Prepare for an Audit

To prepare your organization for an external audit:

• Communicate the audit scope and schedule
• Ensure key contacts are available for interview
• Verify process owners can clearly describe
  • inputs and outputs
  • resources and methods
  • controls and measures
• Arrange for auditor access to documentation
• Plan the logistics for the audit team visit

Managers of the areas to be audited should:

• Become familiar with the documents in their area
• Walk through the area for a spot check on operations
• Verify that only valid documents are being used
• Identify records that prove requirements are met
• Be prepared to share performance results for area
• Ensure that the work areas are clean and orderly
• Confirm that past nonconformities have been fixed
• Brief employees on how to interact with auditors
• Communicate a positive, learning view of the audit
• Participate in the audit briefings and meetings

Auditors will need escorts, so their guides should:

• Know the quality system and how it operates
• Understand the audit plan and functional areas
• Be available by staying with the audit team
• Clarify, not answer, for the person interviewed
• Act as witnesses for any audit nonconformities
• Help keep the auditors on the planned schedule
• Take good notes for possible follow-up actions

Of course, employees in the areas to be audited should:

• Understand the quality policy and their role
• Prepare by participating in internal audits
• Know where their documents are located
• Be able to quickly retrieve their records
• Know how to respond to auditor questions
• Be prepared to demonstrate their activities
• Be aware of quality objectives for their area

Employees should be ready to answer audit questions such as:

• What is the overall purpose of this process?
• Please describe your job and responsibilities.
• What are the process inputs and who supplies them?
• What resources are needed for this process?
• What are the process outputs and who receives them?
• How do you know what to do?
• What training, skill, and experience are needed?
• Show me, or tell me, how you do the job.
• How do you know if it is done right?
• When it is not right, what do you do?
• What records are kept of this activity?
• How is the process controlled?
• What are the process objectives?
• How is the performance measured?
• How could this process be improved?

When being interviewed, employees should:

• Listen carefully to the auditor questions
• Provide brief, accurate, honest answers
• Answer specific questions, not volunteer
• Avoid steering auditor to other discussions
• Be cooperative, not misleading or defensive
• Avoid digressing, speculating, or embellishing
• Ask for clarification if they don’t understand
• Admit if they don’t know the answer to question
• Refer auditor to right person for an answer

After the audit, be sure to:

• Thank everyone for their participation
• Summarize audit results to organization
• Request corrective actions, as needed
• Monitor actions for timely completion
• Verify corrective actions are effective
• Inform the audit body, as appropriate
• Analyze results and identify any trends
• Initiate preventive actions, as needed