BSBAUD411 Participate in Quality Audits
BSBAUD411 Participate in Quality Audits
Name of Participant: ID No:
Completing your assessment
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Refer to your training plan for the assessment due date and correct order to complete this unit.
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Submitting your assessment
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Assessment Requirements
Complete ALL assessment tasks, projects and questions to a Satisfactory standard, ensuring that you provide enough evidence for your Assessor to prove that you are competent in the unit.
Complete this Assessment which involves research and other activities that will make sure you have the skills and knowledge required to demonstrate that you are competent in this unit.
Each assessment task is designed to assess your understanding and skills of the unit.
Sometimes activities may be available that will help you understand the whys and the hows - the theories and techniques - and to enrich your skills so that they are transferable to other situations.
If you do NOT complete some sections of a task or provide enough details etc., your evidence will be deemed Not Satisfactory, meaning that more evidence is required.
Your Assessor will then ask you to provide More Evidence, so that you can resubmit your assessment or ask you some further questions. You are allowed to resubmit your assessment evidence up to 3 times before you are deemed Not Yet Competent for the unit. Please refer to Global Training Institute Handbook, found on our website, for more details.
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Tasks in this Assessment include:
Task 411 - Review Auditee documentation
Task 412 - Participate in developing audit schedules
Task 413 - Gather and analyse information
Task 414 - Evaluate information
Task 415 - Report findings
Task 416 - Participate in exit meeting
Task 417 - Research and Explain
Task 418 - Participate in a quality audit at Global Food Safety Services.
Task 411 - Review Auditee documentation
Choose one of the following internal or external audits;
A work Organised Quality Audit (this could be an audit done in the past or one that is going on now at work)
An auditable area of a project or process you are managing, going to manage or have managed.
An auditable area of a club or non for profit organisation you are familiar with.
An auditable area of Your work area or work tasks.
Auditable Areas: include but are not limited to the following;
Communication and reporting to authority and stakeholders
Human Resources (employing, recruitment, select and induction of staff)
Performance managing staff in project
Contract for project
Finance (cost)
Time
Admin (forms, reporting)
Risk Management systems
WHS
Quality
Environment/sustainability.
For the purpose of assessment, the auditable area should not cover an entire standard but a portion of it. You can discuss this further with your trainer.
Complete the following, checking that you have the relevant organisational, national or international benchmarks or standards required to audit against.
T411.1 State, using 4-6 sentences the auditable area you will use as your case study. Explain in detail what benchmark you will be auditing against. This could be regulation, legislation, codes of practice, policies and procedures or a voluntary standard. Also, outline your role and responsibilities within quality audit team.
Use a minimum of 4-6 sentences to write your answer below:
T411.2 Explain three reasons why, reviewing your auditees previous quality audits to establish possible impacts on the current audit is important.
Use a minimum of 4-6 sentences to write your answer below:
T411.3 Using your chosen case study, list the relevant organisational documents you would source from the lead auditor for review. These would be documents the lead auditor has requested from the auditee for the initial desktop audit. In 4-6 sentences, explain how you would check the adequacy of these documents.
Use a minimum of 4-6 sentences to write your answer below:
T411.4 Using your chosen case study, explain how would you go about obtaining further documentation if the documents you received and reviewed in T411.3 were not complete or unsuitable.
Use a minimum of 4-6 sentences to write your answer below:
T411.5 Using your chosen case study, explain how you would, with the help of the lead auditor, resolve documentation issues with the auditee and relevant stakeholders.
Remember to keep in mind the scope of your role.
Use a minimum of 4-6 sentences to write your answer below:
T411.6 Identify aspects of the audit that may require the use of specialists and advise the lead auditor. Explain to the lead auditor why you believe this is the case.
If your chosen case study does not require the use of a specialist, please provide an example.
Use a minimum of 6-8 sentences to write your answer below:
Task 412 - Participate in developing audit schedules
For your case study chosen in T 411 undertake the following;
T412.1.1 Decide on a narrow area of scope for your audit case study and complete the table below. It is recommended you discuss your proposed audit scope with your trainer.
For the purpose of this assessment, to be considered a narrow audit scope, the scope must meet the following requirements as a minimum;
Requires the following three auditing techniques as a minimum:
Documentation review
Observation and
Interviewing
Must cover at least one activity or one process or one division or one location etc.
