Document Review

A documentation review is also known as a desktop audit because it is conducted by a lead auditor off-site (rather than on-site at the client’s premises). Documentation review is the first stage of the certification audit process. Prior to the scheduled documentation review, Health Audit NZ Ltd will supply you with an electronic audit tool that contains the audit standards and criteria. Your management team will complete the audit tool and create a self-assessment record.

As an integral part of the documentation review the lead auditor creates, in collaboration with your management, an on-site audit plan (itinerary). The audit team members, the standards assigned to each auditor, the times and dates of the audit are outlined in the audit plan.

You will receive the documentation review report together with the audit plan prior to the on-site audit in order to allow time for your team to review the findings in preparation for the on-site audit.

Preparing for the next stage - the on-site audit

An important feature of the document review is planning and preparation by the lead auditor for the on-site audit. Please read the documentation review report and note the findings and comments made by the lead auditor. These findings and comments should be considered and followed up by your management team as part of their planning and preparation for the on-site audit. For example, the documentation review report may indicate amendments are needed to a procedure, records of service delivery that will be requested when on-site, or implementation of a particular process that will be observed.

Other documents noted in the report for follow-up when on-site might include minutes of meetings together with action plans, personnel records and job descriptions defining responsibilities and authority, training programmes and records, internal audit schedule and records, and records of management review of your quality system. Accompanying the documentation review report will be an audit plan which will assist your management team with their planning and preparation.

Next stage - On-site Audit