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 exit meeting is a crucial step in the audit process, as it is the point at which preliminary findings are discussed with the auditee’s management and other relevant stakeholders. The exit meeting provides an opportunity to review findings, discuss implications, and plan for necessary actions. Here’s how to effectively lead an audit exit meeting:

 

Review, Assess, and Reach Agreement on Audit Team Findings

  • Consolidate Findings: Before the meeting, consolidate all audit findings and compare them against the audit objectives and criteria laid out in the audit plan. Ensure all findings are supported by evidence and clearly documented.
  • Assess Findings: Evaluate the significance of each finding in terms of its impact on the audited organisation’s operations, compliance, and quality management system.
  • Seek Agreement: During the meeting, present the findings to the auditee and seek agreement or clarification on each point. It’s important to engage in a constructive dialogue to ensure a mutual understanding of the findings.

 

Prepare for Exit Meeting

  • Agenda and Participants: Prepare a detailed agenda for the exit meeting, including a list of topics to be discussed and a roster of participants from both the audit team and the auditee’s side.
  • Documentation: Ensure all necessary documentation, including the consolidated audit findings, evidence, and any relevant sections of the audit plan, are organised and ready to be presented.
  • Rehearsal: If necessary, rehearse the presentation of findings with the audit team to ensure clarity and coherence in the message.

 

Examine Results and Findings Against Audit Objectives and Present to your Stakeholders

  • Structured Presentation: Present the audit results and findings in a structured manner, aligned with the audit objectives outlined in the audit plan. Ensure the presentation logically flows from one point to the next.
  • Clarity and Objectivity: Be clear and objective in presenting each finding, backing up assertions with evidence and relating them back to the audit objectives.
  • Interactive Discussion: Encourage questions and discussions from the auditee to clarify any uncertainties and to provide additional context where needed.

 

Confirm the Reporting Arrangements for the Quality Audit

  • Reporting Timeline: Discuss the timeline for the delivery of the draft and final audit reports, ensuring that expectations are aligned.
  • Feedback Process: Explain the process for the auditee to provide feedback on the draft report, including the mechanism for submitting comments and the timeframe for doing so.
  • Final Report Distribution: Confirm who will receive the final audit report and the method of distribution, whether electronic, printed, or both.

 

Explain the Context and Consequences of Audit and Discuss any Follow-Up

  • Implications of Findings: Discuss the broader implications of the audit findings on the auditee’s operations, risk profile, and quality management system.
  • Corrective Actions: Talk about the need for corrective actions to address the findings, emphasising the importance of addressing the root causes of any non-conformities.
  • Follow-Up Audits: If applicable, discuss the possibility and timing of follow-up audits to verify the implementation of corrective actions.

 

Review and Submit Final Audit Report in line with the Audit Plan

  • Incorporate Feedback: After the exit meeting, incorporate any feedback received from the auditee into the draft audit report.
  • Final Review: Conduct a final review of the audit report to ensure accuracy, completeness, and that it reflects any agreements or clarifications made during the exit meeting.
  • Submission: Submit the final audit report to the auditee and other relevant stakeholders as agreed, adhering to the timelines and protocols established in the audit plan.

 

Leading an effective audit exit meeting requires careful preparation, clear communication, and an open, collaborative approach. By following these steps, you can ensure that the exit meeting is productive, that findings are clearly understood and agreed upon, and that the groundwork is laid for any necessary improvements.

Exercise Files
Audit Exit Meeting Agenda Template.docx
Size: 26.57 KB