What techniques can you use to gather evidence during a quality audit?

1 Review documents and records

One of the most common techniques for gathering evidence is to review documents and records that document the organization's policies, procedures, plans, objectives, and performance. Documents and records can provide objective and traceable evidence of what the organization has done, how it has done it, and what results it has achieved. You can review documents and records before, during, or after the audit, depending on their availability and accessibility. You should select documents and records that are relevant, current, complete, and accurate, and use a checklist or a sampling method to ensure coverage and consistency.

2 Observe activities and conditions

Another technique for gathering evidence is to observe the activities and conditions of the organization's processes, products, or services. Observation can provide direct and firsthand evidence of how the organization operates, what resources it uses, and what outputs it produces. Observation can also help you verify the implementation and effectiveness of the organization's policies, procedures, plans, and objectives. You can observe activities and conditions during the audit, either by following a process flow, visiting a work area, or inspecting a product or service. You should observe objectively, impartially, and respectfully, and use a checklist or a questionnaire to guide your observation.

3 Interview personnel and stakeholders

A third technique for gathering evidence is to interview the personnel and stakeholders involved in or affected by the organization's processes, products, or services. Interviewing can provide subjective and qualitative evidence of the organization's culture, values, knowledge, skills, attitudes, and perceptions. Interviewing can also help you understand the context, rationale, and challenges of the organization's policies, procedures, plans, and objectives. You can interview personnel and stakeholders before, during, or after the audit, depending on their availability and willingness. You should interview a representative sample of personnel and stakeholders, and use open-ended, closed-ended, or probing questions to elicit relevant and reliable information.

4 Use tools and techniques

A fourth technique for gathering evidence is to use tools and techniques that can help you analyze, measure, compare, or evaluate the organization's processes, products, or services. Tools and techniques can provide quantitative and analytical evidence of the organization's performance, efficiency, effectiveness, and quality. Tools and techniques can also help you identify patterns, trends, anomalies, or deviations in the organization's policies, procedures, plans, and objectives. You can use tools and techniques before, during, or after the audit, depending on their suitability and feasibility. You should use tools and techniques that are appropriate, reliable, and valid, and use a checklist or a template to ensure accuracy and consistency.

5 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?