BSBAUD512 - Lead Quality Audits Assignment

Assignment Task 

Report on Quality Audits

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 report on a quality audit. This can be an internal audit conducted of your own organisation or an external audit of an organisation of your choice. In consultation with your trainer, discuss a quality audit you have undertaken and document the scope of that audit 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:

1. Documentation review

2. Observation and

3. 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.

 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.

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.

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.

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.

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.

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.

T104.4 Complete and submit the final audit report according to the audit plan.

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.

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.

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.

T106.2. List and explain three techniques for auditing (this could include inspection, observation, Inquiry and confirmation).

T106.3 Briefly outline quality auditing principles

T106.4 Please explain what is meant by “the requirements of auditing standards”

T106.4 Identify and briefly discuss the key features of technology required for quality auditing activities.

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 café. They are a busy café 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.

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 and Chris Hemsworth, , Leonardo DiCaprio, 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. 

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.

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.

Task 108 - Application to you and your organisation

Considering what you have learned in this unit, answer the following questions:

T108.1 What is the number one thing you have learned from this unit AND why is it number one?

T108.2 How will this new knowledge benefit You and/or your organisation?

T108.3 To apply this knowledge, in your life or organisation, what is the next step you will need to take?

T108.4 When will this step be completed?

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