An audit should help a manager decide what to do next. These common habits can leave a folder looking complete while important questions remain unanswered.
Auditing only the easiest records
A convenient sample can miss change, complexity or known concerns. Write down your sampling rationale and rotate your attention. Include a reason for looking at particular records, rather than reusing the same sample each month.
Scoring without explaining
A percentage says little without the questions, evidence and exceptions behind it. Record enough detail for someone else to understand the finding. Where evidence is missing, distinguish “not evidenced” from a conclusion that an activity did not happen.
Closing actions too early
Sending an email or editing a policy may complete a task without resolving the original issue. Define the intended change and decide how you will check its effect. Give overdue actions an escalation route.
Missing the pattern and the person
Two further traps are treating repeated findings as isolated events and ignoring people’s experiences. Compare themes across audits, feedback and concerns. Ask whether the numbers match what people and staff are telling you.
Your takeaway checklist
- The sample has a clear rationale.
- Each score is supported by evidence.
- Completion and effectiveness are reviewed separately.
- Repeated themes and people’s feedback are considered.
Official guidance to read alongside this guide
Regulation 17: Good governanceThis is practical preparation guidance. Check the current requirements relevant to your service and obtain advice on your own arrangements where needed.