If your internal audits are anything like everybody else’s internal audits, they confirm that activities are happening as per planned arrangements, with the planned arrangements being documented things that should happen.
And when we talk about documentation, we mean things like flowcharts, instructions, policies, bench level instructions, SOPs, safe work method statements, record master lists, registers, project plans, safety plans, environmental management plans, ITP’s, wall charts, the list goes on. This becomes the audit criteria – and auditors check against it.
Essentially what happens is prior to the audit a checklist is created from the audit criteria, and the auditor then goes and checks that these things are actually happening. Are the forms filled out correctly? Are they using the correct revision of the plan? Have performance appraisals been completed on time? And on it goes.
we’re actually asking the user or “customer” of the activity about how it works for them
So how could we do this better – to find real issues, to drive some real improvement?
Let’s use the example of a small coffee shop. The owners have created a number of rules, policies and procedures for their staff to follow which include things like; how to greet a customer, how to set the tables, what the uniform should be, and cleanliness and hand washing.
In a “normal” audit, an auditor may make up a checklist with some questions that look something like,
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Question |
Yes / No |
Comments |
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Are the staff wearing the correct Uniform |
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Are the cutlery and condiments laid out correctly on every table? |
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Are the tablecloths clean? |
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Is the food-preparation area clean? |
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Is hand washing equipment available? |
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Now let’s look at a better way... and include a column about who we should ask.
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Question |
Who to ask |
Comments |
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What do you like and dislike about the uniform? |
Staff |
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How easy is it to ensure the tables are laid out correctly? |
Staff |
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Do you always have enough clean tablecloths? |
Staff |
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Show me how you keep the food preparation area clean? |
Kitchen |
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Are soap and clean dry towels always available? |
All |
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Can you see the difference? Not only have most of the questions been changed from a yes/no (closed) question type, to an open question (requiring a longer answer), but we’re actually asking the user or “customer” of the activity about how it works for them, rather than just assuming that because it’s written down it must be correct.
To go one step further, we could produce some questions for the actual customers (end users) of the business – the coffee drinkers. However, in this example this is normally picked up through feedback sheets and social media e.g. facebook, trip advisor and the like. You wouldn’t really want an auditor poking around asking questions as people are enjoying your hospitality.
changing the focus of questioning, from whether processes are being followed, to whether they work
Using the example of Performance Appraisals, and this larger business has a process that states each person is to have an annual appraisal by their immediate supervisor or manager and this is to be completed using form PA 401.
A typical checklist for an auditor about a staff member may be,
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Question |
Yes/ No |
Comments |
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Have you had a performance appraisal in the past 12 months? |
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Was form PA 401 used? |
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Has form PA 401 been completed fully? |
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Was PA 401 completed by their immediate supervisor/manager? |
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Has PA 401 been stored correctly? |
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A better set of questions would be asking for feedback from both the staff member and their supervisor.
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Question |
Who to ask |
Comments |
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When was your last performance appraisal? |
Staff |
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What did you like about the performance appraisal process? |
Staff |
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What could be improved about the process? |
Staff |
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Do you feel if it was a fair appraisal? |
Staff |
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Was it too long, too short or about right? |
Staff |
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Do you feel comfortable doing performance appraisals? |
Supervisor |
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How could form PA 401 be improved? |
Supervisor |
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Do you believe you are the best person to conduct the appraisal? |
Supervisor |
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If not, why? |
Supervisor |
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How do you feel the process benefits your staff? |
Supervisor |
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How do you feel the process benefits yourself? |
Supervisor |
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We could then go on and ask the Human Resources department what they do with all the completed Form 401’s, and if they get the all the information they need? Are they completed on time? Do they have to chase people up for them?
Hopefully, you can see that by changing the focus of questioning, from whether processes are being followed, to whether they work for the people who have to use and receive information and results from them, we should be able to identify real problems and therefore drive real improvement.