CYPS – Foundation Degree How to carry out an audit M.Henshaw@derby.ac.uk

Aims To examine the principles of auditing your provision.

For this module You will carry out an examination of your settings equality and diversity procedures and practice to assess compliance with legislation and guidelines for quality in relation to your setting.

Benefits of carrying out an audit. Audits are assurance that good practice, as described in a quality standard, are maintained. Audits also assess the effectiveness of policies, in relation to legislation and current thinking. Audits offer an opportunity for improvement. Audits can also highlight and share good practice. Achieve better allocation of resources Able to avoid potentially big problem

Purpose of the audit They are a way to establish information based on facts, not on suspicion, suggestion or assumption. They are a good way to keep on top of the quality system, rather than letting the system ravel at the edges. Audits establish facts. They should never be directed toward an individual or group.

The Audit should Be a planned activity and be documented. Focus only on the quality system. Have specific requirements. Be cyclical and the frequency determined by management. Use objective evidence. The degree to which a non conformance or non compliance affects the quality determines the degree of follow up required.

What is an audit

Clarification Before we continue the discussion, we need to be certain we understand one another. This slide and the three following it provide some important definitions. What is a quality audit? See the definition above. The key words are: Systematic – the entire system must be audited Independent – you can’t audit your own work Quality activities and related results – what you do and the results Implemented effectively and achieve objective – are you doing as planned, have you met your objectives?

Your role as an auditor

Clarification What does it take to be an auditor? You must understand the requirements of the quality standard in relation to your audit subject (research/policy/legislation). You must have some knowledge of how to carry out an audit.

The setting you are auditing

Clarification Two final definitions: Your setting is the auditee. An observation is the statement made by the auditor regarding information he or she sees or hears. It is part of the audit report and is usually presented as evidence in a finding.

Objective information Objective evidence may be obtained from an interview, but it must be substantiated by concurrence from one or more other people or by some kind of documentation. Key words Information, records, or statements of facts – must be based on evidence Observation, measurement, or test which can be verified – again, must be based on tangible evidence.

Your role Look at your settings systems, procedures and records and determine if they are in conformance with their policy, procedures, agreed standard and appropriate regulatory requirements.

As an auditor you should be Ethical Open-minded Diplomatic Observant Perceptive Versatile Determined Decisive, and Self-reliant

As an auditor you are not Fault finders Rock throwers Nit-pickers An interrogation task force Dishonest Remember your are not looking to find fault or to place blame

What do I audit Audits verify the effectiveness of the Quality System. Auditors do not audit people, only the Systems in place to promote the area being audited. Is the standard requirement being met? Are the legal requirements being met? An audit is not a test of how someone does his or her job.

Planning your audit Audits are formal activities and should be carefully planned. This list gives broad parameters for an audit plan. Agenda Review Information Date and Time

Choosing your documentation Some of these documents may be used. Not all may be applicable to every audit. Working documents you may use Forms for documenting objective evidence; Forms for documenting audit findings; Procedures to be followed; Checklist Predefined discussion topics

Audits may be broken up into several small parts Audits may be broken up into several small parts. There are two recognized ways to audit by segment: Audit individual areas of your setting for all applicable requirements (a vertical audit) or Audit all areas of the setting using one or more processes or Elements of the standard.

Auditing skills avoid leading, multiple, & trick questions listen intently be observant & take notes try to establish root cause of deficiencies actually witness & document objective evidence avoid giving advice remain calm, courteous, polite, professional & firm

Collecting evidence Communicate clearly. Be open minded. Be aware of biases. Ask questions in regard to the quality systems. Do not make assumptions - be certain that evidence supports all conclusions.,.

Suggested questioning. Try to use open ended questions How does your practice reflect your policy in relation to ……. How do senior members of the team guide you in relation to procedures regarding….. How are your systems effective? What does quality look like in relation to ….. In which areas do you feel your practice reflects your quality objectives? Is the Quality Policy a reality? What is your responsibility and authority? In what way does the ……. policy effect what you do? What feedback do you receive about your performance? How do you deal with problems arise?

Possible documents to audit Policies Procedures Work Instructions Records External Documents

Keeping track of your audit You must keep a records to verify that the an Audit was performed and to assure that the facts are correct. Sometimes our memories play tricks on us or fail to recall all the pertinent information we collect.

WHAT ARE AUDIT FINDINGS ? An observation is a positive, negative or neutral fact that is supported by objective evidence. A nonconformity is the non-fulfillment of a requirement. An audit finding is a written statement or conclusion describing a nonconformity. It includes: the requirement, as it is stated in the quality standard, or regulation and the observation which provides evidence that the standard or regulation is not being met.

Clarification Be prepared Retain an open mind Be professional Do not waste time Present a true and fair view Know what you are using to measure the quality.

Sample forms - Audit of Provision Access SEN support Interpreters A Policy Other provision

Sample form - Audit for Equality and Diversity Area of impact What do we do well? How do we know? What is the evidence? Physical setting Legislation Policies and Procedures Physical resources Community Support/Involvement Human Resources Gaps identified: Action plan:

Sample Audit form 1of2 Area of Impact Indicators Y/N Evidence available Area of concern Action to be taken Physical Setting Accessibility Signs and notices Legislation Policies and Procedures Equal opportunities Policy Physical Resources For this area think of the resource areas in your setting Sample indicators you may choose your own.

Sample Audit form 2of2 Area of Impact Indicators Y/N Evidence available Area of concern Action to be taken Human Resources Staffing Training and development Community Support/Involvement Accessibility Engagement Parent classes etc Full size available in study materials.

Creating your own form The samples are there to guide you, you may choose to design your own form and tailor it to your audit. See Siraj Blatchfords guidelines for self assessment in the early years in study materials.

Audit Findings The audit finding can be classified into 2 groups: Compliance : Satisfactory /Adequate Outstanding Non-compliance : Critical deficiency Major deficiency Minor deficiency

Your Audit Report Your findings should be discussed in your report. You should discuss the standards/policies/research articles that you used to measure the quality of the setting. Focus on deficient conditions and not people Include any positive observations Keep the audit report simple and clear Further information for writing your report contained in the report writing presentation.

Report outline Title Page Table of contents Body of report Conclusion Recommendations Bibliography Appendices Audit Activity plan Activity evaluation Permission slip Evidence of implementation

Action Plan Your audit will identify an area/areas for development. You will discuss this in your report. (see how to write a report presentation) You will then identify an activity that may bring about change. (see how to plan an activity presentation) You will carry out this activity to see if changes were made and then evaluate your findings.

Audit steps Identify what you will be looking at and what you will measure this against (this will can be your research for LO1, policies, and procedures the setting has in relation to equality and diversity). Carry out and record your audit. Produce a report based on your audit and research. Identify an area for development. Plan an activity to improve your findings. Evaluate the process.

To conclude a quality audit is Periodic, independent, and documented examination and verification of activities, records, processes, and other elements of a quality system to determine their conformity with the requirements of a quality standard