Effective Use of Audits

In spite of the limitations on both reUability and validity of audits, we believe they are of some use in maintaining an effective safety-management system. Moreover, because they are so entrenched as a tool, we do not expect the use of audits to be discontinued. Therefore, we feel obliged to offer recommendations for how they can be used most effectively. If one plans to use audits, there are several questions that should be asked  

Errors of omission are more likely to bias audit results 

This bias in safety audits, through errors of omission, is very counterproductive. Although it may be useful and important to identify what is done well, it is much more important to know what is not being done well. If an audit is to faciUtate continuous improvement, the auditors need to have a good knowledge of what is working and what is not working to advise the 

What is the objective of the audit This seemingly simple question is inexorably linked to the question of who is the cnstomer for the audit. Is the objective of the audit to determine compliance with established standards Or is it to understand process or system shortcomings so the owners of the process can improve that process The first is an andit for management the second is an andit to improve the process. 

The audit s objective affects both the form and the content of audit. It is our contention that audits are suited to determine point-in-time compliance. It is relatively easy to design an audit to determine point-in-time compliance with a regulation or a standard. It is much more difficult to design an audit process that will reliably help evaluate and improve a process. It is unlikely that a standardized audit could accomplish this. What is required is that the auditor has an understanding of the particular process under study. Based on this understanding, the auditor can then design questions to evaluate the process. We have some limited experience with this approach. It lacks the appeal of standardization and is relatively slow and costly. Moreover, it can succeed only in an atmosphere of trust. If the auditor is to ever find out what is really happening, the employees involved have to be confident that the information they reveal will be used to improve the system rather than to evaluate them. 

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