NZQA registered unit standard
8084 version 8
Page 1 of 5
Title
Audit quality management systems for compliance with quality
standards
Level
6
Credits
14
Purpose
People credited with this unit standard are able to: prepare to
carry out a quality audit; carry out technical aspects of a quality
audit; carry out interpersonal aspects of a quality audit; report
on a quality audit; and verify corrective actions.
Classification
Business Operations and Development > Quality Management
Available grade
Achieved
Explanatory notes
1
Although not prerequisites, Unit 8086, Demonstrate knowledge required for quality
auditing, and Unit 8085, Demonstrate knowledge of quality and its management
contain useful underpinning knowledge for this unit standard.
2
Definitions
Quality is the degree to which a set of inherent characteristics of products and
services fulfils the stated and implied requirements of customers and other
stakeholders.
Quality management is a philosophy of management that encompasses quality
management systems, customer focus, and a consultative culture. The purpose is to
continuously improve the value of goods and services to internal and external
customers, with outcomes of improved business results and greater effectiveness
and efficiency in day-to-day activities.
Quality management systems refers to a formal management system that establishes
policy and objectives (and ways of achieving them) in order to direct and control an
organisation with regard to quality.
Quality audit is a systematic and independent examination to determine whether
quality activities and related results comply with planned arrangements and whether
these arrangements are implemented effectively and are suitable to achieve
objectives.
Auditee is the organisation, or part thereof, that is to be audited.
Client is the person or organisation requesting the audit. The client can also be the
auditee.
Quality standards are the criteria against which the auditee's performance will be
audited. Examples of such standards may include but are not limited to, as relevant
to the auditee:
AS/NZS 4801:2001: Occupational Health and Safety Management standards –
Specification with guidance for use;
other AS/NZS standards;
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NZQA registered unit standard
8084 version 8
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ACC Partnership Programme: Audit standards (Wellington: Accident Compensation
Corporation, 2002), available at http://www.acc.co.nz/index.htm;
ISO standards;
codes of practice;
any other criteria that have been agreed in the supplied scope of the audit. These
can include auditee's plans, procedures, and quality objectives.
3
All activities must comply with: any policies, procedures, business protocols, and
requirements of the organisation(s) involved; ethical codes and standards of relevant
professional bodies; the cultural requirements of the organisation(s) and individuals
involved; and any relevant legislative and/or regulatory requirements. Activities must
also comply with any guidelines for quality management systems auditing, and any
other special conditions pertaining to the industry being audited.
4
Legislation relevant to this unit standard can include but is not limited to: Health and
Safety in Employment Act 1992, Resource Management Act 1991, Official
Information Act 1982, Privacy Act 1993, State Sector Act 1988, Employment
Relations Act 2000, Fair Trading Act 1986, Consumer Guarantees Act 1993, and
subsequent amendments.
5
This unit standard can be applied to both internal and external audits, and to both
compliance audits and audits conducted for the purpose of identifying opportunities
for improvements.
6
The unit standard focuses on the process, not the scope. Candidates must complete
at least one full workplace audit (either internal or external) that includes all
processes for each outcome of this unit standard. They will work from a supplied
audit scope and plan. The audit may be completed individually or as part of a team.
Outcomes and evidence requirements
Outcome 1
Prepare to carry out a quality audit.
Evidence requirements
1.1
Review of auditee's previous audits establishes possible impacts on the conduct
of the current audit.
1.2
Auditor's individual plan of activities matches the requirements of the supplied
audit plan and enables the objectives of the audit to be met.
1.3
Assembly and production of working papers ensure collection of the required
evidence.
Range
working papers may include but are not limited to – checklists,
quality standards, organisation charts, previous audit reports,
quality system documentation.
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NZQA registered unit standard
8084 version 8
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Outcome 2
Carry out technical aspects of a quality audit.
Evidence requirements
2.1
Audit objectives, audit process, and availability of resources are confirmed with
the auditee before the auditing activities begin.
2.2
Comparison of the quality standards with the auditee's plans for meeting the
standards ensures that variances can be recognised.
2.3
The auditing of auditee's performance against plans for these activities ensures
that variations can be recognised.
2.4
Audit observations are recorded in sufficient detail to ensure that the
subsequent analysis can be carried out to the requirements of the supplied audit
scope and plan.
