Application
This unit describes the skills and knowledge required to lead an audit team as it runs 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. The types of quality audit that may be covered by this unit include an external or internal systems audit or process or product/service audit.
It applies to individuals with a well-established theoretical knowledge base of quality auditing, who are proficient in using a wide range of specialised quality auditing and managerial techniques to carry out their own work and to supervise the quality audit team. It is relevant to audits where a lead auditor is responsible for a quality audit team.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
Elements and Performance Criteria
ELEMENT | PERFORMANCE CRITERIA |
Elements describe the essential outcomes. | Performance criteria describe the performance needed to demonstrate achievement of the element. |
1 Conduct entry meeting | 1.1 Organise entry meeting in advance at a mutually agreed time 1.2 Prepare agenda for audit 1.3 Confirm objectives and scope of audit at entry meeting 1.4 Confirm schedules and logistical arrangements at entry meeting 1.5 Make changes to plan, schedules and arrangements where required |
2 Identify and gather information | 2.1 Identify a range of potential sources of information 2.2 Interview appropriate persons 2.3 Gather relevant information and sample documentation |
3 Manage audit team resources | 3.1 Supervise activities of audit team members 3.2 Assess and review audit team findings in line with audit scope 3.3 Re 3.4 Instigate contingency actions as required 3.5 Seek and reach agreement on corrective action reports |
4 Conduct exit meeting | 4.1 Make preparations for exit meeting 4.2 Examine results and findings against audit objectives and present to auditee 4.3 Ensure reporting arrangements are agreed on 4.4 Explain context and consequences of audit and discuss during follow |
5 Guide team members in continuously improving their performance | 5.1 Provide feedback on performance to audit team members 5.2 Encourage and support audit team members to critique their own work 5.3 Provide and document advice for individual improvement |
Foundation Skills
This section describes language, literacy, numeracy and employment skills incorporated in the performance criteria that are required for competent performance.
Skill | Performance Criteria | Description |
Reading | 3.2, 4.2 | Interprets and analyses information from audit scoping materials |
Writing | 1.2, 1.5, 5.3 | Develops a range of documents using relevant structure, tone and vocabulary appropriate to audience, context and purpose Records or amends information and conveys details in accordance with audit objectives |
Oral Communication | 1.3, 1.4, 2.2, 3.5, 4.2-4.4, 5.1, 5.2, 5.3 | Participates in spoken exchanges using clear language, tone and pace Uses questioning and listening techniques to clarify requirements |
Numeracy | 4.2 | Uses mathematical calculations to analyse and arrange numeric information |
Interact with others | 1.3, 1.4, 2.2, 3.1, 3.3, 4.2-4.4, 5.1, 5.2, 5.3 | Selects the appropriate form, channel and mode of communication for a specific purpose relevant to own role Recognises the importance of rapport in establishing and building effective working relationships Collaborates with others to negotiate acceptable outcomes, playing an active role in directing and facilitating effective group interaction |
Get the work done | 1.1, 1.2, 1.4, 2.1, 2.3, 3.2, 3.3, 3.4, 4.1 | Organises, plans and sequences own workload and schedules work activities of others Uses a combination of formal, logical planning processes and an increasingly intuitive understanding of context to identify relevant information and evaluate appropriate strategies to achieve objectives Responds to problems requiring immediate attention, drawing on past experiences to devise solutions Makes a range of critical and non-critical decisions in relatively complex situations, taking a range of factors into account |
Sectors
Regulation, Licensing and Risk – Quality Auditing