The auditing checklist used to document objective evidence must include at least ten questions.
Students: please remember to delete out the guidance notes below in grey before submitting your assessment for marking.
Audit Objective: What is the objective the audit is hoping to achieve? It may be one or more
Audit Scope
Industry Type:
What industry is your client e.g. agriculture and food, accommodation and food services, health care and social assistance, mining, construction, education and training etc.
Audit Area:
What area is the main focus of the audit e.g. WHS safety, food safety, environmental, Industry standard compliance
Audit Width:
How wide will the audit go, what aspects will be audited e.g. across all aspects of the organisation, divisions, and locations and will encompass customers/clients.
Audit Depth:
How deep will the audit go? E.g. to only policy level or from the policy to the implementation and recording of the policy including all systems and procedures.
Audit Relevant Standards:
What standards, legislation or codes of practice will the audit measure the organisation against? This could be just one. For the purpose of this assessment it could be just a section of a standard.
T412.1.2 Access or prepare and provide the appropriate checklists and a list of the tools and copies of audit related documentation for the audit. Some documents you can consider are: Engagement Agreement, Interview record form, Corrective Action Form (CAR), Observations forms and Checklists. You are welcome to use your work related documents or the templates provided.
Embed your documents here or upload them with your assessment submission
Please name it;
SURENAME_FIRSTNAME_BSBAUD411_T412.1_Checklist
SURENAME_FIRSTNAME_BSBAUD411_T412.1_InterviewRecords . etc.
T412.2 Access or prepare an audit schedule/plan and a list of required resources to provide to the auditee before beginning auditing activities. Provide this to the lead auditor for confirmation.
Embed your documents here or upload them with your assessment submission
Please name it;
SURENAME_FIRSTNAME_BSBAUD411_T412.2_AuditPlan
T412.3 Provide a list of possible issues and outline strategies to address these issues, should they arise. Consider aspects like emergencies, key people absent etc.
Use a minimum of 6-8 sentences to write your answer below:
T412.4 Explain the process you would use to confirm with required personnel, that preparation activities and documentation align with the audit plan.
Use a minimum of 6-8 sentences to write your answer below:
T412.5 Using your chosen case study, explain how the auditing team would determine appropriate auditing methods and techniques.
Use a minimum of 6-8 sentences to write your answer below:
T412.6 Using your chosen case study, create an entry and exit meeting agenda. You are welcome to use your work related documents or the template provided. How would you present these to the required team members?
Embed your documents here or upload them with your assessment submission
Please name it;
SURENAME_FIRSTNAME_BSBAUD411_T412.6_ENTRY
SURENAME_FIRSTNAME_BSBAUD411_T412.6_EXIT
T412.7 Using your chosen case study, participate in entry meeting and provide the meeting minutes based on the prepared agenda.
Embed your documents here or upload them with your assessment submission
Please name it;
SURENAME_FIRSTNAME_BSBAUD411_T412.7_Entry meeting minutes
Task 413 - Gather and analyse information
For your case study chosen in T411 undertake the following;
T413.1 Provide a list of potential sources of information an auditor may need access to during an audit. Explain how you would access these.
Use a minimum of 4-6 sentences to write your answer below:
T413.2 Explain how you would collect and make an initial assessment of sample documentation.
Additional information such as examples or suggestions written here.
Use a minimum of 4-6 sentences to write your answer below:
T413.3 Using 4-6 sentences explain how you would communicate with appropriate persons in relation to documentation. What communication skills would you use?
Use a minimum of 4-6 sentences to write your answer below:
T413.4 What are some of the trends or patterns that might be discovered during an audit? Why might their discovery be important?
Use a minimum of 6-8 sentences to write your answer below:
Task 414 - Evaluate information
Please embed your completed audit checklist as supporting evidence for T414.1-3.
Remember to name it SURENAME_FIRSTNAME_BSBAUD411_T414_completed audit checklist
For your case study chosen in T411 please answer the following;
T414.1 Explain how you evaluated the information against the prescribed benchmarks for the audit area.
Use a minimum of 6-8 sentences to write your answer below:
T414.2 Explain how you formed your objective decision regarding the level of compliance/conformance found.