2.5
Comparisons of observations against auditee's plans and procedures, and
against the quality standards, enable compliance or non-compliance to be
determined.
2.6
Evaluative decisions are made on the basis of sufficient and verifiable evidence
so that the extent of compliance and opportunities for improvement can be
identified.
2.7
Any contingencies that occur during audit are managed to ensure that the
integrity of the audit is not compromised.
Range
2.8
contingencies may include but are not limited to – dangerous and
critical situations, incapacity of auditor to continue, significant
failure of auditee's systems and/or equipment.
Any actions taken as a result of the auditee's responses to findings while the
audit is in process do not compromise the integrity of the audit.
Outcome 3
Carry out interpersonal aspects of a quality audit.
Evidence requirements
3.1
Audit activities facilitate the co-operation of the auditee, the resolution of
conflict, and the communication of all information required to meet the audit
objectives.
3.2
Communication with the auditee and (if applicable) client ensures that all parties
remain informed of the progress of the audit and of any circumstances that
could alter planned arrangements.
NZQA National Qualifications Services
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NZQA registered unit standard
8084 version 8
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3.3
Communication with any other participating auditors ensures the coordination of
audit activities, the consistency of audit performance, and the completion of the
audit plan.
3.4
All communications with auditees and (if applicable) other auditors demonstrate
respect, courtesy and cultural sensitivity.
Outcome 4
Report on a quality audit.
Evidence requirements
4.1
Reports identify the extent of compliance with quality standards and areas
requiring corrective action to ensure compliance, and include recommendations
for improvement where such advice does not compromise the independence of
the auditor.
Range
preliminary report presented at exit interview, final report.
4.2
The presentation of the preliminary report covers the required scope, reflects all
conclusions, findings, and observations, and ensures that the results of the
audit are clearly understood by the auditee.
4.3
Negotiation at exit interview establishes auditee's agreement regarding how,
when, and by whom corrective actions are to be carried out to achieve
compliance with quality standards.
4.4
Final audit report is consistent with the preliminary report and negotiated
outcomes of the exit interview.
4.5
Reports are distributed in accordance with the requirements of the audit plan.
Outcome 5
Verify corrective actions.
Evidence requirements
5.1
The evidence gathered is sufficient for an assessment of whether corrective
actions have been completed.
5.2
Status of corrective actions is reported to client in accordance with negotiated
requirements.
5.3
Where compliance is not achieved, renegotiation with auditee establishes
additional corrective action required to achieve compliance.
NZQA National Qualifications Services
SSB Code 130301
© New Zealand Qualifications Authority 2015
NZQA registered unit standard
Planned review date
8084 version 8
Page 5 of 5
31 December 2019
Status information and last date for assessment for superseded versions
Process
Version Date
Last Date for Assessment
Registration
1
31 August 1996
31 December 2016
Revision
2
7 September 1999
31 December 2016
Revision
3
12 January 2001
31 December 2016
Review
4
22 September 2004
31 December 2016
Rollover and
Revision
5
18 July 2008
31 December 2016
Rollover and
Revision
6
17 November 2011
31 December 2016
Rollover and
Revision
7
18 April 2013
31 December 2018
Rollover
8
16 April 2015
N/A
0113
Consent and Moderation Requirements (CMR) reference
This CMR can be accessed at http://www.nzqa.govt.nz/framework/search/index.do.
Please note
Providers must be granted consent to assess against standards (accredited) by NZQA,
before they can report credits from assessment against unit standards or deliver courses
of study leading to that assessment.
Industry Training Organisations must be granted consent to assess against standards by
NZQA before they can register credits from assessment against unit standards.
Providers and Industry Training Organisations, which have been granted consent and
which are assessing against unit standards must engage with the moderation system that
applies to those standards.
Requirements for consent to assess and an outline of the moderation system that applies
to this standard are outlined in the Consent and Moderation Requirements (CMR). The
CMR also includes useful information about special requirements for organisations wishing
to develop education and training programmes, such as minimum qualifications for tutors
and assessors, and special resource requirements.
Comments on this unit standard
Please contact NZQA National Qualifications Services nqs@nzqa.govt.nz if you wish to
suggest changes to the content of this unit standard.
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© New Zealand Qualifications Authority 2015