BSBAUD511 Initiate Quality Audits
BSBAUD511 Initiate Quality Audits
Name of Participant: ID No:
Completing 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.
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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.
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Tasks in this Assessment include:
Task 81 - Assess quality audit scope and objectives
Task 82 - Communicate with auditee regarding proposed quality audit
Task 83 - Identify resources required to conduct quality audit
Task 84 - Develop and submit quality audit plan
Task 85 - Prepare audit team
Task 86 - Review auditee documentation
Task 87 - Identify and prepare checklists and audit related documentation
Task 88 - Written Questions
Task 89 - Case Study
Task 90 - Application to you and your organisation
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To complete this assessment, you must initiate a quality audit. This can be an internal audit of your own organisation or external audit of an organisation of your choice. In consultation with your trainer, decide on a narrow area of scope and document it in the table below.
If you are also completing BSBAUD512 Lead quality audits and BSBAUD513 Report on quality audits you may use the same scope for all assessments. Therefore, careful consideration and discussion with your trainer is important at this stage to ensure viability.
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.
For the purpose of this assessment, the auditable area should not cover an entire standard/benchmark but a portion of it. Please ensure you discuss this with your trainer prior to commencing your assessment.
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.
Task 81 Assess quality audit scope and objectives
For this unit you will be undertaking the process of initiating an Audit. A flow chart has been provided below to help you through the assessment.
For your own organisation OR for the case study provided undertake the following;
T81.1 Identify and list the relevant standard(s) that will be examined in the audit of the organisation.
Complete the Audit Relevant Standards section of the Audit Engagement form provided.
T81.2 Discuss and determine the audit objectives with the auditee, client and all other relevant parties.
Complete the Audit Objectives section of the Audit Engagement form provided.
T81.3 Discuss and determine the scope of the quality audit with the auditee, client and all other relevant parties.
Complete the Audit Scope section of the Audit Engagement form provided.
T81.4 Considering the objectives and scope of the audit, determine if there are any risks to the auditee from conducting the audit.
Complete the Identify risks within the scope of the audit section of the Audit Engagement form provided.
Task 82 Communicate with auditee regarding proposed quality audit
Continuing with the case study you chose in Task 81, undertake the following;
T82.1 Determine and outline the audit process to establish sequence of audit activities, and the roles of the auditors and auditees in the process.
Complete the Audit Process section of the Audit Engagement form provided.
T82.2 Determine the proposed audit methods and techniques for evidence collection to be applied in the audit and if necessary negotiate to ensure agreement with auditee on these.
Complete the Evidence Collection Techniques section of the Audit Engagement form provided.
T82.3 Using the template provided below, prepare an audit notification according to organisational protocols or attach an audit notification you use in your organisation.
An example has been provided for you.
To: CC: Subject Attachments: Could be a copy of the audit standard and any other relevant information
Main body Dear John,
Thank you for your time this morning. Following our telephone conversation please see attached the audit engagement form and other relevant documentation in preparation for your upcoming audit. Kindly review the audit objectives, scope, audit process and complete the Audit history and organisation description. Once complete please sign and date the bottom.
A desk top audit will be conducted prior to the team going onsite. Please send the audit engagement form by return e-mail along with the following documentation for review;
Quality management system
?
?
Once complete, we will contact you to arrange a date for the audit team to come on site. At this stage we will also send you the audit plan for the duration of the time on site.
Please let me know if you have any questions.
Kind regards,
Joe Blogs
Audit Engagement officer
Global auditing services
Task 83 Identify resources required to conduct quality audit
Continuing with the case study you chose in Task 81, undertake the following;
T83.1 Identify and document the resources the audit team require to perform the quality audit efficiently and effectively.
Complete the Audit Processes section of the Audit Engagement form provided.
T83.2 Identify and document the resources the audit team require the auditee to provide during the audit.
Complete the Audit Processes section of the Audit Engagement form provided.
T83.3 Select audit team members on the basis of relevant expertise and assign roles and responsibilities to audit team members.
Complete the Audit Team Members section of the Audit Engagement form provided.
Task 84 Develop and submit quality audit plan
Using the information gained from the previous tasks and continuing with the case study you chose in Task 81, Develop an Audit Plan by incorporating the information from tasks 81 83 and undertaking the following using the Audit Plan template provided;
T84.1 Develop the quality audit plan according to established scope and objectives determined from the Audit Engagement form you created in T81.
T84.2 Assign timing, schedules and audit team responsibilities for implementation of the audit plan
Task 85 Prepare audit team
Continuing with the case study you chose in Task 81, and based upon the Audit Plan undertake the following,
T85.1 Explain how you would Inform audit team members of their responsibilities, audit objectives and scope. Provide a copy or a draft of the communication process/email/or meeting.
