Task 1Part 1: Developing Team Performance PlansOverall PurposeThe team is an audit team working in the quality control unit of a government sector. The team consists of three employees, the audit team leader and two other members. The overall purpose of the team is to conduct an annual audit for all the processes in the organization which includes planning and scheduling quality audits of all organizational processes, preparations to conduct internal quality audits, reporting on quality audits, assessing the effectiveness of responsive actions in the event of non-conformance and evaluating requests for corrective action.
Each of the team members has various roles, responsibilities and accountabilities. The team leader is in charge of establishing the overall audit strategy and planning for the team’s activities prior to conducting the audit engagement. The responsibilities of the team leader include planning for preliminary engagement activities prior to conducting audit procedures such as ensuring acceptance and continuance of client relationships, evaluating the ethical requirements for the audit such as the independence of the audit team which includes communicating with previous auditors and establishing the audit strategy, terms of engagement and ensuring both team members and the client understand the strategy.
The team leader’s accountabilities include establishing the overall audit strategy, developing and supervising the implementation of the audit plan, providing direction, supervision and review of team members’ work during the audit engagement, ensuring proper documentation of the audit process, communicating with those charged with governance and management, facilitating discussion and engagements and providing support for team members. The team member’s primary roles and responsibilities are to implement the established quality control audit strategy. Their accountabilities making contact with the various organizational units to be audited, collecting the necessary information required for effective quality control audit, communicating to the team leader any challenges or emergent issues during the audit and preparing the final audit report.
Consultation ProcessSeveral meetings, interviews and brainstorming sessions were conducted to ensure that the goals and objectives of the team would be met. As the team leader I held individual interviews with the employee team members to brief them of the requirements of the quality control audit and to ensure that they understood the overall audit strategy and its requirements.
Moreover, I held brainstorming sessions with the team members and several selected experts where we discussed several audit strategies and offered suggestions which were used as input into the audit plan. The brainstorming session enabled me to have a better understanding of the team members, their skills and attributes and their approach to the audit process. In addition to this, I held several meetings with the employees of the organization to communicate the purpose of the quality control audit and the audit strategy.
These meeting also outlined to employees how they could contribute to the audit process. The team also held several meetings with the government officials to brief them on the overall audit strategy and to address or clarify several issues such as the expectations of both the audit team while conducting the quality control audit and the parameters in terms of responsibilities of both the audit team and the government officials regarding access to information and cooperation to ensure an efficient and effective audit process. A meeting was also held with the previous auditor to identify any challenges or issues that may be anticipated in the audit and to enable effective planning.