Course Content
Develop evaluation plan
This topic covers: 1.1 Obtain and interpret information on organisation’s policies, procedures and compliance requirements 1.2 Develop evaluation methodology 1.3 Prepare evaluation plan, detailing established evaluation criteria and data to be collected 1.4 Confirm approval of plan from relevant stakeholders
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Identifying and gathering evidence
This topic focuses on these three steps: 2.1 Identify sources of information according to audit plan 2.2 Interview relevant stakeholders 2.3 Gather information and documentation
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Exit meeting and performance improvement
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-up 4.6 Review and submit final audit report according to audit plan 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
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BSBAUD512 Lead quality audit
About Lesson

Leading an audit entry meeting effectively sets the tone for the entire audit process. It’s an opportunity to establish a cooperative atmosphere, clarify the audit’s objectives and scope, and ensure all parties are aligned on the audit plan. Here’s how to lead an audit entry meeting, covering the essential points:

Confirming the Agenda is Prepared for the Meeting

  • Prepare in Advance: Well before the meeting, prepare a detailed agenda that outlines the topics to be discussed. This should include an introduction, objectives of the audit, scope, methodology, timeline, roles and responsibilities, and a Q&A section.
  • Distribute the Agenda: Send the agenda to all meeting participants well in advance. This allows stakeholders to prepare any questions or materials they may need for the meeting.
  • Start with the Agenda: Begin the meeting by reviewing the agenda. Confirm that all participants have received it and ask if there are any additional items they would like to discuss. This ensures everyone is on the same page and sets a structured path for the meeting.

Reviewing and Confirming the Proposed Audit Plan with Relevant Stakeholders in the Entry Meeting

  • Present the Audit Plan: Clearly outline the audit plan, including its objectives, scope, criteria, methodology, timeline, and any areas of particular focus. Use visual aids or handouts if necessary to ensure clarity.
  • Seek Input: Invite comments, questions, and suggestions from the stakeholders. It’s important to listen actively and consider the perspectives of those being audited, as they may provide valuable insights that could impact the audit approach.
  • Confirm Understanding and Agreement: Ensure that all stakeholders understand the audit plan and agree with its contents. Clarify any misunderstandings and make note of any concerns raised. Agreement on the audit plan helps to prevent conflicts or misunderstandings later in the audit process.

Making Changes to the Audit Plan if Required

  • Discuss the Need for Changes: If, during the meeting, it becomes apparent that changes to the audit plan are necessary (due to overlooked areas, misunderstood processes, or new information coming to light), openly discuss these needs with the stakeholders.
  • Collaborative Approach: Work collaboratively with the stakeholders to determine how the changes will impact the audit scope, objectives, timeline, and resources. It’s important to maintain transparency and seek consensus on any adjustments.
  • Document Changes: Any changes agreed upon during the meeting should be clearly documented in the audit plan. Specify the nature of the changes, the reasons behind them, and their expected impact on the audit.
  • Formal Approval: Depending on the significance of the changes, formal approval from higher authority or the audit committee may be required. Ensure this step is completed before proceeding.
  • Communicate Changes: After the meeting, communicate the revised audit plan to all relevant parties, including those who were unable to attend the meeting. This ensures that everyone involved in the audit is aware of and understands the revised approach.

Leading an audit entry meeting requires careful preparation, effective communication, and flexibility. By confirming the agenda, reviewing and obtaining agreement on the audit plan, and being prepared to make and communicate changes as necessary, you set a collaborative and productive tone for the audit. This approach helps to ensure that the audit process runs smoothly, with full cooperation from all involved parties.