“Desk Audit”

What is Desk Audit?

A desk audit is an assessment of a business’ compliance with standards and regulations. It is conducted in an office environment as opposed to a field audit which takes place on-site. Companies often use desk audits to evaluate operations, processes, documentation, and procedures. The process involves a deep dive into the company’s data and records, as well as regular communication between the auditors and business personnel.

Purpose and Process of a Desk Audit

A desk audit is conducted to review compliance with applicable laws, regulations, and standards while ensuring operational quality and integrity. This audit process has several advantages. It is less disruptive to the business’s daily operations, more cost-effective compared to field audits, and provides a more detailed evaluation of records and data. The audit process begins with the auditor collecting information from the business for better understanding of their operations. Then, a desk audit is conducted by analyzing the records and documents provided.

Steps and Considerations for Conducting a Desk Audit

In order to be effective, the audit must involve a thoroughly planned process. The auditor begins by researching all relevant information about the business. This can include regulations, laws, and documents. Next, the auditor creates a checklist of specific points that must be evaluated to complete the desk audit. This checklist must be solid and comprehensive, ensuring all areas are properly covered. After the checklist is prepared, the auditor proceeds to the review, with special attention to the results of the research conducted. The auditor will use the checklist to compare the business’s actual performance to the required standards. Lastly, the auditor will issue a report and submit it to the business.

FAQs

What role does communication play during the desk audit process?

Communication is vital for the successful completion of a desk audit. It is important for the auditor to communicate regularly with the business staff, as the auditor needs a deep understanding of the business’s operations and processes. It is also important that the business personnel are prepared for the audit, and provides timely responses to questions asked by the auditor. Lastly, the auditor should render a thorough and straightforward report that outlines any compliance issues that must be addressed.

What is the difference between a desk audit and a field audit?

A desk audit is a data-driven evaluation conducted within an office setting, analyzing documents, records, and procedures. On the other hand, a field audit is conducted on-site, assessing the business’s physical operations and practices. Additionally, a field audit requires that the auditors have direct contact with business employees and that they see the operations firsthand. It is more intrusive, expensive, and disruptive than a desk audit.

Also, See: Help Desk Software