Audit Preparation Tips: How to be ready for a successful internal or ISO Management System audit

Hate audits? Many do, however the benefits speak for themselves.

Audits may be undertaken in house, by third parties on your behalf or by ISO and other certification bodies or clients on your Management System.

Here are some key ISO Management System audit preparation tips to those who manage and attend audits and how to improve your chances of being successful:

Preparation and collaboration

Tip 1#Before the audit:

• Preparation, preparation, preparation. Be prepared – in advance not a day or two beforehand.

• Communicate – with the company; managers; team undertaking activities.

• Understand and share with your colleagues the scope of the audit.

• Ensure engagement and commitment – invite your colleagues formally, ensure an understanding of the audit and that they are aware of how important it is.

• This is important for external audits including ISO audits; third party such as clients and for internal in house audits.

• Remember, your colleagues should know, understand and follow your management system. If they do not, you and the organisation already have work to do. It is not your Management System, it is the organisation's - you may only be managing it.

• Undertake some pre-audit checks – are you and your colleagues ready? 

• Are you legally compliant – can you evidence this?

• Check you can provide suitable evidence – some auditors advise the area / clauses they will focus on, other auditors may provide a questionnaire or checklist to work to beforehand. 

• If working remotely – check personnel and evidence are accessible. Is the Wi-Fi working?

• Make sure that any non-compliances from previous audits have been successfully and satisfactorily closed out.

• Any site or company specific rules should be shared in advance with the auditor. This may include required PPE; access and parking arrangements or any specific requirements that they may have and need to advise you of.

  
  

Tip 2#During:

• Provide an induction to the auditor if they are from another department or an external resource! Make that good first impression and take charge, ensure the auditor knows what is required.

• Be open and honest.

• Provide access to required personnel and evidence.

• Try not to get flustered, have a 'runner' or someone else in the know to help out if necessary.

Prepare your communications and Action Plans

Tip 3#Afterwards:

• Communicate the outcome of the audit across the organisation.

• Create an action plan for any non-compliances or areas of improvement,  and follow it up.

• Include in your action plan, anything which you noted and might have made you uncomfortable, but the auditor may not have noted or picked up on. They might just next time. More importantly, you have a chance to prevent a non-compliances or any more occurring by taking action now and making improvements.

• Share and communicate the positives which have been identified. It is important to stress that there would be positives and it is way to acknowledge the great work and initiatives which are being taken.

• Review the actions taken, have they been successful in closing out the non-compliances and do they provide an improvement to your system?

Ready for your next Management System audit?

If you require further advise, a gap analysis of your ISO Management System; an independent audit; or a pre-ISO audit please contact EHSQ Consultancy for more details using the contact page; email at ehsqconsultancy@gmail.com or call +44 7713430674.

Hopefully these tips are useful to you.