Achieving Quality: Involving clients, staff and other stakeholders in quality auditsClaire Tuffin, Head of Business Excellence

Why do we audit?

For the client • To provide the best service possible to our clients.• To reduce the likelihood of mistakes and misunderstandings in the

implementation of policies and procedures• To reduce complaints from our clients.

For the team being audited• To allow the team being audited to reflect on their quality and performance• To save time when filling out external self-assessments• To highlight and celebrate good practice• To identify areas of a service which are problematic and which needs to be

developed further• To support teams in obtaining an external quality mark.

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Why do we audit continued….

For the organisation• To provide an independent and unbiased perspective on a service• Checks that the service is operating as it was originally intended to do• To ensure that all our service meet a minimum quality standard and is good

value for money• To identify areas of good practice which can be shared with other services.• To ensure organisational wide policies and procedures are understood and

being worked to.

For the auditors• Because training to be an auditor provides staff with further skills and

promotes career development.

For everyone• To illustrate to our clients, staff and funders that we are committed to

critically analysing the quality of our services and improving the way we work.

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Background

• First gathered support from Senior Managers, Managers and staff through presenting at various forums

• Developed an audit programme at Broadway in 2006 which ran up until July 2014

• Started to train client auditors from 2011

• Introducing the new audit programme at St Mungo’s Broadway this month!

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Key Principles of auditing

Audit the most riskiest service first Use audit services at an early stage of a service’s development Ensure managers and staff are on board with the audit process Use a tool appropriate to the service Be independent and objective Be mindful of the final desired outcome for your audit and the audience for

your audit report Ensure there is a process in place to follow up audit action plans.

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Recruiting and Training Auditors

• Mandatory involvement for all service delivery managers!

• Advertised via posters and through keyworkers to recruit clients

• Half day ‘How to be a Fabulous Auditor’ course for managers which covers sources of audit evidence, audit interviewing skills, report writing and action plan.

• Full day client audit training which covers all the above plus looking at the skills needed to be a good auditor, professional boundaries and a practice audit within the service. Clients are provided with a certificate of course completion.

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Setting your audit timetable

• Set your audit timetable• Include which services you are auditing,

your audit team and what audit tool you will be using

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Service Auditor 1 Auditor 2 Auditor 3 (for large services

Client Auditor(s)

Audit tool used Audit Dates Update Progress Update

NSNO Margery St Claire T Fiona S NSNO 30th Sept Audit completed ReceivedNSNO Centre Claire T Viv S NSNO 14th Oct Audit completed ReceivedLambeth Assessment Centre Claire T James L N and D Housing Support 10th Oct Audit completed ReceivedLambeth Vulnerable Adults Jenny T Emma H Jenny M S Housing Support 8th Nov/14th NovAudit completed Received

The Audit Tool

• The Balanced Scorecard with variations for Housing Support, Womens Refuge, Advice Services, No Second Night Out, Outreach, Real Lettings, etc.

• Or….use an external self-assessment such as QAF, Matrix.

• Self-Assessment?

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It’s all in the preparation…

In advance:• Send out an e-mail to the Service

Manager setting out how the audit will be carried out and who we want to interview

• Send out lots of audit information to the auditors: a standard agenda, interview questions, file audit tool, list of documents you’ll need to see, etc.

• Sending out a ‘Quick Guide’ to your client auditors helping them prepare for

the audit.

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The Actual Audit Day

• File audits• Communal area checks• Interviewing staff• Interviewing clients• Interviewing other stakeholders (funders, partners)• Giving verbal feedback to managers• Questionnaires (?)

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Auditing Tips

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• Explain about the purpose and benefits, the format and report, confidentiality and feedback

• Ask about anxieties, the timetable, for permission to enter rooms or ask questions/ interview, for ideas for improvement

• Ensure clients and staff are informed and you stick to your timetable whenever possible

• Introduce yourself to each new person you meet.

• Debate about policies and practices

• Offer opinions or unsolicited advice

• Ignore or collude with bad practice

• Judge against your service’s practices

• Advocate for customers or staff

Audit Report Writing Tips

• Make sure that whatever you say can be backed up by evidence; keep good interview notes and file audit notes – you are likely to be challenged!

• Decide with your fellow auditors on a grade or final assessment – check and balance

• Make sure that any action plan targets are SMART and clearly relate to either to the relevant audit tool or current P & Ps

• Remember your audience and the key questions the audit is asking

• Keep it short; only use what the reader needs to know

• Use careful wording for negative points and avoid reflecting on individuals.

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After the audit

• Feedback to clients, staff and stakeholders who were involved in the audit on your findings

• Feedback to your audit team

• Follow up to ensure the areas for improvement have been worked upon

• Share good practice organisation wide

• Repeat….

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