Reference no: EM132325556
Initiate a Quality Audit Assignment -
Assessment must be conducted in a safe environment where evidence gathered demonstrates consistent performance of typical activities experienced in the regulation, licensing and risk - quality auditing field of work and include access to: workplace documentation including previous quality audit reports, checklists, risk management plans and audit plans.
Section 1 - Prepare for an Audit
This unit describes the skills and knowledge required to initiate and organise a quality audit with an auditee. It covers assessing the scope and objectives of a quality audit; communicating with the auditee regarding the proposed quality audit; identifying resources required to conduct the audit; and developing and submitting a quality audit plan. The types of audits may include external or internal systems audits or process or product/service audits.
It applies to individuals with a well-established theoretical knowledge base in quality auditing who are proficient in using a wide range of specialised, quality auditing and managerial techniques to plan, carry out and evaluate a quality audit. Individuals also supervise and monitor the processes and outcomes of others working in a quality audit team.
Activity 1.1 Initiating an Audit
Instructions to Learners: Using the case study, SSS RTO located in the learner resource folder. Learners are required to compose an email or letter, responding to the request from the organisation for a quality audit. Learners must ensure they demonstrate structure, tone and vocabulary appropriateness to the intended audience, context and purpose.
Within the email or letter, learners should address the following:
- Identification of who you are
- Introduction of audit team if one is required
- Identification of the objectives of the audit
- Mention of what may be required by the organisation
- Mention that staff may be required by the auditors
- Mention of an agenda to be provided
Activity 1.2 Pre Audit Discussion Proposal
Instructions to Learners: Learners are required to develop a pre-audit discussion proposal. Learners may use the case study, SSS RTO located in the learner resource folder, or their own workplace as an example.
The pre audit discussion is the first contact an auditor has with an auditee to determine the following:
- The audit objectives and scope based on identified business risk areas, including critical success factors and goals
- Previous audit history, organisational structure
- The relevant standards and legislation impacting on the audit
- Identified risks associated with conducting the audit, both audit team and organisation
- Proposed audit methods and techniques
- Handling of any areas of confidentiality or sensitivity
- A familiarisation tour- identifying any high risk areas or exclusion zones
- Barriers to conducting the audit
- Identify your role in the audit process
Complete the template or submit a work sample, which you may have already completed. Where a work sample is submitted, a third party report is required.
Activity 1.3 Develop an Audit Plan
Instructions to Learners: Learners are required to develop two (2) audit plans for 2 different auditees', across a variety of contexts.
Audit Plan One (1), is to be developed using the case study, SSS RTO in the learner resources folder. The second (2) audit plan, can be developed for an organisation of your choice.
Learners have been provided the templates for 2 audit plans below. Learners are required to complete these templates, or are able to submit work samples, along with a third party report.
An audit plan is used to clarify the entirety of the audit with the auditee. Once you have approved the audit plan you will then develop your audit checklists and prepare your audit team. You will need to plan for:
- Audit requirements and/or identification of relevant quality system documentation
- Auditee provision of personnel for audit
- Confidentiality requirements
- Contingency actions
- Continuous improvement strategies for organistion and employees
- Distribution of reports
- Entry meeting
- Exit interview
- Follow-up procedures
- Reporting procedures
- Resource requirements
- Roles and responsibilities of auditors
- Risks (auditors, audit process, organisation, including, political, economic, social, legal, technological and policy)
- Sampling techniques
- Scope and objectives of the audit
- Time lines and schedules
- Risk management identification
- Risk management action plan
Activity 1.3(a) Develop an Audit Plan
Learners are required to complete the template: All components of the template must be completed, including fictional details, i.e. names.
Activity 1.3(b) Develop an Audit Plan
Learners are required to complete the template: All components of the template must be completed, including fictional details, i.e. names.
Activity 1.4 Prepare Audit Team
Instructions for Learners: Now that you have prepared the audit plan and other relevant audit materials, you will need to consult with, and prepare your audit team.
When preparing your audit team, you need to ensure you:
- Inform audit team members of their responsibilities, audit objectives and scope.
- Communicate the audit plan and schedule, using appropriate communication methods for team members.
- Discuss and clarify audit methods, techniques and resources with team members as required.
- Outline performance management outcomes, outputs, key performance indicators and goals for the team.
- Support that you as the lead auditor will provide to your team during the audit.
- Checklist ensuring all areas of the audit have been addressed and communicated to audit team.
- Ensure all members of the audit team agree to the requirements of the audit.
Instructions for Learners: Using one (1) of the audit plans developed in Activity 1.5 (a) or (b), use the template below, to show how you will prepare your audit team.
Where providing a work sample for this activity, please ensure a third party report is provided for the document.
Activity 1.5 Organise Entry Meeting
Audits can be either internal or external and therefore, the entry meeting may have a slightly different context for an internal auditor, to an external auditor.
Instruction to Learners: Outline below, the details for organising an entry meeting for an external audit, using the case study SSS RTO and an internal audit (think about your own workplace).
When organising an entry meeting, you should include, but not limited to the following:
- Gather contact details of the people you need to invite.
- Suggest and agree on the date and time of the meeting.
- Communicate the length of the meeting.
- Communicate the meeting location - neutral ground works best.
- Mode of communication effective for those who are required to be involved.
Complete in the template.
Where providing a work sample for this activity, please ensure a third party report is provided for the document
Activity 1.6 Entry Meeting Agenda
Instructions to Learners: Using one (1) audit plan from Activity 1.3, along with the audit team preparation document, developed in Activity 1.4, develop an agenda for the audit entry meeting.
Entry meeting agendas are the initial meeting of an audit. The agenda will detail a list of agreed topics that were discussed in the pre-audit discussion. You as the audit team leader, would be responsible for developing this agenda.
An entry meeting agenda, may include, but not limited to the following:
- Audit Scope and Objectives
- Benchmarks (Standards, policies/ Procedures)
- Audit methods and techniques
- Discuss confidentiality and sign declarations
- Audit approach (open and transparent)
- How the auditor(s) will handle corrective actions and present findings
- Clarify any issues you may face when accessing work areas (if applicable)
- Discuss the purpose of the exit meeting
- Provide opportunity for questions
- Any immediate actions required
You should also take into account the general items that are listed in a meeting agenda (attendees, apologies, times, dates etc.).
Complete the entry meeting agenda in the template below.
Where providing a work sample for this activity, please ensure a third party report is provided for the document.
Attachment:- Assignment File.rar