Identify ownership and audit structure

Assigning ownership and responsibility for your file audits to the appropriate individuals or teams promotes clear accountability, effective collaboration, and establishes a reporting structure with regular stakeholder communication. Deciding who should undertake your file audits is important to ensure the right people review areas within their expertise.
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Establishing comprehensive guidelines and procedures that outline the steps to conduct file audits helps to set clear expectations and ensure consistency. This should be documented in your file audit procedure, including details such as audit planning, file selection, documentation, analysis, reporting and follow-up actions.
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Having a clear and defined audit procedure drives auditing efficiency and helps you set up your audits in Legal Compliance - you can ensure the right people have access and timeframes are set up to align task flows to your internal policy. By looking at your infrastructure and the work you perform, it will allow you to build a file audit process that is appropriate to your needs and resources, and ensure you can get the most from your audits in Legal Compliance.