BSBAUD512 Lead Quality Audits
BSBAUD512 Lead 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 101 - Conduct entry meeting
Task 102 - Identify and gather information
Task 103 - Manage audit team resources
Task 104 - Conduct exit meeting
Task 105 - Guide team members in co tenuously improving their performance
Task 106 - Written Questions
Task 107 - Case Study
Task 108 - Application to you and your organisation
Audit Scope Instructions
To complete this assessment, you must conduct 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.
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 101 - Conduct entry meeting
For this unit you will be leading an audit team as they conduct a quality audit. This can be an internal audit of your own organisation or external audit of an organisation of your choice. For an organisation of your choice OR for the case study provided undertake the following;
T101.1 How would you confirm the agenda and audit plan are prepared for the entry meeting? Please attach the completed audit plan.
T101.2 Lead the entry meeting and complete the record of the entry meeting below. Areas in blue must be completed.
Record of Entry meeting
1.1 Client: 1.2 Lead Auditor: 1.3 Auditing Team: 2.1 Date: Time (approx. fromto): 2.2 Persons present during the entry meeting: Name Position
1.
2.
3. Topic Covered NA Comment
2.3 Mutual introductions
2.4 Introduction of accompanying persons and their respective roles
2.5 Clarifying scope of the audit
2.6 Reconfirming confidentiality
2.7 Declaring any conflicts of interest
2.8 Review and confirm proposed audit plan (document any changes)
2.9 Clarifying sites to be visited, persons to be interviewed, and documents to be reviewed
2.9 Requesting permission to take pictures
2.10 Others: Task 102 Identify and gather information
Complete the following tasks by conducting the audit of the organisation you chose in Task 101.
T102.1 Identify sources of information relevant to the scope of your audit. Request these from the auditee for review. Using the audit checklist/observation checklist you have created (templates provided) or been provided with by your organisation, document your findings.
T102.2 Using the interview questionnaire you have created (templates provided) or been provided with by your organisation, Interview relevant stakeholders and document your findings.
Task 103 Manage audit team resources
While conducting the audit chosen in Task 101, respond to the following;
T103.1 Explain the process you used to supervise the activities of audit team members. Consider providing an example as part of your response.
Use a minimum of 5 sentences to write your answer below:
T103.2 Explain the process you used or would use to re assign team members as required. Consider providing an example of when you did this as part of your response.
Use a minimum of 5 sentences to write your answer below:
T103.3 Explain the process you used or would use to instigate contingency actions as required. Consider providing an example of when you did this as part of your response.
Use a minimum of 5 sentences to write your answer below:
Task 104 Conduct exit meeting
Continuing with the audit you chose in Task 101, complete the following;
T104.1 Explain the process you and your team used to seek and reach agreement on audit findings and examine these against the audit objectives prior to the exit meeting.
Consider providing an example as part of your response.
Use a minimum of 6-8 sentences to write your answer below:
T104.2 Prepare for the exit meeting by populating the exit meeting agenda below with the audit findings.
Areas in green must be completed.
T104.3 Lead the exit meeting and present the findings to the auditee. Complete the record of the exit meeting below.
Areas in blue must be completed.
Record of Exit meeting
1.1 Client: 1.2 Lead Auditor: 1.3 Auditing Team: 3.1 Date: Time (approx. fromto): 3.2 Persons present during the closing meeting: 1.
2.
3.
Topic Covered NA Comment
3.3 Reconfirming that results are only preliminary until the final report is issued.
3.4 General feedback to auditee, regarding co-operation during the audit, positive aspects, etc.
3.5 Explanation of reporting arrangements, next steps and respective timelines
3.6 Document timelines agreed upon
3.7 Reconfirming confidentiality Findings, context and consequences of audit
3.8 Non-conformances (NCs): No NCS raised during the audit NCs are listed in: NCs are listed here Below
Clause/Question Description of Non-conformity/ observation Classification
(Minor/Major/ observation) To address by date
T104.4 Complete and submit the final audit report according to the audit plan.
You can use your own template or use the template provided
Task 105 Guide team members in co tenuously improving their performance
Continuing with the audit you chose in Task 101, complete the following;
T105.1 Explain the process you used or would use to provide feedback on performance, encourage and support audit team members to critique and continuously improve their own work.
Consider providing an example in your response.
Use a minimum of 5-7 sentences to write your answer below:
T105.2 Using the template below, conduct an auditor evaluation, provide and document advice for individual improvement for two members of your auditing team. The auditor may not have participated in all aspects of the audit. As a minimum you must complete parts 1, 3, 4, 5.
