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Evidence Guide: SIFGLC003A - Conduct internal quality audits

Student: __________________________________________________

Signature: _________________________________________________

Tips for gathering evidence to demonstrate your skills

The important thing to remember when gathering evidence is that the more evidence the better - that is, the more evidence you gather to demonstrate your skills, the more confident an assessor can be that you have learned the skills not just at one point in time, but are continuing to apply and develop those skills (as opposed to just learning for the test!). Furthermore, one piece of evidence that you collect will not usualy demonstrate all the required criteria for a unit of competency, whereas multiple overlapping pieces of evidence will usually do the trick!

From the Wiki University

 

SIFGLC003A - Conduct internal quality audits

What evidence can you provide to prove your understanding of each of the following citeria?

Prepare for internal audit.

  1. Identify procedures to be audited.
  2. Establish benchmarks for the quality audit and liaise with support personnel.
  3. Access required documents and sources of information.
  4. Plan audit according to workplace policies and procedures.
  5. Adjust audit frequency in response to workplace changes or client feedback.
  6. Contact appropriate staff and organise appointments for audit.
Identify procedures to be audited.

Completed
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Establish benchmarks for the quality audit and liaise with support personnel.

Completed
Date:

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Access required documents and sources of information.

Completed
Date:

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Plan audit according to workplace policies and procedures.

Completed
Date:

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Evidence:

 

 

 

 

 

 

 

Adjust audit frequency in response to workplace changes or client feedback.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Contact appropriate staff and organise appointments for audit.

Completed
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Conduct audit and document findings.

  1. Identify and confirm methods for conduct of audit.
  2. Conduct observations and interviews according to workplace policies and procedures.
  3. Complete relevant audit documentation requirements according to workplace policies and procedures.
Identify and confirm methods for conduct of audit.

Completed
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Conduct observations and interviews according to workplace policies and procedures.

Completed
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Complete relevant audit documentation requirements according to workplace policies and procedures.

Completed
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Report audit results.

  1. Consult relevant personnel about audit results.
  2. Document compliance results in audit reports.
  3. Complete non-compliance reports according to workplace policies and procedures.
  4. Identify and document system variances and make suggestions for improvements.
  5. Forward reports to appropriate personnel for action.
Consult relevant personnel about audit results.

Completed
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Document compliance results in audit reports.

Completed
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Complete non-compliance reports according to workplace policies and procedures.

Completed
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Identify and document system variances and make suggestions for improvements.

Completed
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Forward reports to appropriate personnel for action.

Completed
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Respond to audit report.

  1. Note employee responses to audit reports and identify issues for response.
  2. Identify corrective actions arising from audit and refer to appropriate staff.
  3. Implement changes to operational processes as part of continuous improvement system.
  4. Follow-up and check results of changes to operational processes.
Note employee responses to audit reports and identify issues for response.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Identify corrective actions arising from audit and refer to appropriate staff.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Implement changes to operational processes as part of continuous improvement system.

Completed
Date:

Teacher:
Evidence:

 

 

 

 

 

 

 

Follow-up and check results of changes to operational processes.

Completed
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Teacher:
Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

The evidence guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package.

Critical aspects for assessment and evidence required to demonstrate competency in this unit

Evidence of the following is essential:

identification of audit requirements and selection of appropriate methods relevant to the to the quality system and any regulatory requirements

use of communication techniques to encourage appropriate participation of relevant staff and personnel in the audit processes

accurate documentation of reports and other records of audit according to workplace policies and procedures and the requirements of the specific quality system

project or work activities to conduct internal quality audits on multiple occasions and over a period of time to ensure the monitoring aspects of an audit can be completed, to ensure consistency of performance and ability to respond to and evaluate different situations.

Context of and specific resources for assessment

Assessment must ensure:

access to appropriate computers, communication technology and software programs to conduct quality audits

consultation with staff

access to relevant documentation, such as internal quality standards and workplace procedures.

Methods of assessment

A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit:

observation of candidate identifying procedures and benchmarks for audit, accessing required documents and sources of information for audit, conducting audit, and preparing and writing audit reports

written or verbal questioning to assess knowledge and understanding of relevant workplace policies and procedures with regard to conducting internal quality audits in the funeral services industry

review of portfolios of evidence and third-party workplace reports of on-the-job performance by the candidate.

Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example:

TDTJ197B Apply quality procedures.

Employability skills embedded in this unit should be assessed holistically with other relevant units that make up the skill set or qualification and in the context of the job role.

Required Skills and Knowledge

Required skills

communication skills, including clear and direct communication and active listening and questioning skills to conduct audit interviews and share information on audit outcomes

literacy and numeracy skills to access and use relevant sources of information, document audit results and use computers

self-management and organisational skills to identify processes, and plan and conduct audit

problem-solving skills to identify and implement continuous improvement to operational processes and modify activities dependant on differing workplace contexts and environment.

Required knowledge

quality improvement procedures

quality audit processes

relevant workplace policies and procedures, including procedures for identification of non-compliance and best practice.

Range Statement

The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included.

Procedures to be audited may include:

OHS in terms of duties of employers, employees, suppliers and contractors

standards and certification requirements

maintenance

finance

record keeping

emergency procedures, including fire and accident procedures.

Support personnel may include:

technical staff

external consultants.

Documents and sources of information may include:

quality or enterprise work specifications and procedures

manufacturer specifications and supplier handling and storage advice

workplace operating procedures and policies

supplier or client instructions

material safety data sheets (MSDS)

communications technology equipment

verbal, aural or signed communications

personal and work area work procedures and practices

conditions of service, legislation and industrial agreements, including:

workplace agreements and awards

OHS procedures

applicable federal, state and territory legislative framework concerning:

OHS in terms of duties of employers, employees, suppliers and contractors

workplace relations

workers' compensation

hazardous substances and dangerous goods

environment protection

anti-discrimination, equal employment opportunity (EEO) and affirmative action

standards and certification requirements

licence, patent or copyright arrangements

quality assurance procedures

emergency procedures, including fire and accident procedures.

Workplace policies and procedures may include:

timing of audits

agreed intervals between audits

timeframes

procedures for identifying non-compliance and best practice.

Workplace changes may include:

increased accidents or incidents

insurance requirements.

Appropriate staff may include:

supervisors

other employees.

Methods may include:

techniques to encourage participation by employees, clients and suppliers

use of approved third party

allocation and delegation of tasks

information gathering techniques.

Non-compliance reports may include:

location of non-compliance

relevant standard or activity that does not comply

evidence and supporting information.

Corrective actions may include:

improved procedures

improved practices.