Introduction (continued)
This manual is broken up into five sections. They are:
1. Conduct Entry Meeting 2. Identify and Gather Information 3. Manage Audit Team Resources 4. Conduct Exit Meeting 5. Guide Team Members in Continuously Improving their Performance. There are activities throughout this workbook. These require the Learners to think about their experience or reactions, or to try and complete some research through reading or accessing the Internet. The activities will also help Learners towards completing the Assessment Task by assisting them to think about issues involved in the Assessment Tasks. Learners will then be asked to complete an Assessment Pack for this unit of competency. The information contained in this workbook will assist them. These tasks can be completed as they work through the workbook, rather than leaving it all to be completed at the end of their study. Finally, at the end of this workbook you will find a list of useful resources that you may use for further information. You will need to have access to an Internet terminal. Throughout the text, there are references to websites for further information and for some activities. This unit contributes the attainment of National Certificates. When management decides to initiate an audit, procedures and planning are necessary to ensure success. A carefully thought-out process will run much more smoothly, and the organisation will get the information it wants from the audit without excess information or distracting side issues. Initiating an audit is the subject of this competency.
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BSBAUD503B Lead a Quality Audit Trainer Manual © Precision Group (Australia) Pty Ltd
Element 1: Conduct Entry Meeting
Organise the Entry Meeting in Advance at a Mutually Agreed Time • The entire audit team should be at the entry meeting • The Lead Auditor is to chair the meeting • Meeting should be brief
“The more time spent watching a show, the less time you have for observing.” The Lead Auditor is responsible for and in charge of the entry meeting. As Lead Auditor you will need to determine how formal the entry meeting should be. Generally, meetings for internal audits are less formal than meetings for external audits. You should always schedule an entry meeting. Even if this is a routine system audit, it is common courtesy to let everyone know that the audit team is in the area and what your plans are for the audit. If the audit is routine and everyone knows what to expect, you can keep the meeting short – less than five minutes. A more formal meeting should be held for larger audit scopes, when the audits are not routine, and when the business risks are higher. The meeting will take 30 to 60 minutes. The meeting ensures that everyone is aware of the audit and allows any last minute issues to surface. The longer meeting will require minutes to be kept, including who attended the entry meeting.
Prepare the Agenda for Audit Including Objectives, Scope, Schedules, and Logistical Arrangements • Introductions Make sure everyone knows each other. This is an ideal time to take attendance. ○ ○ Lead Auditor ○ ○ Auditor ○ ○ Observers ○ ○ Auditee representatives. • Thank Your Host ○ ○ Thank the person (or acknowledge them) who made the arrangements for the audit. • Review the Audit Plan ○ ○ Reaffirm the purpose, scope, and standards to be audited against.
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BSBAUD503B Lead a Quality Audit Trainer Manual © Precision Group (Australia) Pty Ltd
Element 1: Conduct Entry Meeting
• Establish the Interview Schedule ○ ○ For routine audits this can be informal, eg. Scheduled time is between 9 am and 12 noon) ○ ○ For formal interview schedules, be sure to follow the organisation guidelines ○ ○ Confirm the availability of personnel (interviewees), and resolve and record schedule changes or limitations. • Review Logistics ○ ○ Verify meeting room locations and home base for the auditors ○ ○ Equipment and services (power outlets, rest rooms, telephones) ○ ○ Emergency evacuation procedures. • Confirm the Exit Meeting ○ ○ Date, time, venue and attendees. How you conduct yourself, along with your presentation techniques at the entry meeting, will have a significant effect in setting the tone for the audit. An audit, whether internal or external, is always serious. Internal audits may be less formal, but the process of interviewing, probing, and examining to judge conformance or non-conformance should be done in a cordial business-like manner.
Objections to the Audit Plan The auditee has the right to object to any of the provisions within the audit plan. If this is the case, then these objections are made known to the Lead Auditor and some sort of agreement is then made between both parties and amendments made to the plan.
Distribution of the Audit Plan The Lead Auditor should arrange for the distribution of the authorised audit plan in accordance with the client’s written directions.
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BSBAUD503B Lead a Quality Audit Trainer Manual © Precision Group (Australia) Pty Ltd