Reference no: EM132325570
Lead a quality audit and Participate in a quality audit Assignment -
Lead a quality audit - 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 and audit plans.
Participate in a quality audit - 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 2 - Lead & Participate in a Quality Audit
Lead a quality audit, describes the skills and knowledge required to lead an audit team as it runs a quality audit. It covers conducting entry and exit meetings; identifying and gathering relevant information; managing audit team resources; and providing feedback to audit team members on their performance. The types of quality audit that may be covered by this unit include an external or internal systems audit or process or product/service audit.
It applies to individuals with a well-established theoretical knowledge base of quality auditing, who are proficient in using a wide range of specialised quality auditing and managerial techniques to carry out their own work and to supervise the quality audit team. It is relevant to audits where a lead auditor is responsible for a quality audit team.
Participate in a quality audit, describes the skills and knowledge required to prepare for and participate in a quality audit as a member of a quality audit team. The types of audits may include external or internal systems audits or process or product/service audits.
The process includes reviewing designated documentation; identifying and developing checklists and audit related documentation; preparing audit schedules; gathering, analysing and evaluating information; and reporting findings to the lead auditor.
It applies to individuals with a broad knowledge of the quality auditing environment who analyse and evaluate information from a variety of sources to provide solutions to auditing issues, including unpredictable quality auditing problems.
Activity 2.1 Prepare Audit Agenda
Audit Agendas, should be discussed at the entry meeting. Audit agendas should be transparent so that everyone involved is informed. Agendas should be broken up into sessions, so that everyone knows what is going on and when.
Instructions to Learners: When preparing the audit agenda, things you should think about, but not limited to may be:
- Entry and Exit meetings
- Make changes to audit plan (as appropriate)
- Site inspection/induction (as appropriate)
- Commence audit activities
- Conduct interviews
- Conduct meetings
- Gather evidence
- Make observations
- Break (as required)
- Interim report
- Toolbox meeting (as required)
- Confirm activities
- Collate evidence (table findings)
- Prepare audit reports (NCR's and CAR's)
- Prepare and present exit meeting
- Discuss and organise follow-ups
- Evaluate auditor performance
Using one (1) of the audit plans developed in Activity 1.5, develop an audit agenda in the template.
Complete this activity using the templates below. For this activity, the audit will be conducted over 2 days.
Where providing a work sample for this activity, please ensure a third party report is provided for the document
Activity 2.2 Amendments to Audit Agenda
Instructions to Learners: On the day of the audit, one of the auditors is running late and one of the employees who was to be interviewed has become unavailable.
Using the agendas created in Activity 2.1 for day 1 and 2, you are required to make changes to the plan, schedule and arrangements for the audit, as laid out in the agenda.
Complete this activity using the templates below.
Where providing a work sample for this activity, please ensure a third party report is provided for the document
Activity 2.3 Conducting Interview
Conducting an audit interview can be broken down into several different steps - each step does not necessarily need to last long, but they are important for a successful interview where you gain the information you are looking for.
Using the case study, SSS RTO, outline in the template below, how and why you would conduct an interview with the chosen employee during an audit. Detailing how you would conduct the following steps on an interview for the purpose of an audit. Including, questions you may ask the employee to gain the required information.
Activity 2.4 Managing Audit Team Resources
As the Lead Auditor, you will be responsible for managing the audit team throughout the audit. This will include:
- Supervision of activities
- Assessing and reviewing team findings in line with the audits scope
- Re-assigning team members as required
- Instigating contingency actions as required
- Seeking and reaching agreements on corrective action reports
Keep in mind, your team may not all be at the same location.
Detail below, how you would manage your audit team, including the above requirements in this management. Include an explanation where required, why you may have made a certain decision.
Activity 2.5 Use Appropriate Checklists/Tools to Conduct a Quality Audit
Audit checklists/tools are used by the audit team, to systematically plan and conduct an audit.
Instructions to Learners: Using the ISO Standard AS/NZS ISO 9001:2016 Quality management systems - Requirements and the resource documents for SSS RTO in the learner resource folder, Learners are required to develop a series of checklist and tools, and conduct a desktop audit of the RTO SSS.
Learners are required to choose one (1) of the four (4) clauses, which you will conduct an audit on.
Your checklists/tools, should contain:
- A list of interview questions to determine compliance/non-compliance in the applicable clause
- Identify expected evidence for each of the sub clauses
- Record any comments or findings whilst the audit is conducted
- Assess, using an impact scale rating, the impact or consequence if a non-conformance is not rectified
- Evaluate and prioritise non-conformance impact
Using the templates provided below, develop checklists/tools.
Where providing a work sample for this activity, please ensure a third party report is provided for the document.
Risk Impact Assessment -
Instructions to Learner: To complete the risk impact assessment, select five (5) non-conformances identified in the above audit checklist and outline the impact each non-conformance, may have on SSS RTO. Once you have outlined the potential impact across the aspects of the organisation, evaluate and prioritise the risks for treatment using the risk matrix on page 186 of the learner guide.
Activity 2.6 Prepare & Conduct an Exit Meeting
Instructions to Learners: When preparing for an exit meeting, the audit team should provide the organisation with, but not limited to the following:
- Executive Summary
- Benchmarks (standards, policies/ procedures)
- Audit Results
- NCR's raised
- Opportunities for improvement
- Risk
- Root Cause analysis
- Follow-ups
- Provide opportunity for questions
- Continuous improvement
You will also need to take into account the general items that are listed in a meeting agenda (attendees, apologies, times, dates etc.).
Complete the template.
Where providing a work sample for this activity, please ensure a third party report is provided for the document
Activity 2.7 Guide Team Members
As a Lead Auditor, it is essential you provide feedback to your audit team as a whole and to each individual for evaluation of the audit performance.
Referring back to Activity 1.6, Prepare Audit Team. Review the information within the template. This information will assist you with completing the below template.
Where providing a work sample for this activity, please ensure a third party report is provided for the document.
Attachment:- Assignment File.rar