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Elements and Performance Criteria

1. Identify and gather information
   • A range of potential sources of information is identified
   • Appropriate persons are interviewed
   • Relevant information and sample documentation is gathered
2. Manage audit team resources
   • Activities of audit team members are supervised
   • Audit team findings are assessed and reviewed in line with audit scope
   • Team members are re-assigned as required
   • Contingency actions are taken as required
   • Agreement is sought and reached on corrective action reports
   • Preparations are made for exit meeting
   • Results and findings are examined against audit objectives and presented to auditee
   • Reporting arrangements are agreed upon
   • Context and consequences of audit are explained and discussed during follow-up
3. Provide feedback to members of audit team
   • Feedback on performance is provided to audit team members
   • Audit team members are encouraged to critique their own work as part of the audit team
   • Advice for improvement is provided and documented

Required Skills

	This unit specifies the outcomes required to lead an audit team undertaking 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
	Business management services
Domain	Quality auditing
Application of the Competency	The unit is relevant to audits where a lead auditor is responsible for a team of auditors The types of quality audit that may be covered by this standard include an external or internal systems audit or process or productservice audit

Element	Performance Criteria
Elements define the critical outcomes of a unit of competency.	The Performance Criteria specify the level of performance required to demonstrate achievement of the Element Italicised terms are elaborated in the Range Statement
Conduct entry meeting	Entry meeting is organised in advance at a mutually agreed time Agenda for audit is prepared Objectives and scope of the audit are confirmed at the meeting Schedules and logistical arrangements are confirmed at the meeting Changes to plan schedules and arrangements are made where required
Identify and gather information	A range of potential sources of information is identified Appropriate persons are interviewed Relevant information and sample documentation is gathered
Manage audit team resources	Activities of audit team members are supervised Audit team findings are assessed and reviewed in line with audit scope Team members are reassigned as required Contingency actions are taken as required Agreement is sought and reached on corrective action reports
Conduct exit meeting	Preparations are made for exit meeting Results and findings are examined against audit objectives and presented to auditee Reporting arrangements are agreed upon Context and consequences of audit are explained and discussed during followup
Provide feedback to members of audit team	Feedback on performance is provided to audit team members Audit team members are encouraged to critique their own work as part of the audit team Advice for improvement is provided and documented

Evidence Required

The Evidence Guide provides advice to inform and support appropriate assessment of this unit It contains an overview of the assessment requirements followed by identification of specific aspects of evidence that will need to be addressed in determining competence The Evidence Guide is an integral part of the unit and should be read and interpreted in conjunction with the other components of competency

Assessment must reflect the endorsed Assessment Guidelines of the parent Training Package

Overview of Assessment Requirements

A person who demonstrates competence in this standard must be able to provide evidence that they have taken a leadership role in a range of quality audits Evidence will demonstrate that the individual managed the information gathering process by team members and the analysis synthesis and reporting of findings

Specific Evidence Requirements

Required knowledge and understanding include	legal issues and terminology relating to quality auditing audit methods and techniques codes of practice regulations and standards for example ISO Quality Management Systems Fundamentals and Vocabulary ISO Guidelines for Quality andor Environmental Management Systems Auditing product andor service knowledge quality principles and techniques current audit practices auditor code of ethics
Required skills and attributes include	ability to relate to people from a range of social cultural and ethnic backgrounds and physical and mental abilities communication skills interpersonal listening and questioning techniques team work leadership problemsolving organisational and planning skills time management
Key competencies or generic skills relevant to this unit	The seven key competencies represent generic skills considered essential for effective work participation Innovation skills represent a further area of generic competence The bracketed numbering indicates the performance level required in this unit Level represents the competence to undertake tasks effectively Level represents the competence to manage tasks Level represents the competence to use concepts for evaluating and reshaping tasks The bulleted points provide examples of how the key competencies can be applied for this unit
Communicating ideas and information	communicating verbally to work with auditees and other team members associated with the audit communicating in writing to meet documentation requirements
Collecting analysing and organising information	managing process to gather and analyse information for audit
Planning and organising activities	planning and organising own role in audit and that of members of the audit team overseeing audit process
Working in a team	leading and working with audit team working with auditees
Using mathematical ideas and techniques	applying basic numerical and mathematical calculation skills to auditing processes
Solving problems	applying problemsolving skills to address issues arising during course of the audit
Using technology	understanding how the auditee uses software in managing data using word processing software to produce required documentation arising from analysis and evaluation phase of audit using assistive technology if required
Innovation skills	identifying and recommending improvements to auditee team members performance
Products that could be used as evidence include	correspondence with auditees and team members corrective action reports reports provided for auditees agendas and minutes of entry and exit meetings written feedback provided to audit team members
Processess that could be used as evidence include	how process was planned from entry to exit meeting how team members were managed during audits how contingencies were addressed as they arose how team members participation was reviewed and fed back to individuals
Resource implications for assessment include	access to audit documentation access to feedback from auditees and other team members
Validity and sufficiency of evidence requires	that where assessment is part of a learning experience evidence will need to be collected over a period of time involving both formative and summative assessment at least four examples of participation in audits as a lead auditor for the audit team for a range of situations
Integrated competency assessment means	that this unit can be assessed alone or as part of an integrated assessment activity involving other relevant units in the areas of auditing project management and frontline management

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