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
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
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
BSBAUD512 Lead quality audit
About Lesson

Supervising and leading an audit team involves a set of processes aimed at ensuring the audit is conducted efficiently, effectively, and in accordance with the audit plan and applicable standards. The processes include supervising team activities, re-assigning team members as needed, and instigating contingency actions when necessary. Here’s an overview of these processes:

1. Supervising the Activities of Audit Team Members

Clarify Roles and Expectations: Begin by ensuring each team member understands their role, responsibilities, and the expectations for their performance during the audit. This includes a clear understanding of the audit objectives, scope, and methodology.

Monitor Progress: Regularly monitor the progress of audit activities against the audit plan. This involves checking in on the completion of assigned tasks, adherence to the timeline, and the quality of work produced.

Provide Support and Guidance: Be available to provide guidance and support to team members. This may involve clarifying audit criteria, assisting with technical issues, or offering advice on how to approach complex areas of the audit.

Facilitate Communication: Ensure open and effective communication within the team. Encourage team members to share insights, raise concerns, and discuss challenges as they arise.

Quality Assurance: Review the work of team members to ensure it meets quality standards and complies with auditing standards. Provide constructive feedback to help team members improve their work.

2. Re-assigning Team Members, as Required

Assess Competencies and Workload: Continuously assess the competencies of team members and the workload distribution. Ensure that tasks are assigned based on individual strengths, skills, and capacity.

Adapt to Changes: Be prepared to re-assign tasks if the initial allocation proves to be inefficient or if unforeseen circumstances arise (e.g., a team member falling ill).

Maintain Balance: When re-assigning tasks, consider the impact on the overall audit timeline and on the workload of other team members to avoid overburdening individuals.

Communicate Changes: Clearly communicate any changes in assignments to the affected team members and the rest of the team. Explain the rationale for the changes to ensure understanding and buy-in.

3. Instigating Contingency Actions, as Required

Identify Potential Risks: Anticipate potential risks to the audit plan, such as key personnel unavailability, scope changes, or delays in accessing necessary information.

Develop Contingency Plans: Have contingency plans in place for identified risks. These plans should outline alternative actions or strategies to address potential obstacles.

Decide on Trigger Points: Establish clear trigger points for when contingency plans should be activated. These could be based on time delays, resource issues, or other critical factors.

Implement Contingency Actions: When a trigger point is reached, promptly implement the relevant contingency action. This may involve reallocating resources, adjusting the audit scope, or employing alternative methods to gather evidence.

Communicate and Document: Ensure that any contingency actions taken are communicated to the audit team and relevant stakeholders. Document the rationale for the action, its implementation, and any resulting changes to the audit plan.

Leading an audit team effectively requires strong leadership, clear communication, and adaptability. By actively supervising team activities, being flexible with task assignments, and being prepared to implement contingency actions, a team leader can navigate the complexities of an audit and lead the team towards successful completion of the audit objectives.