Auditor Performance Evaluation Team Member 1
Auditor Evaluator Date/ Location Audit Criteria/ Standard version left2583815Guide
x = requires improvement
= satisfactory
- = not relevant/not evaluated
00Guide
x = requires improvement
= satisfactory
- = not relevant/not evaluated
Part 1: Preparation
The audit well prepared (trip, coordination / communication with client etc.)
Relevant regulations and rules are a) present, b) up to date, c) known
History of operation (conditions and sanctions etc.) are known
All relevant client documentation is available for audit
Comments:
Part 2: Opening Meeting
Overview of the audit program and how the audit will be undertaken
Clarify roles and responsibilities, Brief intro and clarification on backgrounds and roles for the audit.
Review confidentiality of documents and processes
Emphasise the need for objective and verifiable evidence
Explain the significance should any new non-conformities or observations be raised
Invite questions from client and other stakeholder
Comments:
Part 3: Requirements
Verify if client has addressed amendments to the standard if applicable (e.g. new version requirements).
Have there been any changes to normative docs? [e.g. national or local legislation]
Inspect documentation and areas within facility for compliance and collect sufficient evidence
Comments:
Part 4: Evaluating progress against conditions/ non-conformances and confirming continuous compliance
Audits compliance with and progress against NCs
If changes are required, note that they are justified in the Surveillance Report.
Evaluation compliance to indicators of the standard
Comments:
Part 5: Closing Conditions/ NCs
Examined relevant objective evidence.
Determine If progress is adequate/ inadequate.
Comments:
Part 6: Closing Meeting
Auditor summarises findings of inspection and details of NCs
Present recommendations for or against certification or its continuance.
Explain procedures and timelines
Explain the continual (surveillance) assessment cycle and focus on any forward planning to include sufficient time for new process.
Invite questions from the client representatives
Comments:
References, Suggestions and Questions
.
....
.
Confirmation, that the report was discussed
Date and signature of evaluator: Date and signature of Auditor: Auditor Performance Evaluation Team Member 2
Auditor Evaluator Date/ Location Audit Criteria/ Standard version left210185Guide
x = requires improvement
= satisfactory
- = not relevant/not evaluated
00Guide
x = requires improvement
= satisfactory
- = not relevant/not evaluated
Part 1: Preparation
The auditor was well prepared (trip, coordination / communication with client etc.)
Relevant regulations and rules are: a) present, b) up to date, c) known
History of operation and previous NCs are known
Comments:
Part 2: Opening Meeting
Overview of the audit program and how the audit will be undertaken
Clarify roles and responsibilities, Brief intro and clarification on backgrounds and roles for the audit.
Review confidentiality of documents and processes
Emphasise the need for objective and verifiable evidence
Explain the significance should any new non-conformities or observations be raised
Invite questions from client and other stakeholder
Comments:
Part 3: Requirements
Verify if client has addressed amendments to standard if applicable (e.g. new version requirements).
Have there been any changes to normative docs? [e.g. national or local legislation]
Inspect documentation and areas within facility for compliance and collect sufficient evidence
Comments:
Part 4: Evaluating progress against conditions/ non-conformances and confirming continuous compliance
Audits compliance with and progress against NCs
If changes are required, note that they are justified in the Surveillance Report.
Evaluation compliance to indicators of the standard
Comments:
Part 5: Closing Conditions/ NCs
Examined relevant objective evidence.
Determine If progress is adequate/ inadequate,
Comments:
Part 6: Closing Meeting
Auditor summarises findings of inspection and details of NCs
Present recommendations for or against certification or its continuance.
Explain procedures and timelines
Explain the continual (surveillance) assessment cycle and focus on any forward planning to include sufficient time for new process.
Invite questions from the client representatives
Comments:
References, Suggestions and Questions
.
....
.
Confirmation, that the report was discussed
Date and signature of evaluator: Date and signature of Auditor:
Task 106 Written Questions
T106.1 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:
T106.2. List and explain three techniques for auditing (this could include inspection, observation, Inquiry and confirmation).
Use a minimum of 5-7 sentences to write your answer below:
T106.3 Briefly outline quality auditing principles
Use a minimum of 5-7 sentences to write your answer below:
T106.4 Please explain what is meant by the requirements of auditing standards
Use a minimum of 5-7 sentences to write your answer below:
T106.4 Identify and briefly discuss the key features of technology required for quality auditing activities.
Use a minimum of 5-7 sentences to write your answer below:
Task 107 - Case Study
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 caf. They are a busy caf with 10 staff members. They open from 6am until 10pm daily serving breakfast, lunch and dinner.
