How to Prepare for a Quality Audit

Does anyone like audit at all? It may be a nerve wrecking situation when it came to audit.  Did anyone notice that many employees tend to take day off on audit day?  They were afraid that they will be accountable to any mistake made on audit day.  Is this true? I am surprise how this will effect other employees but with much preparation, I am sure we can address many fear or uncertainty on the audit day.  Most auditors do not look for problems rather they rather find improvement to enhance the Quality System.

Before you become a good auditee, you have to learn to know how to become a good auditor.  When I started to be involved in auditing,  I realize that documentation is a must have.  We also need to study about the process or the organization, the best way to do this is by establishing a creating a checklist.  Here's a step by step process on how to develop one with ease.

Documentation : Checklist

Six steps for developing process checklists

Step 1: Consider the overall business goals.

Step 2: Review the core process(es) and required outcomes

Step 3: Review of any documentation relevant to outcomes.

Step 4: Establish process issues critical to outcomes

Step 5: Prioritize the points.

Step 6: Prepare the checklist

The Audit Visit:

The Auditors will normally visit the Auditees on their 'home territory'.  So obviously as anditee, you have a upper hands on the situation.  

During the audit, the Auditors should be:

• Clear on the aims of the audit
• Clear on the Scope/boundaries of the audit
• Polite at all times
• Courteous
• Confident
• Well prepared
• Thorough

There are 3 stage of audit:

The Audit Visit: Stage I Audit

Auditor will look at the process as presented by the Auditees and whether or not:

• the Auditees follow the process as presented
•  the Auditees understand the process as presented
• the Auditees recognize the process as presented
• the Auditees find that it works
• Where there is no documentation the Auditors should ask for an oral account of the procedure(s) that are followed for the particular process being audited. In such cases the audit report will include a strong recommendation that the procedures are documented.
• If there are 'Service Standards' connected to the process or function they should be uncovered, but not imposed if there are none to begin with.

The Audit Visit: Stage II or Follow-Up Audit

• It is expected that, by this stage, the process has been documented, so the audit will look to see if the process is being followed as stated by the staff that use it.
• The audit will also look for continual re-evaluation of the working practice and procedures and any improvement necessary. In addition the Audit will ensure that all staff involved with the process have understood and incorporated any changes made.
• The ability of the staff to reflect on their work should be aided by the independent and unprejudiced nature of Internal Quality Audit.
• Auditors when making their visit should take into consideration the Company’s Plan where that plan contains targets pertinent to the process being audited.

Conducting audit:
When auditing, we have to consider some techniques/communication to ensure we achieve the audit objective and get as much information and objective evidence as possible.

The audit techniques are:

• 7% Verbal
• What was said

• 38% Vocal
• How it was said; pitch, rhythm, enthusiasm

• 55% Non-verbal
• Body language, gestures, culture, personalities, space and setting, word meanings, emphasis and punctuation

There are also non-verbal action which help to draw out information from auditees.  This will help auditees to feel comfortable and more confident answering your questions.

Non-Verbal Actions

• Positive Non-Verbal Actions
•  Leaning Forward
• Eye contact
• Facing the person
• Relaxed posture

• Negative Non-Verbal Actions
• Leaning away
•  Avoiding eye contact
• Standing above or behind auditee’s (confrontation)
• Standing/sitting too close
• Sitting on auditee’s work bench
• Carrying clipboards
• Loud emotive tones
• Threatening gesture
• Pointing directly at auditee’s

What else???  

Most auditors need to acquire these skills as well:

• Effective listening
•  Hearing is not listening
• Aids to effective listening
• Use attentive body language
• Learn to use your thinking time wisely
• Become an observer (control your mouth)
• Listen with open mind
• Listen all the why through (don’t make assumption)
• Effective Observation
• Observation must be substantiated with objective evidence.

Once you understand how an audit works, you should be able to sit back and enjoy your day..