Use a minimum of 5-7 sentences to write your answer below:
T85.2 Explain how you or how you would communicate audit plan and schedules to all audit team members. Provide a copy or a draft of the communication process/email/or meeting.
Use a minimum of 5-7 sentences to write your answer below:
T85.3 Explain how you or how you would discuss and clarify audit methods and techniques with audit team members. Provide a copy or a draft of the communication process/email/or meeting.
Use a minimum of 5-7 sentences to write your answer below:
Task 86 Review auditee documentation
Continuing with the case study you chose in Task 81, undertake the following;
T86.1 Review auditees previous audits to establish possible impact on the conduct of the current audit. Complete the table below.
If this is an initial audit, please explain how previous quality audits could impact on the conduct of an upcoming audit.
Aspect of Past Audit Explanation Action to be Taken Auditor Responsible Expected Time to Complete.
T86.2 Explain how you would source organisational documentation from the auditee and check the relevant organisational documents for accuracy.
Use a minimum of 5-7 sentences to write your answer below:
Task 87 Identify and prepare checklists and audit related documentation
Continuing with the case study you chose in Task 81, and based upon the documents you have created so far undertake the following;
T87.1 Develop an audit checklist to reflect audit scope and objectives. Assign sections/requirements to auditors.
Consider using the template provided
T87.2 Prepare an agenda for the entry and exit meeting
Consider using the template provided
Task 88 Written Questions
Either continuing to use your case study as an example OR through research undertake the following;
T88.1 Explain how you would go about confirming the availability of resources required to conduct the audit with auditee
Use a minimum of 5-7 sentences to write your answer below:
T88.2 Explain how you would go about resolving any arising problems with auditee and relevant parties.
Use a minimum of 5-7 sentences to write your answer below:
T88.3 Explain the purpose of the audit plan. When and how you would submit an audit plan to the auditee?
Use a minimum of 5-7 sentences to write your answer below:
T88.4 List and briefly explain the relevant auditing codes of practice or ethics
Use a minimum of 5-7 sentences to write your answer below:
T88.5 Desk top, onsite and remote are types of audit methods. Please explain these audit methods including their strengths and limitations.
Use a minimum of 5-7 sentences to write your answer below:
T88.6 List and explain three techniques for auditing.
Use a minimum of 5-7 sentences to write your answer below:
T88.7 Briefly outline the requirements of auditing regulations and standards
Use a minimum of 5-7 sentences to write your answer below:
T88.8 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 5-7 sentences to write your answer below:
T88.9 Briefly outline quality auditing principles
Use a minimum of 5-7 sentences to write your answer below:
T88.10 Briefly describe the requirements of in house or other style manual protocols for written communications
Use a minimum of 5-7 sentences to write your answer below:
T88.11 Identify two (2) software applications relevant to quality auditing activities and briefly describe them
Use a minimum of 5-7 sentences to write your answer below:
T88.12 Explain in 5-7 sentences how you would or could include value adding activities to the quality audit being conducted.
Use a minimum of 5-7 sentences to write your answer below:
Task 89 Case Study
Initiate a quality audit at Global Auditing Services,
Global Auditing 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 Auditing Services as an auditor. You have participated in several audits with the company and have recently been signed off as a lead auditor. You will now Lead a team to conduct an audit for Chives Restaurant.
Chives Restaurant 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 Auditing Services to conduct a food safety audit of their Restaurant. They are a busy Restaurant with 10 staff members. They open from 6am until 10pm daily serving breakfast, lunch and dinner.
Meeting with Sarah, Global Auditing Contract Manager
Sarah, the contract manager has had an initial conversation with Jamie the Manager at Chives Restaurant and sent him the audit engagement form. He is happy to proceed with the audit and has signed and returned the audit engagement form to Sarah. Sarah has briefed you about the upcoming audit and sent you the audit engagement form via e-mail. She also advised that Jamie told her the best time for conducting staff interviews will be from 2pm after the lunchtime rush.
Sarah has advised you that your auditing team will include Kate Whislet, Kate@globalauditing.com.au, Gerard Butler, Gerard@globalauditing.com.au and Chris Hemsworth, Chris@globalauditing.com.au, who are all experienced auditors in the food service sector.
The desk top audit has been completed. The onsite audit has been scheduled for next week.
T89 Using the Audit engagement form provided, prepare the audit plan and to send to Jamie, Manger at Chives Restaurant in preparation for the upcoming audit. Consider using the template below.
Audit Engagement
Client: Chives Restaurant Date: Lead Auditor:
Audit Objective: 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.
