BSBAUD501 Initiate a Quality Audit Name of Participant: ID No: How to

BSBAUD501 Initiate a Quality Audit
Name of Participant:
ID No:
How to complete this Assessment:
1. Please read all the information given to you including the Student Handbook and other Help Documents before you start any assessment.
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*Please see Assessment Requirements on back page.
Tasks included 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 81 – Assess quality audit scope and objectives
For this unit you will be undertaking the process of initiating an Audit. A small flow chart has been provided below to help you through the assessment below.
For your own organisation OR for the case study provided undertake the following;
T81.1 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 below with what you have defined or determined.
T81.2 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 below with what you have defined or determined.
T81.3 Identify and list the relevant standards that may have an effect will and be examined in the audit of the organisation. Complete the “Audit Relevant Standards“ section of the Audit Engagement form provided below with what you have defined or determined.
T81.4 Determine if the scope of the audit is sufficient to adequately address all the identified risks for the area of audit. Complete the “Audit Scope Sufficiency Rationale“ section of the Audit Engagement form provided below with what you have defined or determined.
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 audit history, organisational structure and culture through consultation with the auditeeComplete the “Auditee Audit History, Organisational Structure and Culture“ section of the Audit Engagement form provided below with what you have defined or determined.
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 below with what you have decided on for evidence collection.
T82.3 Determine and outline the audit processes to establish sequence of audit activities, and the roles of the auditors and auditees in the process. Complete the “Audit Processes“ section of the Audit Engagement form provided below with what you have determined.
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 resources required to perform the quality audit efficiently and effectively. Complete the “Audit Processes“ section of the Audit Engagement form provided below with what you have determined.
T83.2 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 below with what you have defined or determined.
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 and Audit Plan by incorporating the information from tasks 81 – 83 and undertaking the following using and populating the Audit Plan template provided below;
T84.1 Develop quality audit plan according to established scope and objectives determined from the Audit Engagement form you created in T 81
T84.2 Assign timing, schedules and responsibilities for implementation of the audit plan
T84.3 Develop audit priorities. See Audit schedule column in Audit Plan template
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 in 5-7 sentences how you or 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.
T85.2 Explain in 5-7 sentences 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.
T85.3 Explain in 5-7 sentences 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.
Task 86 – Review auditee documentation Part of the Quality audit plan
Continuing with the case study you chose in Task 81, undertake the following;
T86.1 Review auditee’s previous audits to establish possible impact on the conduct of the current audit complete the following table.
Aspect of Past Audit
Explanation of Aspect
Action to be Taken
Auditor Responsible
Expected Time to Complete.
T86.2 Explain in 5-7 sentences how you would review and check relevant organisational documents for accuracy.
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 checklists to reflect audit scope and objectives. (consider using the template provided below)
T87.2 Prepare agenda for entry meeting (consider using the template provided below)
T87.3 Develop or obtain any other documentation required for the audit provide copies of the documentation including questionaries for interviews, extra checklists. Create and populate with questions or required observations at least 1 Interview Questionnaire / Observation Sheet. See template below.
T87.4 Explain in 5-7 sentences how you would go about including valueadding activities in audit related documentation. Consider discussing aspects like possible solutions noted in the report. Etc.
Task 88 – Written Questions
Either continuing to use your case study as an example OR through research undertake the following;
T88.1 Explain in 5-7 sentences how you would go about Confirming the availability of resources required to conduct the audit with auditee
T88.2 Explain in 5-7 sentences how you would go about resolving any arising problems with auditee and relevant parties.
T88.3 Explain how you ensure agreement with auditees and audit team members in relation to audit priorities
T88.4 Explain when and how you or how you would submit an audit plan to an auditee
T88.5 Identify briefly list the relevant auditing codes of practice or ethics
T88.6 Briefly describe auditing methods and techniques
T88.7 Briefly outline the requirements of auditing regulations and standards
T88.8 Identify and briefly describe current audit practices.
T88.9 Briefly outline quality auditing principles, techniques and systems
T88.10 Briefly describe the requirements of in house or other style manual protocols for written communications
T88.11 Identify two (2) software applications relevant to quality auditing activities and briefly describe them
*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 of the unit, the skills required to apply the unit to a workplace as well as the stipulated requirements of the unit.
The activities will help you understand the ‘whys’ and the ‘how’s’- 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, provide enough details etc, your evidence will be deemed Not Satisfactory – More Evidence 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 your Online Student Area, for more details.
Audit Engagement
Audit Objectives;
What is the objective the audit is hoping to achieve?
Audit Scope
Audit Area: What area is the main focus of the audit e.g. safety, environmental, Industry standard compliance
Audit Depth: How deep will the audit go to. E.g. to only policy level or from the policy to the implementation and recording of the policy including all systems and procedures.
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.
