audit process

Introduction

Taking sufficient time to prepare for a conservation audit will help to ensure that the process is clear and involves the right people. Assuring that the project team and partners, the home organization, and the "audit team" are adequately versed in the Conservation Standards (or organizational equivalent), and in the tools and approaches to be used during the audit, as well as in the type of results to expect from an audit will go a long way toward creating the right expectations, participation, and ownership of the findings and recommendations.

Steps and Tasks to Prepare for a Conservation Audit

Selection

• • Review the Whether to Audit page to decide if an audit is the right tool to respond to needs/objectives and how the project would benefit.

  • Set a few key objectives for the conservation audit (see Whether to Audit section).

  • Decide on the approach to the audit, who will lead and conduct the exercise (see alternatives in Type of Audit worksheet), and when the audit will be conducted.

Scoping

• • Develop the scope of the project audit either with or led by the project team.

  • Create a brief Terms of Reference (ToR) for the audit that include: what is being audited, who will be participating in the audit, who the audience for the audit is, the timeline for the audit, and the budget required.

  • Develop a list of resources needed (people, materials, funding) and send out information and requests.

Auditors

• • Depending on who is undertaking the audit, begin contracting or other procedures to confirm responsibilities (e.g., an internal facilitator, project team, peers, external consultants, etc.).

  • Familiarize the project team and partners with the Conservation Standards (or appropriate framework) and any other tools to be used during the audit, and share the ToR.

Resources, Logistics, and Methodology

• • Create a calendar and make any logistical arrangements, making sure that personnel and other key informants or stakeholders are lined up to participate.

  • Gather relevant documentation and data. This may include project strategy documents, monitoring and evaluation platforms and data, operational plans, action and work plans, and learning products.

  • Share gathered documents and data with those who will be conducting and/or participating in the audit, including the project team. If using external assistance (e.g., a contractor or a peer audit team), share the qualifications of the external parties with the project team.

  • Hold an audit team briefing to confirm approach, work plan, logistics, and timeline for the audit.