Differences between Assessment and Audit

1) Auditors assess compliance, while assessments analyze the maturity and depth of a system

2) The audit process is a pass/fail one. Assessments are a way of grading the maturity level of the process that helps the organization plan for its future growth in its pursuit of excellence. An assessment gives the organization a sense of where they stand and what needs to be improved.

3) The audit is a very specific examination within a predefined scope. Assessment is much more holistic and broader. An assessment does not get into minute details about every element of the excellence model against which the assessment is being conducted. A big picture view is used.

4) The audit is conducted according to a set of standards. The assessment focuses on a range of best-in-class criteria.

5) The length of time for an audit varies with the size of the organization, the locations to be covered, and the allocation of manpower, while the length of time for an assessment is usually 3 or 4 months with predefined steps. Key business factors are agreed to, followed by individual assessments, and then by consensus, forming a single viewpoint for the assessee company. A site visit then follows to verify or clarify critical issues identified during assessments with company officials. Upon completion of the site visit, the assessment concludes with the submission of a final feedback report based on the data gathered.

6) As most audits are accompanied by a predefined checklist, audits do not generally require high skill on the part of the reviewer. An assessment requires high levels of maturity on the part of the reviewer. This means being open to learning, appreciating, and developing.

7) Audits pinpoint mistakes, and assessments identify what's working well for you (best practices).

8) Having the mindset of an inspector is essential for an auditor. An assessment requires a developmental coach mentality, the assessor must demonstrate the spirit of appreciative inquiry

Last but not least, while audits conclude with the submission of the report, assessments are not just about giving feedback, but are also about the learnings acquired from the assessors throughout the assessment process. As a result of feedback, what are the key points the organization remembers that helped them improve their systems? It’s about getting people engaged and having a positive impact. 

Audited vs. assessment: which is better? Thoughts?

𝐖𝐡𝐲 𝐝𝐨 𝐚𝐮𝐝𝐢𝐭𝐬 𝐭𝐞𝐚𝐜𝐡 𝐮𝐬 𝐬𝐨 𝐦𝐮𝐜𝐡?

An audit is a learning experience for both the auditors and auditees

You can learn about an organization's processes and systems by performing an audit, as well as the best practices it implements. Because auditing aims to compare actual results to a set management systems standard (MSS) such as ISO 9001 that the organization has decided to follow. Thus, the Auditor must learn everything about the standards to do the job. 

Likewise, MSS describes how an organization operates. As a result, the auditor would be able to examine many aspects of how the organization operates. As a result, you will gain a great deal of knowledge about how various functions in an organization work and achieve their objectives. Gaining exposure to many areas of work can provide enormous rewards, as one builds a career in a specific field. When you have such exposure it's very easy to grow professionally and move up to senior positions.

Imagine someone who understands the organization well, knows which areas are of priority, what are the most critical areas that the organization can't afford to fail, can build relationships with those around them; has all the ingredients to navigate the organization, and climb its ladder. 

In addition, auditors are required to work with their colleagues (auditees). Normally, they will have difficulties getting cooperation. By doing auditing, It is the perfect setting for developing soft skills such as how to build relationships, offer constructive feedback, empathize with front-line realities and constraints, and pick up those who fail badly. Auditing has great potential, but necessary soft skills are important to make the most of it. Therefore, to leverage the above advantage of an audit position, the person must possess a growth mindset and high EQ.

To conclude, Auditing provides a development opportunity for the people doing the audit.

Model for Evaluating Audit Compliance based on Ratings, A Better Way To Measure it

An organization, division, or department can use a Maturity Model to gather information about the current compliance rate. 

My recommendation for measuring maturity is to use the following model, where a scale ranging from 1 to 5 will be used in determining how closely the requirements have complied.

1 - No formal approach was taken. Most activities are ad hoc or unstructured. A professional structure has not been established.

2 – Some Approach. Some activities have been outlined. Some of the requirements of the standard have been met in part.

3 – Normal Approach. Documented policies and procedures are integrated into the requirements of the standards.

4 – Continued improvement emphasized. Performance metrics have been implemented to monitor performance. The function is well managed.

5 – Best-in-class performance. Activities are top-level and are part of the organization's governance structure.

A maturity model can help organizations measure where they are, and compare their current state with where they want and need to be

In the long run, a more mature management system will enable better decisions and result in better outcomes.