Scenario 1- Audit Plan
Kate, a member of the auditing team has called you to say that she is sick and will not be able to attend the audit tomorrow. Leonardo is available to fill in for Katie. His e-mail address is Leonardo@globalauditing.com.au
You prepared the audit plan last week (use the audit plan you have prepared in BSBAUD511- Initiate a quality audit. If you did not compete this unit with GTI, your trainer will provide you with an audit plan).
Task 1
You are doing the final checks of the audit paperwork before you go onsite tomorrow. You will now need to amend the audit plan as Leonardo will be filling in for Kate. Also, review the audit plan and confirm it includes the objectives, scope and other required information.
Scenario 2- Entry meeting
It is the day of the onsite audit. You and the audit team have arrived onsite, been greeted by Jamie the Manager at Chives Restaurant and shown to the meeting room. You are delighted when you smell their freshly brewed coffee and see the beautiful pastries, they have provided for you and the team!
You have a polite chit chat before the opening meeting commences. Gerard Butler, Gerard@globalauditing.com.au and Chris Hemsworth, Chris@globalauditing.com.au, Leonardo DiCaprio, Leonardo@globalauditing.com.au and yourself are present. Jamie Mahoney, Restaurant Manager, Olwyn O Leary, Head Chef and Jacqui Miley, Front of house Manager are all present for the opening meeting. Everyone present introduces themselves and their role within the business. The scope of the audit has remained the same and you have explained Leonardo is filling in for Kate which has been reflected in the revised audit plan e-mailed yesterday. Confidentiality agreements have been signed and there were no conflicts of interest to declare. Jamie is happy for the audit team to take any photos that may be required and has been assured they are strictly used for the purpose of this audit and remain confidential. The audit will be conducted at this site only. Jamie has provided you with a list of staff members working today and you have selected John and Bernie for staff interviews. Documentation has been reviewed prior to coming onsite, however for verification documents will be selected for review by the audit team on an adhoc basis while onsite.
Task 2
Conduct the entry meeting and complete the record of entry meeting below. You are welcome to use artistic impression where necessary.
Record of Entry meeting
1.1 Client: 1.2 Lead Auditor: 1.3 Auditing Team: 2.1 Date: Time (approx. fromto): 2.2 Persons present during the entry meeting: Name Position
1.
2.
3. Topic Covered NA Comment
2.3 Mutual introductions
2.4 Introduction of accompanying persons and their respective roles
2.5 Clarifying scope of the audit
2.6 Reconfirming confidentiality
2.7 Declaring any conflicts of interest
2.8 Review and confirm proposed audit plan (document any changes)
2.9 Clarifying sites to be visited, persons to be interviewed, and documents to be reviewed
2.9 Requesting permission to take pictures
2.10 Others: Scenario 3- Manage evidence collection and reporting of findings
To compile the audit results, compare the audit findings documented during the audit against the criteria/requirements of the standard. The audit has taken place, everything went very smooth. Each auditor has gathered and documented the evidence in the checklist below task 4. You have an auditor meeting prior to the closing to discuss the findings and document the non-conformances in the corrective action report below to present to the auditee in the closing meeting. Three NCs were found.
Task 3
Review the extract from the audit checklist below task 4, complete the corrective action report below with non-compliances identified. For the purpose of assessment, you can classify them as minor.
Areas in green to be filled in
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)
Scenario 4 - Lead exit meeting
You have a polite chit chat before the exit meeting commences. Gerard Butler, Chris Hemsworth, Leonardo DiCaprio, and yourself are present. Jamie Mahoney, Restaurant Manager, Olwyn O Leary, Head Chef are present. The lead auditor thanked Jamie and his team for using the services of Global Auditing Services. Overall, the auditor was satisfied by the outcome of the audit. The auditor was very happy with their commitment to food safety and the level of knowledge demonstrated by the kitchen staff when asked questions relating to food safety. There were several areas which showed room for improvement. Three NCs were identified and outlined in the CAR. It was stressed that these are prelim results until the findings are reviewed in more detail and the final report is written up. In the meantime, the auditee has five working days to decided on what corrective action will take place and document this in the CAR and send to the lead auditor via e-mail. The NCs will be closed out at the next surveillance audit. A re-audit is not required for minor NCs. Once the CAR is received the audit team have 14 days to issue the final report.
Task 4
Conduct the exit meeting and complete the record of exit meeting below. You are welcome to use artistic impression where necessary.
Record of Exit meeting
1.1 Client: 1.2 Lead Auditor: 1.3 Auditing Team: 3.1 Date: Time (approx. fromto): 3.2 Persons present during the closing meeting: 1.
2.
3.
