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Evidence Guide: SIFXADQ002 - 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

 

SIFXADQ002 - Conduct internal quality audits

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

Prepare for internal audits.

  1. Identify areas of compliance to be audited.
  2. Establish benchmarks for the quality audit and liaise with technical staff and external consultants, as required.
  3. Access required documents and sources of information.
  4. Confirm methods for the conduct of audits according to workplace policies and procedures.
  5. Adjust audit frequency in response to workplace needs or client feedback.
  6. Contact appropriate staff and organise appointments for audit.
Identify areas of compliance to be audited.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish benchmarks for the quality audit and liaise with technical staff and external consultants, as required.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access required documents and sources of information.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm methods for the conduct of audits according to workplace policies and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Contact appropriate staff and organise appointments for audit.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Perform audits.

  1. Conduct observations, review of documents and interviews.
  2. Complete relevant audit documentation requirements.
  3. Consult appropriate personnel about audit results.
  4. Document compliance results in audit reports.
  5. Complete non compliance reports that include evidence and supporting information on areas of non compliance.
  6. Identify and document system variances and make suggestions for improvements.
Conduct observations, review of documents and interviews.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete relevant audit documentation requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult appropriate personnel about audit results.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document compliance results in audit reports.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete non compliance reports that include evidence and supporting information on areas of non compliance.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and document system variances and make suggestions for improvements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Respond to audit report.

  1. Note employee responses to audit reports and identify issues to report.
  2. Identify areas for improved practices 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 to report.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas for improved practices 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
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Prepare for internal audits.

  1. Identify areas of compliance to be audited.
  2. Establish benchmarks for the quality audit and liaise with technical staff and external consultants, as required.
  3. Access required documents and sources of information.
  4. Confirm methods for the conduct of audits according to workplace policies and procedures.
  5. Adjust audit frequency in response to workplace needs or client feedback.
  6. Contact appropriate staff and organise appointments for audit.
Identify areas of compliance to be audited.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Establish benchmarks for the quality audit and liaise with technical staff and external consultants, as required.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Access required documents and sources of information.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Confirm methods for the conduct of audits according to workplace policies and procedures.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

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

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Contact appropriate staff and organise appointments for audit.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Perform audits.

  1. Conduct observations, review of documents and interviews.
  2. Complete relevant audit documentation requirements.
  3. Consult appropriate personnel about audit results.
  4. Document compliance results in audit reports.
  5. Complete non compliance reports that include evidence and supporting information on areas of non compliance.
  6. Identify and document system variances and make suggestions for improvements.
Conduct observations, review of documents and interviews.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete relevant audit documentation requirements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Consult appropriate personnel about audit results.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Document compliance results in audit reports.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Complete non compliance reports that include evidence and supporting information on areas of non compliance.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify and document system variances and make suggestions for improvements.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Respond to audit report.

  1. Note employee responses to audit reports and identify issues to report.
  2. Identify areas for improved practices 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 to report.

Completed
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Identify areas for improved practices 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
Date:

Teacher:		 Evidence:

 

 

 

 

 

 

 

Assessed

Teacher: ___________________________________ Date: _________

Signature: ________________________________________________

Comments:

 

 

 

 

 

 

 

 

Instructions to Assessors

Evidence Guide

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Prepare for internal audits.

1.1 Identify areas of compliance to be audited.

1.2 Establish benchmarks for the quality audit and liaise with technical staff and external consultants, as required.

1.3 Access required documents and sources of information.

1.4 Confirm methods for the conduct of audits according to workplace policies and procedures.

1.5 Adjust audit frequency in response to workplace needs or client feedback.

1.6 Contact appropriate staff and organise appointments for audit.

2. Perform audits.

2.1 Conduct observations, review of documents and interviews.

2.2 Complete relevant audit documentation requirements.

2.3 Consult appropriate personnel about audit results.

2.4 Document compliance results in audit reports.

2.5 Complete non compliance reports that include evidence and supporting information on areas of non compliance.

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

3. Respond to audit report.

3.1 Note employee responses to audit reports and identify issues to report.

3.2 Identify areas for improved practices arising from audit and refer to appropriate staff.

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

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

Required Skills and Knowledge

ELEMENTS

PERFORMANCE CRITERIA

Elements describe the essential outcomes.

Performance criteria describe the performance needed to demonstrate achievement of the element.

1. Prepare for internal audits.

1.1 Identify areas of compliance to be audited.

1.2 Establish benchmarks for the quality audit and liaise with technical staff and external consultants, as required.

1.3 Access required documents and sources of information.

1.4 Confirm methods for the conduct of audits according to workplace policies and procedures.

1.5 Adjust audit frequency in response to workplace needs or client feedback.

1.6 Contact appropriate staff and organise appointments for audit.

2. Perform audits.

2.1 Conduct observations, review of documents and interviews.

2.2 Complete relevant audit documentation requirements.

2.3 Consult appropriate personnel about audit results.

2.4 Document compliance results in audit reports.

2.5 Complete non compliance reports that include evidence and supporting information on areas of non compliance.

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

3. Respond to audit report.

3.1 Note employee responses to audit reports and identify issues to report.

3.2 Identify areas for improved practices arising from audit and refer to appropriate staff.

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

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

Evidence of the ability to:

identify audit requirements and select appropriate methods relevant to the quality system and regulatory requirements

conduct audits, using appropriate methods and participation of staff and personnel in the audit process

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

Evidence of performance on two or more internal audits is required to demonstrate consistency of performance and ability to respond to different situations.

Demonstrated knowledge of:

purpose and principles of quality assurance systems and processes

range of workplace procedures that may be audited, including:

work health and safety/occupational health and safety in terms of duties of employers, employees, suppliers and contractors

standards and certification requirements

maintenance

finance

record keeping

sources of documentation and information used to conduct audits, including 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

applicable federal, state and territory legislative framework

features of processes used for quality audits, including:

techniques to encourage participation by employees, clients and suppliers

use of approved third party

allocation and delegation of tasks

information gathering techniques

factors to be considered when conducting quality audits, including:

timing of audits

agreed intervals between audits

timeframes.