A well planned audit tool can be the difference between a successful and unsuccessful inspection or audit. The inspection or audit tool also becomes an important piece of objective evidence to support that the inspection or audit was actually undertaken. Please keep in mind that an audit tool is different to the audit report.
Checklists as an Audit Tool
The most common audit tool used is in the form of a checklist. However, a checklist should not be a list of questions to be answered during the compliance audit or inspection. It should be seen as a prompt as to the areas that require review during the audit or inspection.
How to make an audit checklist
Creating an effective audit checklist requires a systematic approach to ensure all compliance requirements are captured and properly evaluated. As a starting point, include a section for recording audit details such as date, time, location, and names of both auditor and auditee.
To develop the prompts for your checklist:
- Get a copy of the rules or law to which you will be determining compliance.
- Highlight the areas that are mandatory. These will include activities with words like “SHALL”, “WILL”, “MUST”. From a legal perspective, these are the areas that are legally enforceable. If the words say “should” or “advisable” – these are really optional for the business.
- Summarise all of the SHALL-WILL-MUST requirements into questions. Try and avoid writing long winded questions.
- Convert these questions into prompts.
- Format your prompts into your checklist.
- Identify the exact clause number associated which each prompt. This will make it easier when you have to write your non-conformances.
It is also recommended that space be included to record any immediate corrective actions taken during the audit and supporting evidence reviewed.
Design considerations for your audit tool
When designing your inspection tool or audit tool, there are three main considerations:
- The tool should be well formatted and include sufficient spacing, layout and font size.
- All aspects of the inspection or audit criteria that you have referenced or checking against, have been covered.
- There is adequate space to record all evidence collected during the inspection and audit including what you saw (observations), what records you reviewed and who you spoke with and their response.
Digital vs. Paper-Based Tools
Once you have created your audit checklist, it’s important to consider the format and delivery method that will work best for your organisation. The choice between digital and paper-based tools can significantly impact the efficiency and effectiveness of your audit process.
Digital tools can make your life easier with features like automatic data analysis, instant sharing of findings, and the ability to snap and attach photos right on the spot. Plus, you’ll have easy access to your audit history whenever you need it. That being said, don’t completely write off paper-based tools – they might actually be your best bet in places where using technology isn’t practical or allowed.
Testing Your Audit Tool
Test your audit tool thoroughly before implementation by conducting a pilot test and gathering feedback from other auditors and experts. Review the tool’s performance after several uses and make regular updates based on feedback and changing requirements to maintain its effectiveness and relevance.
Final Thoughts
Developing an effective audit tool requires careful planning, attention to detail, and a clear understanding of compliance requirements. Remember that a well-designed audit tool not only makes the audit process more efficient but also ensures that all critical compliance areas are properly evaluated and documented.