Identify risks within the scope of the audit
Global Auditing services takes a risk based approach to audit planning. The risks of the audit activities on the auditees processes has been considered by the lead auditor and this audit has been deemed low risk for the following reasons;
Considerable planning
Audit team composition
Risks to the auditee created by performing the audit e.g. site walk around introducing contamination to the facility have been consider and will be mitigated by the team wearing appropriate PPE and practicing good hygiene.
Audit History
This is the first surveillance audit. The initial audit was conducted 12 months ago.
Organisational Description and Structure
All of our menu items ay Chives Restaurant are inspired by international cuisine and have been created by our head chef, Olwyn. Olwyn was born in Australia. She has travelled the world by land and Sea and has returned home to Australia to bring you the best of what the world has to offer. Not only do we have fresh local meat and seafood, infused with international herbs and spices we also have a variety of handcrafted cocktails, wine, and beer to choose from.
-6477010687800
Evidence Collection Techniques
List here the techniques you will use to collect data e.g. interviews, observation etc.
Documentation Review Documents reviewed to determine conformity of the Quality Management System (QMS) documentation to audit criteria.
Interviews To evaluate desired professional behaviour and communication skills, to verify information and/or test knowledge and to acquire additional information
Observation To evaluate desired professional behaviour and the ability to apply knowledge and skills
Auditees Representatives
Name Position in the company Contact details
Jamie Mahoney Restaurant Manager jamie@chives.com
Olwyn O Leary Head Chef olwyn@chives.com
Jacqui Miley Front of house Manager jacqui@chives.com
Audit Process
Audit Requirement
(the stage of the audit) Explanation
(provide an explanation as to what this stage involves) Resources Required to be supplied by the auditee. Resources Required to be supplied by the audit team Auditees Responsibility Auditor Responsible & Responsibility
Audit Engagement The audit engagement is used in the planning stage of the upcoming audit. It details the audit objectives, scope, identified risk of conducting the audit and auditing techniques. It also provides an overview of the business being audited. N/A N/A Review and sign Contract Manager
Desk top Review Documents reviewed prior to on-site activities to determine conformity of the Quality Management System (QMS) documentation to audit criteria. N/A N/A The auditee is to supply the requested documentation TBA
Entry Meeting Outline of agenda for the audit Meeting room Meeting agenda Attend meeting Lead auditor to facilitate meeting
Site walk around Auditors will inspect your premises and equipment as required. Business can operate as usual. -Operations manager
-One production line must be in operation as a minimum during the site walk around. -Equipment for sample collection.
Provide access All Audit Team Members
Workplace Interviews Auditors will speak with relevant staff as requested. Staff will be chosen at random. Meeting room Interview Questionnaires Provide access and time for staff to be interviewed. TBA
Review of documents Review selection of documents that were not provided electronically to verify against the QMS. These will be randomly selected by the auditor. Documentation for review N/A Provide access to documents and records as requested. Auditors meeting Auditors will meet to discuss audit findings. Meeting room N/A Provide meeting room Exit meeting Review outcomes of the audit and next steps. Meeting room with AV capabilities Attend meeting Lead auditor to facilitate meeting
Draft report received The lead auditor will send the auditee a draft report to review and sign if in agreement. N/A N/A Review the draft report and sign Lead auditor
Corrective actions determined and closed out as applicable The auditee will determine the corrective actions to close out any non-conformances raised and advised the lead auditor. N/A N/A Determine the corrective actions against the NC raised Lead auditor
Audit completion The lead auditor will establish whether the corrective action taken meets the requirements of the standard. N/A N/A N/A Lead auditor
Final report received The lead auditor will send the final report to the auditee for their records. N/A N/A N/A Lead auditor
Audit Plan
Client: Date: Lead Auditor:
Audit Objectives:
Audit Scope
Industry Type: Audit Area: Audit Width: Audit Depth: Audit Duration: Audit Relevant Standards: Auditees Representative Audit Team Members Reason for Selection Responsibilities
Audit Schedule and Responsibilities
Time Audit Requirement Explanation Expected Evidence Gathering Technique & Resources Required Auditees Responsibility Auditor Responsible & Responsibility
To: Jamie@chivesrestaurant.com.au
CC: Subject Attachments: Main body Task 90 - Application to you and your organisation
Considering what you have learned in this unit,answer the following questions:
T90.1What is the number one thing you have learned from this unitAND why is it number one?
Use a minimum of 6-8 sentences to write your answer below:
T90.2How will this new knowledge benefitYouand/oryour organisation?
Use a minimum of 6-8 sentences to write your answer below:
T90.3To apply this knowledge, in your life or organisation, what is the next step you will need to take?
Use a minimum of 6-8 sentences to write your answer below:
T90.4When will this step be completed?
Add a date here
Audit Phases
