Application
This unit describes the skills and knowledge required to lead audit teams as they conduct quality audits. 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 unit applies to individuals who have a well-established knowledge of quality auditing and who are proficient in using a range of quality auditing and managerial techniques to supervise quality audit teams.
No licensing, legislative or certification requirements apply to this unit at the time of publication.
Elements and Performance Criteria
1. Lead entry meeting | 1.1 Confirm agenda is prepared for entry meeting 1.2 Review and confirm proposed audit plan with relevant stakeholders in entry meeting 1.3 Make changes to audit plan, as required |
2. Identify and gather evidence | 2.1 Identify sources of information according to audit plan 2.2 Interview relevant stakeholders 2.3 Gather information and documentation |
3. Manage audit team resources | 3.1 Supervise activities of audit team members 3.2 Re 3.3 Instigate contingency actions, as required |
4. Lead exit meeting | 4.1 Review, assess, and reach agreement on audit team findings according to audit plan 4.2 Prepare for exit meeting 4.3 Examine results and findings against audit objectives and present to relevant stakeholders 4.4 Confirm reporting arrangements for the quality audit with the auditee 4.5 Explain context and consequences of audit and discuss follow 4.6 Review and submit final audit report according to audit plan |
5. Lead team members in performance improvement | 5.1 Provide feedback on performance to audit team 5.2 Encourage and support audit team to review their own work 5.3 Provide and document advice for individual improvement |
Evidence of Performance
The candidate must demonstrate the ability to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including evidence of the ability to:
lead a quality audit team on at least two occasions, including:
leading entry and exit meetings
identifying all objectives, schedules and relevant information and confirming they have been included in the audit plan
managing the information gathering process by team members, and analysing, synthesising and reporting of the findings
assisting team members to continuously improve their performance.
Evidence of Knowledge
The candidate must be able to demonstrate knowledge to complete the tasks outlined in the elements, performance criteria and foundation skills of this unit, including knowledge of:
quality auditing principles, methods and techniques
requirements of auditing standards
key features of technology required for quality auditing activities for leading a quality audit team
strategies to develop performance improvement in audit team members.
Assessment Conditions
Skills in this unit must be demonstrated in a workplace or simulated environment where the conditions are typical of those in a working environment in this industry.
This includes access to:
workplace documentation including previous quality audit reports
checklists
risk management and audit plans.
Assessors of this unit must satisfy the requirements for assessors in applicable vocational education and training legislation, frameworks and/or standards.
Foundation Skills
Reading | Interprets and analyses information from audit scoping materials |
Writing | Develops a range of documents using relevant structure, tone and vocabulary appropriate to audience, context and purpose Records and amends information and conveys details in accordance with audit objectives |
Oral Communication | Participates in spoken exchanges using clear language, tone and pace Uses questioning and listening techniques to clarify requirements |
Numeracy | Uses mathematical calculations to analyse and arrange numeric information |
Teamwork | Selects the appropriate form, channel and mode of communication for a specific purpose relevant to team communication requirements 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 |
Initiative and enterprise | Makes a range of critical and non-critical decisions in relatively complex situations, taking a range of factors into account |
Self-management | Organises, plans and sequences own workload and schedules work activities of others |
Problem solving | Responds to problems requiring immediate attention, drawing on past experiences to devise solutions |
Technology | Uses digital tools and systems to assist in leading a quality audit team |
Sectors
Technical Skills – Audit and Compliance