Why audit checklists are ruining your reputation at work

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Procedure markup

Why audit checklists are ruining your reputation at work

There is a misconception that you can generate an audit checklist, give it to anybody in the organisation and get a good picture of how well the organisation is doing. I disagree. In my experience audit checklists tell you one thing…. Someone took the time to tick off an audit checklist.

I am going to share an alternative which is quick, effective and can be taught easily. Not only will it give you a true picture of performance it will help you get but in from senior leaders when they see the benefit of internal audit.

ISO-19011 “Guidelines for quality and/or environmental management systems auditing” outlines the process for collecting information as part of an audit. The Standard talks about sources including: interviews, observation and review of documents.

You should review these three pieces of information to allow you, as an auditor, to make informed decisions.

You need to read policy and procedure to understand what people do. The procedure should also tell you which records will be generated as part of the work (think client files, meeting minutes etc). You should talk to or observe people who do the work, this allows you to determine whether they understand the work and follow procedures. You should review records (remember those client files and meeting minutes) to verify that processes are being followed.

We call this triangulation

The biggest risk when using a checklist is that you focus on recording whether the document (think client assessment, consent form) is there, rather than considering the quality of the work.

The solution

So, what should you do to ensure you get the best results from your internal audit; make sure risks are identified and measure the quality of the work being carried out?

Procedure Mark up

Planning for your audit needn’t be a lengthy process but it should consider how you can triangulate your evidence. You should make sure you have an opportunity to read the procedure, talk to or observe staff doing the work and see records to verify the quality of the work.

One simple way to do this is to quickly do a procedure mark-up. You skim the procedure or procedures attached to the process you are going to audit. You mark off situations where you can read, observe, talk to people and review records and you use this as your tool to conduct the audit.

The mark up gives you opportunities to triangulate your evidence. With this process, you can quickly prepare for the audit and be confident that you have a sound methodology for decision making.

Happy auditing…..