The following activities must be carried out in your chosen workplace. Typically this is the workplace in which you normally work. However, if your workplace is not suitable (for example it does not provide sufficient scope), you can choose any suitable workplace, provided you can access the information you need to complete the activities in this part.

Activity 4: Monitoring and measuring – audits

(a) (i) Produce a gap analysis of your chosen organization against each of the requirements of the audit standard given in the supporting document.

( Notes: 1. You must use the Activity 4(a)(i) format table provided in the answer sheet to record your answers.

2. The table has been pre-filled with two examples (in the grey-filled boxes). The content for the examples in columns 3 and 4 MUST NOT form part of your answer; the answers provided must be your own observations/ conclusions.

3. You must comment on all of the requirements in parts 1 to 3 of the audit standard in supporting document 1.

Answer table for Activity 4 (a) (i) format table

Column 1	Column 2	Column 3	Column 4
Requirement		What the organization currently does to meet the requirement	Findings
1.1	Establish audit program	EXAMPLE 1 An audit program is drawn up in January each year. The aim is to complete an audit of the entire organization within the following 12 months. The audit plan is submitted to the organization’s directors for approval.	Audit plans for the last three years have been reviewed. It would appear that the previous year’s program is copied and used. Changes within the organization may, therefore, be missed. Consideration should be given to drawing up an individual audit program each year.
2.4	Carry out a document review	EXAMPLE 2 The organization has not carried out a document review in audits carried out over the last three years. Audits usually consist of only talking to workers.	Each audit plan should ensure that a relevant document review is also included.

please, Use this auditing standard to carry out the gap analysis for Part 2, Activity 4 (a)(i).

1.0 Planning

Requirements:
1.1	Establish an audit program.
1.2	Selection of and checks on the competence of audit lead.
1.3	Establish the scope of the audit.
1.4	Set procedures for the audit.
1.5	Detail on the audit method selected.
1.6	Select audit team (including checks competence of the audit team).

2.0 Conduct the audit

Requirements:
2.1	Prepare audit plan.
2.2	Assign responsibilities to the audit team.
2.3	Prepare audit documents, eg checklists.
2.4	Carry out document review.
2.5	Conduct an opening meeting with relevant workers.
2.6	Gather information:
2.6.1	- Visit the site and assess the risks
2.6.2	- Document and record observations made on-site
2.6.3	- Identify strengths and weaknesses
2.6.4	- Rank findings in order of priority, ie major to minor risks
2.7	Prepare audit report including:
2.7.1	- Findings
2.7.2	- Conclusions
2.7.3	- Recommendations
2.8	Conduct a closing meeting.
2.9	Distribute the report to relevant workers/parties.

3.0 Audit follow-up

Requirements:
3.1	How?
3.2	When?
3.3	Who?
3.4	Further monitoring for incomplete actions.

(b) Make TWO recommendations on how your chosen organization could improve their audit system based on the gap analysis carried out in 4(a)(i).(ii) Provide a conclusion on the adequacy of your organization’s current audit arrangements based on your gap analysis.

You must provide a justification for both of your recommendations that must include

• The justification(s) for the recommendation, including

- a reference to relevant standards

- the impact on the organization

- the impact on workers

- legal arguments (if relevant)

- financial arguments.

• Proportionality of recommendation.

• Reliable information/reference sources where possible/relevant (these must be referenced appropriately using a recognized methodology).