Use a minimum of 6-8 sentences to write your answer below:
T414.3 Clearly show in your completed checklist how your opinions are formed from and supported by available information by referencing this information in the checklist. Explain below what is meant by objective evidence.
Use a minimum of 6-8 sentences to write your answer below:
Task 415 - Report findings
For your case study chosen in T 411 and from your evaluation in T414 undertake the following;
T415.1 Explain how you would formulate your findings. Prepare and provide recommendations for corrective action to present to the lead auditor if discrepancies or non-compliances are detected.
Embed your documents here or upload them with your assessment submission
Please name it;
SURENAME_FIRSTNAME_BSBAUD411_T415_CAR
T415.2 Using 4-6 sentences explain how you would examine results/findings against audit objectives and present to lead auditor
Use a minimum of 6-8 sentences to write your answer below:
T415.3 Provide a report to the lead auditor with your recommendations for improvements as applicable.
Use a minimum of 6-8 sentences to write your answer below:
Task 416 - Participate in exit meeting
For your case study chosen in T411 and from your exit meeting agenda in T412.6 undertake the following;
T416.1 Prepare for exit meeting by adding specific aspects to the exit meeting agenda you created in T412.6. Provide the updated agenda.
Embed your documents here or upload them with your assessment submission
Please name it;
SURENAME_FIRSTNAME_BSBAUD411_T412.6_EXIT_Updated
T416.2 Using 4-6 sentences, explain how you would ensure context and consequences of the audit are explained and follow up is discussed.
Use a minimum of 4-6 sentences to write your answer below:
Task 417 - Research and Explain
You may need to conduct further research to answers following questions;
T417.1 What is an auditing benchmark?
Use a minimum of 4-6 sentences to write your answer below:
T417.2 Desk top, onsite and remote are types of audit methods. Please explain these audit methods including their strengths and limitations.
Use a minimum of 4-6 sentences to write your answer below:
T417.3 List and explain three techniques for auditing.
Additional information such as examples or suggestions written here.
Use a minimum of 4-6 sentences to write your answer below:
T417.4 Internal and external audits are the current quality audit practices. These are often known as 1st party, 2nd party and 3rd party audits. Please explain these current audit practices and provide an example for each.
Use a minimum of 4-6 sentences to write your answer below:
T417.5 Identify current industry products and/or services and technology to assist in the auditing process.
Use a minimum of 4-6 sentences to write your answer below:
T417.6 List and explain the key components of an audit plan
Use a minimum of 4-6 sentences to write your answer below:
T417.7 Patterns, trends, interrelationships and areas of risk in an organisational quality system are valuable indicators of potential non-conformances. Comment on a time these were identified in an audit you participated in.
Use a minimum of 4-6 sentences to write your answer below:
Task 418 - Participate in a quality audit at Global Food Safety Services.
Global Food Safety Services is a company based in the Sunshine Coast approved to conduct Food Safety Audits for businesses selling food across Australia. You are working for Global Food Safety Services as an auditor. You will participate in an upcoming audit for Surfs Up Caf.
Surfs up caf is committed to food safety and wants to ensure the food they sell is safe for their customers to eat. They have voluntarily engaged Global Food Safety Services to conduct a food safety audit of their caf. They are a busy caf with 10 staff members. Billy and Jane have just been hired for the summer season. They open from 6am until 2pm daily serving an all-day breakfast menu.
Meeting with the Lead Auditor
The lead auditor has asked you to review some documentation prior to the audit team going on site. You had a short meeting with the lead auditor and were informed of the following information:
The lead auditor has received the audit engagement form along with the requested documentation from the client. The onsite audit is scheduled for two weeks time. The lead auditor has advised you the document titled Food Safety Management System that has been attached to the e-mail cannot be opened. The following information has been received from the client and has been forwarded to your e-mail for review.
Food Business License
Staff training Matrix
A sample of Training certificates for staff
The lead auditor has assigned you the following tasks;
Review the documentation against the requirements of the standard
Complete the audit checklist by documenting the objective evidence gathered
Request from the client the Food Safety Management system file again
Review the audit plan and send to the client confirming the time and date
After you have sent the e-mail to the client
You have received the Food Safety Management System file by return e-mail from the client and can open it successfully. It contains the following information.
