How can you conduct a quality audit?

1 Define the audit scope and objectives

The first step is to determine what, why, and how you are going to audit. You need to define the scope of the audit, which is the extent and boundaries of the audit activity. For example, the scope can cover a specific project phase, process, product, or service. You also need to define the objectives of the audit, which are the expected outcomes and benefits of the audit. For example, the objectives can be to verify compliance, identify gaps, evaluate performance, or recommend improvements. Additionally, you need to define the audit criteria, which are the standards and requirements that the audit will use to measure the quality of the audited entity. For example, the audit criteria can be based on customer specifications, industry regulations, organizational policies, or best practices.

2 Select the audit team and method

The second step is to select the audit team and method. You need to choose the audit team members based on their qualifications, experience, and impartiality. The audit team should consist of at least one lead auditor and one or more auditors, depending on the size and complexity of the audit. The lead auditor is responsible for planning, coordinating, and reporting the audit, while the auditors are responsible for collecting and analyzing the audit evidence. You also need to choose the audit method, which is the approach and technique that the audit will use to gather and evaluate the audit evidence. For example, the audit method can include document review, interviews, observations, surveys, or tests.

3 Prepare the audit plan and checklist

The third step is to prepare the audit plan and checklist. The audit plan is a document that outlines the details and logistics of the audit, such as the audit scope, objectives, criteria, team, method, schedule, resources, and communication. The audit plan should be approved by the relevant stakeholders and communicated to the auditee, which is the person or entity that is subject to the audit. The audit checklist is a tool that helps the auditors to organize and conduct the audit, such as by listing the questions, tasks, and documents that the auditors need to cover during the audit. The audit checklist should be based on the audit criteria and customized to the specific context and needs of the audit.

4 Conduct the audit

The fourth step is to conduct the audit. This step involves executing the audit plan and checklist according to the audit method and collecting and analyzing the audit evidence. The audit evidence is the information and data that the auditors obtain from the auditee and other sources to verify the compliance and performance of the audited entity. The auditors should use appropriate sampling techniques and quality tools to ensure the validity and reliability of the audit evidence. The auditors should also document their findings and observations during the audit and communicate them to the auditee in a timely and respectful manner.

5 Report the audit results and recommendations

The fifth step is to report the audit results and recommendations. This step involves preparing and presenting the audit report, which is a document that summarizes the audit scope, objectives, criteria, method, evidence, findings, and recommendations. The audit findings are the conclusions and judgments that the auditors draw from the audit evidence, such as by identifying the strengths, weaknesses, opportunities, and threats of the audited entity. The audit recommendations are the suggestions and actions that the auditors propose to the auditee to address the gaps and improve the quality of the audited entity. The audit report should be clear, concise, accurate, and objective and should be approved by the lead auditor and the relevant stakeholders.

6 Follow up on the audit actions and improvement

The sixth step is to follow up on the audit actions and improvement. This step involves monitoring and verifying the implementation and effectiveness of the audit recommendations by the auditee and providing feedback and support as needed. The auditee should develop and execute an action plan to address the audit recommendations within a reasonable time frame and report the progress and results to the auditors and the relevant stakeholders. The auditors should review and evaluate the action plan and the outcomes and determine whether the audit objectives have been met and whether the quality of the audited entity has improved. The auditors should also document and communicate the follow-up results and close the audit once the audit actions and improvement are satisfactory.

7 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?