Audit Duration: Expected time taken to sufficiently audit the organisation
Audit Relevant Standards
What standards, legislation or codes of practice will the audit measure the organisation against?
Audit Scope Sufficiency Rationale
Explain briefly the rationale behind the areas the audit will examine to show that they are sufficient for the audit level.
List the areas that the audit will examine. E.g. processes, customer complaints, production documentation…
Auditee Audit History, Organisational Structure and Culture
List here the audit history of the auditee, the structure of the organisation, and the culture of the organisation if known.
Evidence Collection Techniques
List here the techniques you will use to collect data e.g. interviews, observation, internet search….
Audit Processes
Please list here the sequence of activities for the audit you are proposing on your case study. Also include the role the Auditors and the Auditee need to take along with the resources required for the evidence gathering. Consider using the table below to help you
Audit Requirement
Explanation
Expected evidence gathering technique
Auditee’s Responsibility
Auditor Responsible and Responsibility
Resources Required
E.g. Section …. of WHS Act 2011
Does the manager of the section understand the Safety policy, objectives, procedures.
Interview, written documentation, emails, interview with subordinates.
Allow access to Managers time, provide quiet area for interview.
David G. List of questions, record responses.
Meeting room. Computer.
E.g. Section …. of WHS Act 2011
Does the manager effectively communicate the Safety policy, objectives, procedures to staff.
Interview, written documentation, Safety meeting minutes , interview with subordinates.
Allow access to Managers and Staff time, provide quiet area for interview.
Mary S. List of questions, record responses.
Meeting room. Computer.
Audit Team Members
List here the team members selected for the audit along with the reason for their selection and their responsibilities during the audit. Consider using the table below
Audit Team Member selected
Reason for selection
Responsibilities
Audit plan
Audit Objectives;
What is the objective the audit is hoping to achieve?
Audit Scope
Audit area: What area is the main focus of the audit e.g. safety, environmental, Industry standard compliance
Audit Depth: How deep will the audit go to. E.g. to only policy level or from the policy to the implementation and recording of the policy including all systems and procedures.
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.
Audit Duration: Expected time taken to sufficiently audit the organisation
Audit Relevant Standards
What standards, legislation or codes of practice will the audit measure the organisation against?
Audit Scope Sufficiency Rationale
Explain briefly the rationale behind the areas the audit will examine to show that they are sufficient for the audit level.
List the areas that the audit will examine. E.g. processes, customer complaints, production documentation…
Auditee’s Representative
Name, position contact details
Audit Schedule and Responsibilities
Audit Requirement
Explanation
Expected Evidence Gathering Technique & Resources Required.
Auditee’s Responsibility
Auditor Responsible & Responsibility
Date & Time Required
Priority
Entry Meeting
Cover Audit expectations and requirements, procedures venue inductions.
Audit plan, Meeting Room
David G. run the meeting.
Morning Day 1
1
E.g. Section …. of WHS Act 2011
Does the manager of the section understand the Safety policy, objectives, procedures.
Interview, written documentation, emails, interview with subordinates. Interview room
Allow access to Managers time, provide quiet area for interview.
David G. List of questions, record responses.
Midday Day 1
1
E.g. Section …. of WHS Act 2011
Does the manager effectively communicate the Safety policy, objectives, procedures to staff.
Interview, written documentation, Safety meeting minutes, interview with subordinates. Interview room
Allow access to Managers and Staff time, provide quiet area for interview.
Mary S. List of questions, record responses.
COB Day 1
2
Exit Meeting
Audit Team Members
List here the team members selected for the audit along with the reason for their selection and their responsibilities during the audit. Consider using the table below
Audit Team Member Selected
Reason for Selection
Responsibilities
Audit Draft Report Date
Audit Report Release Date
Audit Checklist
Audit Requirement
Explanation
Evidence Observed, how Gathered & Sufficiency of Evidence
Auditor Responsible. Date & Time of Observation
Comments
Entry Meeting
Cover Audit expectations and requirements, procedures venue inductions.
Audit plan, Meeting Room
David G
E.g. Section …. of WHS Act 2011
Does the manager of the section understand the Safety policy, objectives, procedures.
Interview, written documentation, emails, interview with subordinates. Interview room
Mary S
E.g. Section …. of WHS Act 2011
Does the manager effectively communicate the Safety policy, objectives, procedures to staff.
Interview, written documentation, Safety meeting minutes, interview with subordinates. Interview room
Mary S
Exit Meeting
Entry Meeting Agenda
Meeting Start : am/pm
People Present and Position
Apologies
Agenda Items
Meeting Close : am/pm
Interview Questionnaire / Observation Sheet
Interviewee
Date and time : am/pm
Question or Observation Required
Response or Observed Behaviour
Comments
e.g. How do you ensure your quality is consistent
e.g. Observe Quality control processes
Audit phases
BSBAUD501 Assessment Version 2 Page4 of 4