Surfs up caf has a food safety management plan. This is version 2 of the system as it was last reviewed in March 2021. The Food Safety Team consist of Joey, caf owner, Tom, head chef, and Joanne, wait staff.
Using the Food Safety management system, you have received, complete the rest of the checklist. If Non conformances are found, complete the corrective action report and return both to the lead auditor for review.
Note: any non-conformances found can be classified as minor.
Audit Plan
Client: Surfs Up Cafe Date: Lead Auditor: Sarah Hughes
Audit Objectives
The objective of the audit is to review the organisations compliance in accordance with Food Standards, Australia New Zealand (FSANZ), Food standards code, Chapter 3: Food Safety Standards, Standard 3.2.2: Food Safety practices and general requirements.
Audit Scope
Industry Type:
Food Service
Audit Area:
Main Kitchen only
Audit Width:
From goods intake to Service
Audit Depth:
Policies, procedures and implementation
Audit Duration:
1 day
Audit Relevant Standards:
Food standards code, Chapter 3: Food Safety Standards, Standard 3.2.2: Food Safety practices and general requirements.
Auditees Representative
Joey Bell, Caf Owner
0412854269
Audit Team Members Reason for Selection Responsibilities
Sarah Hughes Experience in the Food Service Industry Lead Auditor
Your name Experience in the Food Service Industry, Auditor in training Shadow Auditor
David O Shea Experience in the Food Service Industry Auditor
Audit Schedule and Responsibilities
Time Audit Requirement Explanation Expected Evidence Gathering Technique & Resources Required Auditees Responsibility Auditor Responsible & Responsibility Priority
9am-9.30am Entry Meeting Outline of agenda for the audit Meeting room Attend meeting All, facilitate meeting 1
9.30am-10.30am Site walk around Auditors will inspect your premises and equipment as required. Business can operate as usual. Observation Provide access All 2
10.30-11am Morning tea All 11-12.30pm Workplace Interviews Auditors will speak with relevant staff as requested. Staff will be chosen at random. Interviewing Provide access and time for staff to be interviewed. Sarah and David
Conduct interviews 3
12.30-1pm Lunch All 1-2.30pm Review of documents Review selection of documents that were not provided electronically. These will be randomly selected by the auditor. Documentation review Provide access to documents and records as requested. Sarah and David Request and review documents. 4
2.30-3pm Auditors meeting Auditors will meet to discuss findings. Meeting room Provide meeting room All 5
3pm-3.30pm Exit meeting Review outcomes of the audit and next steps. Meeting room Attend meeting All, facilitate meeting 6
Audit Checklist- Food Safety Management System Documentation Review
Client: Surfs Up Caf Audit Date: Lead Auditor: Sarah Hughes
Audit Checklist for Standard: Food Standards, Australia New Zealand (FSANZ), Food standards code, Chapter 3: Food Safety Standards, Standard 3.2.2: Food Safety practices and general requirements, Clause 3 and Clause 25.
Audit Requirement
(Clause) Question Guidelines for auditors and suggested verification.( Classification
(yes/no) Auditor Responsible Comments of evidence and observations
Food Safety Management System
Clause 25 (a)- a food safety program that meets the requirements for food safety programs in the Act, regulations under the Act.
Q1. Is the Food Business registered with the local council? Sight food Business Licence;
Expire date
Licence number
Issuing council
Q2. Is there a food safety management system in place? Sight the Food Safety Management System
Version number
Date of issue
Q3. Has a Food Safety Team been assembled? List the names and Food Safety positions of the team members.
Staff Training
Clause 3- Food handling skills and knowledge)
Q4. Are all staff trained appropriately?
Including refresher training if required?
Sight training records of a sample of Staff. This could be on the job or formal training.
Training provider
Date
Certificate number Q5. Do the Food Safety Team members have adequate training? Sight Food Safety Supervisor records for at least one staff member.
Training provider
Date
Certificate number Q6. Are staff training records kept on file? Document where they are located. Folder, computer etc.
Corrective Action Report
Clause/ Question Description of Non-conformity/observation Classification
(Minor/Major/observation) To address by date Corrective action
(To be completed by client)
