What happens to you when you hear the word ‘audit’? Does your heart beat faster? Do you break out in a sweat?
Never fear – the auditor is here!
So, how can you prepare for an audit? In theory, you should not have to prepare for an audit. The system should be implemented and maintained in a way that is ‘just a part of doing business’ and anyone could review the system at any stage to see how it is working under normal operating circumstances. An audit is an opportunity for a new set of eyes to review your system and provide some objective feedback on the improvement of your system. However, if you would like some hot tips on how to ensure you and your system are ready, here are some pointers.
Conduct internal audits
Ensure your own internal audits are up to date. You know your business and system better than the auditor, so your own audits should be identifying any nonconformances or areas for improvement before the external auditor does.
Audit Plan
Ensure that you have communicated all requirements to the auditor prior to the audit commencement date. What do they need to be aware of with regards to PPE (personal protective equipment), travel, accommodation, other location visits, parking etc.? An open line of communication at commencement is always a great start!
Review the audit timetable
The audit timetable provided by the auditor will provide a rough plan for the conduct and timeframes of the audit. Ensure the areas planned and the people required are available at the times stated. If not, there should be no problem advising the auditor of any changes prior to the commencement of the audit or at the opening meeting, as long as it is still within the timeframe of the audit.
Opening and closing meeting attendees
Communicate to any management and staff that may be attending the opening and/or closing meetings. Ensure they are available and aware of the time of the meeting.
Preparing staff
There may be several different staff members being interviewed during the course of the audit. Share the audit timetable with them so they are aware of their areas scheduled interview time. Communicate with them what the process will be for the audit and that it is just a matter of discussing and demonstrating what they do in their day-to-day roles. Open and transparent communication by all parties is always beneficial to the audit and its results.
Dealing with any nonconformances raised
The auditor should raise any concerns during the course of the audit (and not leave them till the closing meeting). Listen to these findings with an open mind, however ensure you understand ‘why’ the auditor is stating a nonconformance has been identified. What has not been achieved against which part of the audit criteria?
At the conclusion of the audit, we are positive that there is always a big sigh of relief as the auditor leaves the building! Now is the opportunity to review the findings and share with staff and management the successes and opportunities for improvement. Share a positive attitude of the audit process and demonstrate commitment to the system and its continual improvement.
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