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SOUTH AFRICAN QUALIFICATIONS AUTHORITY 
REGISTERED UNIT STANDARD THAT HAS PASSED THE END DATE: 

Conduct audits of the quality management system 
SAQA US ID UNIT STANDARD TITLE
263400  Conduct audits of the quality management system 
ORIGINATOR
SGB Generic Management 
PRIMARY OR DELEGATED QUALITY ASSURANCE FUNCTIONARY
-  
FIELD SUBFIELD
Field 03 - Business, Commerce and Management Studies Generic Management 
ABET BAND UNIT STANDARD TYPE PRE-2009 NQF LEVEL NQF LEVEL CREDITS
Undefined  Regular  Level 5  Level TBA: Pre-2009 was L5  10 
REGISTRATION STATUS REGISTRATION START DATE REGISTRATION END DATE SAQA DECISION NUMBER
Passed the End Date -
Status was "Reregistered" 		 2018-07-01  2023-06-30  SAQA 06120/18 
LAST DATE FOR ENROLMENT LAST DATE FOR ACHIEVEMENT
2024-06-30   2027-06-30  

In all of the tables in this document, both the pre-2009 NQF Level and the NQF Level is shown. In the text (purpose statements, qualification rules, etc), any references to NQF Levels are to the pre-2009 levels unless specifically stated otherwise.  

This unit standard does not replace any other unit standard and is not replaced by any other unit standard. 

PURPOSE OF THE UNIT STANDARD 
Learners accredited with this Unit Standard will know the importance and the audit process and the types of audit processes. They will be able to plan, prepare for and conduct a quality audit.

Learners credited with this standard will be able to:
  • Demonstrate knowledge of auditing the quality of management systems.
  • Plan and prepare for audits.
  • Conduct audits.
  • Compile an audit report. 
    		•

    LEARNING ASSUMED TO BE IN PLACE AND RECOGNITION OF PRIOR LEARNING 
    It is assumed that the learner has the following knowledge and skills:
  • Communication at NQF Level 4. 
    		•

    UNIT STANDARD RANGE 
    Quality management system audits include but are not limited to ISO 19011 and are internal and external audits. 

    Specific Outcomes and Assessment Criteria: 

    SPECIFIC OUTCOME 1 
    Demonstrate knowledge of auditing quality of management systems. 
    OUTCOME RANGE 
    Auditing quality includes auditing of systems, processes, products and services. 

    ASSESSMENT CRITERIA     

    ASSESSMENT CRITERION 1 
    The characteristics of an auditor are described to ensure effective auditing performance during the auditing process. 

    ASSESSMENT CRITERION 2 
    Principles of auditing and reasons for conducting audits are explained to achieve a common understanding of the purpose of an audit. 
    ASSESSMENT CRITERION RANGE 
    Principles include ethical conduct, fair presentation, due professional care/ good stewardship, independence and an evidence-based approach.
     

    ASSESSMENT CRITERION 3 
    Types of audits are identified and explained to ensure systematic understanding of the auditing process. 
    ASSESSMENT CRITERION RANGE 
    Audits include systems audit, product/service audits, process audits, supplier/customer audits, compliance audits which are classified as first party, second party, third party and further characterised as internal and/or external audits.
     

    ASSESSMENT CRITERION 4 
    Criteria for the different types of audit are explained explained to ensure correctness of the audit being conducted. 

    SPECIFIC OUTCOME 2 
    Plan and prepare for an audit. 

    ASSESSMENT CRITERIA     

    ASSESSMENT CRITERION 1 
    An audit is scoped, planned and scheduled according to requirements. 

    ASSESSMENT CRITERION 2 
    An audit check list is compiled to ensure that relevant criteria are addressed. 

    ASSESSMENT CRITERION 3 
    All parties involved in the audit process are notified of the audit itinerary or audit plan. 

    ASSESSMENT CRITERION 4 
    Audit documentation is prepared according to requirements. 
    ASSESSMENT CRITERION RANGE 
    Audit documentation includes but is not limited to notification, process documentation, finding sheets, agenda, audit programme/itinerary and report format.
     

    SPECIFIC OUTCOME 3 
    Conduct audits. 

    ASSESSMENT CRITERIA     

    ASSESSMENT CRITERION 1 
    An opening meeting is conducted to discuss audit scope, objectives and methodology. 

    ASSESSMENT CRITERION 2 
    The ability to apply the evidence based approach of auditing is demonstrated to ensure that objective evidence is verifiable. 
    ASSESSMENT CRITERION RANGE 
    Evidence based approach includes witnessing, critical questioning and document review, sampling and measurements.
     

    ASSESSMENT CRITERION 3 
    Audit activities are conducted according to audit requirements. 

    ASSESSMENT CRITERION 4 
    Documentation applicable to scope of audit is reviewed for conformance to system requirements. 

    ASSESSMENT CRITERION 5 
    Audit evidence is evaluated against the criteria to determine conformity. 

