowledge of techniques for solving complaints.
BSBINN502A Build and sustain an innovative work environment YES
NO
1. Lead innovation by example
2. Establish work practices that support innovation
3. Promote innovation
4. Create a physical environment which supports innovation
5. Provide learning opportunities
Evidence of the following is essential: establishment of procedures and practices (for a project or a workplace) which
support and foster innovative work practice and include sound evaluation processes modelling of behaviour that supports innovative work practice
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knowledge and understanding of the role of leaders and managers in encouraging innovation, and the issues and challenges associated with building and sustaining an innovative work environment.
BSBWHS603A Implement WHS risk management YES
NO
1. Manage effective WHS risk-management consultation and participation processes
2. Arrange for necessary resources during WHS risk management
3. Review existing WHS risk-management processes
4. Establish the WHS risk-management framework
5. Establish the context for WHS risk management
6. Assess risk
7. Treat risk
8. Monitor, review and record the WHS risk-management process
Evidence of the following is essential: documented risk-management plans actions taken as part of the risk-management process ensuring continuous improvement is part of the ongoing review process knowledge of relevant sections of relevant Australian standards, WHS Acts,
regulations and codes of practice, including the Safe Work Australia model code of practice: How to Manage Work Health and Safety Risks.
BSBHRM402A Recruit, select and induct staff YES
NO
1. Determine job descriptions
2. Plan for selection
3. Assess and select applicants
4. Appoint and induct successful candidate
Evidence of the following is essential: demonstrated ability to work with job descriptions to source and select suitable
staff interviewing and other selection techniques that demonstrate awareness off equal
opportunity and anti-discrimination requirements knowledge of the human resource life cycle.
Lead Food Safety Auditor units YES
NO
BSBHRM402A Recruit, select and induct staff
1. Determine job descriptions
2. Plan for selection
3. Assess and select applicants
4. Appoint and induct successful candidate
Evidence of the following is essential: demonstrated ability to work with job descriptions to source and select suitable
staff interviewing and other selection techniques that demonstrate awareness off equal
opportunity and anti-discrimination requirements knowledge of the human resource life cycle.
FDFAU4001A Assess compliance with food safety programs
1. Plan the audit
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2. Confirm that the food business has documented required preliminary work
3. Confirm the food safety program is supported by a tool or template or has been
validated
4. Collect evidence to review and assess implementation of food safety programs
5. Manage the audit process
6. Consolidate audit outcomes
7. Confirm and close out corrective actions
Evidence of ability to: confirm that the food safety program and/or template is appropriate to the
activities of the business review food safety program records to assess compliance against the approved food
safety program and/or template collect and analyse evidence to confirm that the food safety program is consistently
followed and controls all critical risks identify circumstances where variation or customising of the template or food
safety program requires further validation submit non-compliance reports to clearly identify the aspects of the food safety
program that have broken down/need further development in order to prevent recurrence.
FDFAU4004A Identify, evaluate and control food safety hazards
1. Identify food safety hazards in a food business
2. Control food safety hazards in a food business
Evidence of ability to: select a food supply chain and identify: known biological food safety hazards that could occur across the chain and could
present a risk in food at the point of consumption likely patterns of growth and transmission from source of contamination to onset of
consumer symptoms for pathogens likely to occur in the supply chain, including threshold levels
sources of chemical and physical contamination that could present a food safety risk at the time of food consumption, across the chain
impact and indicators of the presence of biological or chemical food safety hazards throughout the food chain
acceptable levels of contamination. These may be established by reference to relevant legislation and/or reference to system requirements
select one stage in the food supply chain (which must be a medium or high risk business or process) and establish or validate control measures and verification records and procedures.
FDFAU4002A Communicate and negotiate to conduct food safety audits
1. Develop a communication plan to support audit processes
2. Select and use appropriate communication methods to conduct an audit
3. Negotiate to achieve agreement on audit outcomes
Evidence of ability to: design a communication plan to meet the needs of stakeholders in an audit process,
specifically where a number of participants have limited English language and literacy skills
facilitate and negotiate to seek understanding of audit outcomes in a conflict-based situation where the outcomes are contested by the auditee. This component of
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assessment must provide opportunities to select and apply appropriate communication methods.
FDFAU4003A Conduct food safety audits
1. Define the scope of the audit
2. Plan the audit
3. Conduct the audit
4. Manage the audit process
5. Consolidate audit outcomes
6. Confirm and close out corrective actions
Evidence of the ability to: Identify food safety legislation applying to a food business. Legislative requirements
may relate to actual or hypothetical food businesses. A minimum of two scenarios must be covered providing that at least one food business operates in a market segment that has to meet compliance requirements in place of or in addition to the Food Standards Code. One such market segment is export meat processors who must comply with the Export Control Act and the Export Meat Orders.
The assessment activity must: identify the relevant legislation applying to the food business taking account of
the industry sector, range of food handling activities undertaken and the markets into which products and/or services are sold.
locate advice on relevant authorities and enforcement agencies in a state or territory and for international markets as appropriate.
explain the legal responsibilities of a given food business. Plan and conduct an audit that complies with legal and client requirements as
appropriate. The criteria and evidence requirements may be developed to apply to an actual or hypothetical food business. The assessee must substantiate: how audit scope and criteria meet legislative and client requirements. the evidence required to assess compliance with the criteria and to support an
objective, reliable and consistent audit outcome. definitions, levels and related reporting of non-conformance to comply with
legislative requirements. Submit completed audit records for the selected audit including the final audit
report, non-conformity reports, corrective action reports, follow up reports and suggestions for improvements to the food safety management system and to the audit process. These latter items may be documented in personal notes rather than part of the formal audit report according to the audit scope.
FDFTEC4003A Control food contamination and spoilage
1. Identify legal responsibilities to produce quality, safe food
2. Identify common causes of food poisoning and contamination
3. Manage control measures to eliminate and/or minimise the risk of
contamination
4. Manage cleaning and sanitation regimes
Evidence of ability to: identify legal, company and quality standards for food products identify common causes of contamination and poisoning, and techniques used to
verify status identify and manage control measures used to address risks manage cleaning procedures to ensure workplace standards meet food safety
requirements.
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Lead Auditor in WHS Management Systems Units YES
NO
BSBWHS604A Evaluate the WHS performance of organisations
1. Evaluate the effectiveness of the organisation’s arrangement for identifying WHS
hazards
2. Evaluate the effectiveness of the organisation’s arrangements for WHS risk
management
3. Evaluate the effectiveness of the organisation’s processes for monitoring WHS
4. Assess outcomes of the organisation’s arrangements for managing WHS
5. Assess and advise on the organisation’s WHS compliance against agreed benchmarks
Evidence of the following is essential: making a comprehensive assessment of an organisation’s WHS performance focusing on the organisation’s strategic planning in relation to WHS knowledge of the nature and use of information and data that provide valid and
reliable results on performance of WHS management processes (including PPIs) and limitations of other types of measures.
BSBWHS606A Conduct a WHS audit
1. Prepare for a WHS audit
2. Develop a WHS audit plan
3. Select appropriate WHS audit tools
4. Gather information, data and WHS records
5. Undertake WHS audit activities
6. Report on the outcomes of the WHS audit
Evidence of the following is essential: conducting an internal or external WHS audit, ensuring knowledge of hazard
identification, risk assessment, risk control and WHS risk-management approaches are reflected in the audit tools and the methods used for collecting evidence
knowledge of products developed for the design and development of audit plans, tools, associated documentation and how these products were developed and used
knowledge of auditing methods and techniques.
Assessor use: All evidence maps have been issued on / /
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