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 product/service 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.

1. Conduct entry meeting

1.1 Entry meeting is organised in advance at a mutually agreed time

1.2 Agenda for audit is prepared

1.3 Objectives and scope of the audit are confirmed at the meeting

1.4 Schedules and logistical arrangements are confirmed at the meeting

1.5 Changes to plan, schedules and arrangements are made where required

2. Identify and gather information

2.1 A range of potential sources of information is identified

2.2 Appropriate persons are interviewed

2.3 Relevant information and sample documentation is gathered

3. Manage audit team resources

3.1 Activities of audit team members are supervised

3.2 Audit team findings are assessed and reviewed in line with audit scope

3.3 Team members are re-assigned as required

3.4 Contingency actions are taken as required

3.5 Agreement is sought and reached on corrective action reports

4. Conduct exit meeting

4.1 Preparations are made for exit meeting

4.2 Results and findings are examined against audit objectives and presented to auditee

4.3 Reporting arrangements are agreed upon

4.4 Context and consequences of audit are explained and discussed during follow-up

5. Provide feedback to members of audit team

5.1 Feedback on performance is provided to audit team members

5.2 Audit team members are encouraged to critique their own work as part of the audit team

5.3 Advice for improvement is provided and documented

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 9000:2000: Quality Management Systems – Fundamentals and Vocabulary, ISO 19011:2003: Guidelines for Quality and/or Environmental Management Systems Auditing

• product and/or 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

• problem-solving

• 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 (1) represents the competence to undertake tasks effectively

Level (2) represents the competence to manage tasks

Level (3) 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 (3)

• 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 (2)

• managing process to gather and analyse information for audit

Planning and organising activities (2)

• planning and organising own role in audit and that of members of the audit team

• overseeing audit process

Working in a team (3)

• leading and working with audit team

• working with auditees

Using mathematical ideas and techniques (1)

• applying basic numerical and mathematical calculation skills to auditing processes

Solving problems (2)

• applying problem-solving skills to address issues arising during course of the audit

Using technology (2)

• 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 (2)

• 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