    ASSESSMENT CRITERION 6 
    Findings of the audit are formulated based on objective evidence. 
    ASSESSMENT CRITERION RANGE 
    Documentation includes finding sheet, non-conformance report.
     

    ASSESSMENT CRITERION 7 
    Corrective and preventive actions are proposed in order to achieve conformity. 

    SPECIFIC OUTCOME 4 
    Finalise an audit. 

    ASSESSMENT CRITERIA     

    ASSESSMENT CRITERION 1 
    Audit findings from audit areas are collated and consolidated in preparation for writing a report. 

    ASSESSMENT CRITERION 2 
    A closing meeting is conducted to discuss the audit and obtain agreement on corrective action. 

    ASSESSMENT CRITERION 3 
    The formal written report is prepared and approved prior to distribution to all parties to ensure accuracy and obtain consensus. 

    ASSESSMENT CRITERION 4 
    Follow-up procedures are proposed in order to verify close out of non-conformances. 


    UNIT STANDARD ACCREDITATION AND MODERATION OPTIONS 
  • An individual wishing to be assessed (including through RPL) against this Unit Standard may apply to an assessment agency, assessor or provider institution accredited by the relevant ETQA, or an ETQA that has a Memorandum of Understanding with the relevant ETQA.
  • Anyone assessing a learner against this Unit Standard must be registered as an assessor with the relevant ETQA or with an ETQA that has a Memorandum of Understanding with the relevant ETQA.
  • Any institution offering learning that will enable achievement of this Unit Standard or assessing this Unit Standard must be accredited as a provider with the relevant ETQA or with an ETQA that has a Memorandum of Understanding with the relevant ETQA.
  • Moderation of assessment will be conducted by the relevant ETQA at its discretion. 
    		•

    UNIT STANDARD DEVELOPMENTAL OUTCOME 
    N/A 

    UNIT STANDARD LINKAGES 
    N/A 


    Critical Cross-field Outcomes (CCFO): 

    UNIT STANDARD CCFO IDENTIFYING 
    Identify and solve problems in which responses display that responsible decisions using critical and creative thinking have been made when:
  • Taking corrective action after conducting an internal audit. 
    		•

    UNIT STANDARD CCFO WORKING 
    Work effectively with others as a member of a team, group, organisation, community to:
  • Plan, prepare and conduct an internal audit. 
    		•

    UNIT STANDARD CCFO ORGANISING 
    Organise and manage oneself and one's activities responsively and effectively when:
  • Planning, preparing and conducting an internal audit.
  • Ensuring that an auditee implements corrective actions.
  • Evaluating findings.
  • Reporting the findings. 
    		•

    UNIT STANDARD CCFO COLLECTING 
    Collect, analyse, organise and critically evaluate information to:
  • Ensure that findings are correct.
  • Ensure effective implementation of corrective action by auditee. 
    		•

    UNIT STANDARD CCFO COMMUNICATING 
    Communicate effectively using visual, mathematical and/or language skills in the modes of oral and / or written presentation to:
  • Conduct audits.
  • Prepare audit reports.
  • Report findings to auditees and clients. 
    		•

    UNIT STANDARD CCFO SCIENCE 
    Use science and technology effectively and critically, showing responsibility towards the environment and the health of others by:
  • Using the equipment according to manufacturer's instructions. 
    		•

    UNIT STANDARD ASSESSOR CRITERIA 
    N/A 

    REREGISTRATION HISTORY 
    As per the SAQA Board decision/s at that time, this unit standard was Reregistered in 2012; 2015. 

    UNIT STANDARD NOTES 
    N/A 

    QUALIFICATIONS UTILISING THIS UNIT STANDARD: 
      ID QUALIFICATION TITLE PRE-2009 NQF LEVEL NQF LEVEL STATUS END DATE PRIMARY OR DELEGATED QA FUNCTIONARY
    Core  66189   National Certificate: Quality Management Systems  Level 5  Level TBA: Pre-2009 was L5  Passed the End Date -
    Status was "Reregistered"     		 2023-06-30  SERVICES 


    PROVIDERS CURRENTLY ACCREDITED TO OFFER THIS UNIT STANDARD: 
    This information shows the current accreditations (i.e. those not past their accreditation end dates), and is the most complete record available to SAQA as of today. Some Primary or Delegated Quality Assurance Functionaries have a lag in their recording systems for provider accreditation, in turn leading to a lag in notifying SAQA of all the providers that they have accredited to offer qualifications and unit standards, as well as any extensions to accreditation end dates. The relevant Primary or Delegated Quality Assurance Functionary should be notified if a record appears to be missing from here.
     
    NONE 


    All qualifications and part qualifications registered on the National Qualifications Framework are public property. Thus the only payment that can be made for them is for service and reproduction. It is illegal to sell this material for profit. If the material is reproduced or quoted, the South African Qualifications Authority (SAQA) should be acknowledged as the source.