Setting Up The Audit - Possible Problems

An audit is an evaluation of capability of the service, staffing and the management of processes. Peer audits can be more effective than other types of audits because :

  • Your peers are most likely to be more judgmental
  • They are more likely to evaluate your by their own service requirements, especially where they think they have a right to improved service provision
  • They have more dayo to day knowledge of your operations and as a result they are more  likely to object if you attempt to "flannel" them!

Internal Peer Auditors - Potential Issues

This is possibly more problematic when you are serving as an internal peer auditor. Problems which might emerge are:

  • The difficulties of having to make judgements about the service quality offered by your own organisation and your co-workers performance
  • How you handle unfavorable content and the best ways to make constructive criticisms
  • Your own position within your organisation's hierarchy and the status of your recommendations

Preventative Measures

Hang around setting up the audit with the team/staff and service users you will certainly be auditing:

  • Explain the function of the audit.
  • What it is and what it is not and advantages of the procedure
  • Describe the format and standards of the audit - exactly what proof you will be looking for and why
  • Discuss exactly what will occur to the guide
  • Explain what feedback will certainly staff/client will get on the process
  • Exercise answers to common concerns you might be inquired about the audit in advance
  • Inquire about anxieties and re-assure them
  • Explain the confidentiality method
  • If appropriate, use your own experiences of being investigated formerly
  • Organize a schedule that fits them for interviews or access to files and so on
  • Adhere to you scheduleAudit Checklist for staffing compliance

Key Issues For Consideartion - A Checklist for Auditing Managers


The physical environment: well maintained, "suitable for purpose", signage, reception location facilities, customer info appropriate and up to date, details for minority groups, physical gain access to problems, Health and wellness.

Communication: mutually respectful relationships, expert limits & privacy preserved.

Auditing Policies Sanity Test

  • Do auditing policies exist?
  • If so, are they jargon free?
  • What format are they in?
  • Are they reviewed periodiocally if so, what are the review dates?
  • Are they accessible foir all employees that require them?
  • Are there clear processes for the execution of auditing processes?
  • What processes need to be audited and how are they evaluated?

Abilities Of The Workforce

  • What skills, abilities and competences exist within team/organisation?
  • What methods does it have of devising and evaluating such skills/abilities?


  • Internally on the organisation and its policies etc
  • Externally on neighborhood services
  • How is access to info encouraged?

Information About Equal Opportunities

  • Are Equal Opportunities issues addressed included in the auditing program?
  • And how are they seen to work in practice?

Service Users

  • Has the service met their initial expectations?
  • Can they recognize the positive developments they have achieved?
  • Who measures success and how?


  • How well supported and mentored are they?
  • How efficient is the tracining, guidance and appraisal process ?
  • How are problems raised beyond the formal guidance and appraisal?

What Is The Culture Relative To Grievances?

  • Are they saw positively/dealt with favorably?
  • How acted on?
  • How fed into wider objectives and decisions?

Best Practice

Exists durable proof that the organisation goes beyond standard efficiency in specific locations that should be highlighted?


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    Brand New Auditing Technology Improves Health and Safety

    When it comes to health and safety matters, the optimal operational practice is to ensure that best standards of health and safety practice are utilised in a company. To commence this process, a firm has to control, monitor,and tightly manage a wide range of employee and operational processes like: recording compliance, non compliance and identifying preventive measures maintaining records and ensuring proper use of operational manuals and procedures making sure that clarity of understanding regarding procedures and effective communications are maintained identifying measures to correct non-compliances continual improvement vs operational standards and key performance indicators Recently, auditing management tools have enabled the collection of audit inspection data. Hand-held data capture via PDAs or tablet computers can be used to conduct audits on remote sites, monitor non-compliant health and safety issues and also give operations managers greatly improved knowledge and...

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    Website Launched

    Our new website has been launched today. I hope that you find the world of auditing as fascinating as I do. Bernard Michel


Exactly What Is A Quality Audit

Quality audits are normally performed at predetermined time intervals and guarantee that the company has actually clearly explained processes, methodologies and procedures which will result in effective manufacturing output. Audits help determine if a company is in conformity with the established quality standards. Audits programmes can consist of detailed process inspection or results-based examination requirements.

It is an evaluation where an auditor confirms various records and processes when it comes to a company's quality management process. In general, the objective of a quality assessment is to find out whether the organization quality management is aligned with its quality system and whether it should make changes to its processes.

Modern businesses normally execute a quality auditing programme in order to figure out whether it is in compliance with particular quality standrads like those established by the International Organization for Standardization (ISO) 9000. Basically, ISO 9000 is an independent accreditation that a company is complying an internationally recognised standard.

Typically, a quality assessment is carried out by independent and impartial auditing professionals  who have the requisite knowledge and experience of operational methodologies for the particular location they are required to audit. A firm might also choose to do an internal evaluation of its Q.C. systems regularly. Members of the assessment group are usually specialists that have extensive knowledge about auditing demands, procedures and concepts.

Additionally, auditors ought to have hands-on experience with studying, assessing and validating  whether each process of a quality system is conforming to agreed standards or not as the case may be!

In a typical quality evaluation, the auditor first establishes their audit management programme and examination methodology. Such an approach generally specifies the timetable, personnel involved and location of the audit evaluation. An auditor typically has to analyse any number of the  business's published quality management guidelines, strategies and principles. When the audit has been completed, the auditor makes a report on his findings and conveys it to the company for remedial action.


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