Topic Covered NA Comment
3.3 Reconfirming that results are only preliminary until the final report is issued.
3.4 General feedback to auditee, regarding co-operation during the audit, positive aspects, etc.
3.5 Explanation of reporting arrangements, next steps and respective timelines
3.6 Document timelines agreed upon
3.7 Reconfirming confidentiality Findings, context and consequences of audit
3.8 Non-conformances (NCs): No NCS raised during the audit NCs are listed in: NCs are listed here Below
Clause/ Question Description of Non-conformity/observation Classification (Minor/Major/ observation) To address by date
This audit checklist has been prepared for assessment purposes only. It does not reflect all the requirements of the FSANZ Food standards code and should not been used for conducting food safety audits in the workplace.
Audit Checklist
Client: Chives Restaurant Audit Date: Lead Auditor: 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.
Audit Requirement (Clause) Question Guidelines for auditors and suggested verification. Classification (yes/no) Auditor Responsible Comments of evidence and observations
Cleaning, sanitising and maintenance
Food Safety Standard 3.2.2, Division 5, Clause 19, 20, 21
Q1. Are floors, walls, ceilings, lights, and surfaces clean and in good condition?
It is evidenced by a visual inspection floors, walls, ceilings, lights, and surfaces are clean adequate and in good condition, free from cracks, chips, flaking paint and other food safety hazards. Yes Gerard 4762556896000Floors, walls and surfaces were inspected in the main kitchen, the cold room, cold larder, frozen storage and noted to be adequately clean and in good condition.
Q2. Is food preparation areas and equipment including utensils, crockery & cutlery clean and in good condition?
It is evidenced by a visual inspection or environmental swabs that the work areas and equipment are clean, neat and tidy and do not pose a risk to public health. Yes Gerard 171132542164000Food preparation equipment is clean and in good condition. In particular the auditor inspected the following food preparation equipment.
Under the work surfaces in the larder and dessert areas
Ventilation canopy and filters on the fish grill
Chopping boards located in the main hot kitchen
The food processor in the pastry section
Q3. Is cleaning equipment including mops, mob buckets, cloths clean and in good condition? It is evidenced by a visual inspection or environmental swabs that cleaning equipment is clean, in good condition and suitable for the intended use. No Gerard 16383009906000Single use cloths are in use and used as intended.
The auditor noted the mops and buckets in use in the in the dishwashing area after breakfast service to be heavily soiled and not fit for purpose. See photo attached.
Q4. Is there a clear distinction between hand washing, equipment washing and food prep sinks? It is evidenced that there is a clear distinction between hand washing, equipment washing and food prep sinks using signage or other means that do not pose a risk to food safety. Yes Chris The auditor noted adequate signage at all sinks. There was no incorrect sink usage noted for the duration of the site inspection. In addition, when staff were asked to explain the purpose of each sink, they were able to explain to the auditor with confidence. Please see interviews attached.
Q5. Are cleaning schedules in place and adhered to? -Sighted that there is a daily, weekly, monthly cleaning
schedule in place.
-Sight evidence that the cleaning records for all equipment and areas of the foodservice preparation areas are cleaned as per the cleaning schedule.
-All staff have signed for the task when it has been completed. The food safety supervisor checks and signs forms on a regular basis as specified. Yes Chris The Cleaning schedule and records were located on the wall located beside the dish washing area. The schedule was inspected by the auditor and noted to be accurate and complete. Cleaning record DW152 dated 01.05.21 was viewed. It was completed by Bernie and signed off by the Head Chef Olwyn.
Q6. Are chemicals stored appropriately and data sheets available for all chemicals used?
It is evidenced that the cleaning chemicals are stored as per the MSDS and the manufacturers specifications and are stored in a separate area away from food No Leo Chemicals are stored in a designated storage area located at the rear of the dishwashing area.
When requested chemical data sheets could not be provided for any cleaning chemicals used onsite. Notably for the detergent and sanitiser called The best detergent and Sanitiser used in the pastry section.
Q7. Are chemicals food grade? It is evidenced that the cleaning chemicals are food grade by viewing the MSDS. No Leo No MDSD available for chemicals. The label was also inspected by the auditor for the combined detergent and sanitiser called The best detergent and Sanitiser and it could not be determined if it was food grade.
Task 108 - Application to you and your organisation
Considering what you have learned in this unit,answer the following questions:
T108.1What 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:
T108.2How will this new knowledge benefitYouand/oryour organisation?
Use a minimum of 6-8 sentences to write your answer below:
T108.3To 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:
T108.4When will this step be completed?
Add a date here
center-399218Audit Flow Chart
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