External Audit Preparation
A Quick Checklist
How to prepare for an external audit;
• Confirm the date
• Confirm the auditor(s)
• Confirm the audit is type
• Confirm the duration in total days, auditor days, the number of auditors
• Ask for an audit plan. No sorry, let me rephrase this. Demand an audit plan
• Book a room for the auditors to work from and conference in
• Catering
• Travel requirements
• Safety induction planning
• Is a remote / project site visit required and if so, choose convenient and representative
• Determine computer network access requirements and then provide it
• Have appropriate PPE ready
• Have a pre audit meeting to plan requirements with the appropriate people
• Make appointments with the relevant personnel and have alternate people available,
• Meet with these people and give an overview of process, records, expectations
• Conduct relevant awareness training, inductions or similar and recorded
• Prepare a tour of your facility / site with appropriate personnel
• Ensure your most senior titled person is available to participate in at least the entry meeting
Some nice touches include recognition on the ‘welcome board’ at reception, product samples, conduct pre audit discussions / meetings for planning, interpretation, etc.
Above all relax, enjoy. This should be the culmination of a desired project, a desired corporate goal and that all is in place to get the desired certification, first time.
The Road Map
One of the best tools you can invest in for your up and coming quality management system certification audit is to generate an auditor friendly 'road map'. More accurately a cross reference table that lists the elements of the ISO 9001 standard and then lists next to each element where in your quality management system is the corresponding procedure, policy, data, record. You can be as brief or as detailed as you wish so long as it is pure quality speak, very auditor friendly, standard friendly and accurate.
You can then just hand it over to your auditor or walk them through the map and / or give them access to your system (hard copy or electronic) to let them explore. As a proactive move, why not send it to them a few weeks before the audit giving them a chance to prepare. At the end of the day, the more helpful you can be in this process, the less they will need to investigate in order to satisfy their compliance requirements for reporting. Plus, the more accurate and readily retrievable this process is, the more relaxed your auditor will be.