Part 2: Workplace-based activities The following activities must be carried out in your chosen workplace. Typically this

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Part 2: Workplace-based activities 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.
(ii) Provide a conclusion on the adequacy of your organisation’s
current audit arrangements based on your gap analysis.
(b) Make TWO recommendations on how your chosen
organisation could improve their audit system based on the gap
analysis carried out in 4(a)(i).
You must provide a justification for both of your
recommendations that must include
• The justification(s) for the recommendation, including
- reference to relevant standards
- the impact on the organisation
- 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 recognised
methodology).
Answer table for Activity 4 (a) (i) format
table
Column
1
Column 2
Column 3
Column 4
Requirement
What the organisation currently does to meet the
requirement
Findings
1.1
Establish audit programme
EXAMPLE 1
An audit programme is drawn up in January each year. The
aim is to complete an audit of the entire organisation within the
following 12 months. The audit plan is submitted to the
organisation’s directors for approval.
Audit plans for the last three years have been reviewed.
It would appear that the previous year’s programme is copied and
used. Changes within the organisation may, therefore, be
missed. Consideration should be given to drawing up an
individual audit programme each year.
2.4
Carry out a document review
EXAMPLE 2
The organisation 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.