How to Ensure a Smooth Audit – Perth Professional Auditor Coach Explains
Part 1 – Setting up for Success
A successful internal audit for a business relies on many components and while every business has different processes and strategies, there are a number of things an auditor would want to have in place that will guarantee a better outcome.
As a consultant, auditor, trainer, and ISO 9001 expert, I am often approached by businesses who are looking for ways to improve their audits and by auditors who are looking for ways to better streamline and improve their work.
To better understand the steps required to guarantee a smoother audit, we have put together a five-part series that will not only help in preparing for audits but ensure they are successfully complete.
In part one we are looking at what steps an auditor should follow prior to beginning the audit.
The Starting Point
Firstly, there are a number of things the auditor needs to understand:
A great starting point would be understanding the audit goal, meaning what does the organisation want to get out of the audit?
Once there’s a better understanding of the desired audit goals you would want to answer a few other questions such as what area in the business are you looking to audit and who are the contacts you would need to meet with.
Some organisations have what is known as an audit schedule but that schedule typically refers to the processes of the audit and the frequency of the audits.
While that is good information to have its important the business also collects relevant information and has it prepared prior to the commencement of the audit.
One of the most crucial parts of an audit is an organisation’s compliance. This means that prior to beginning the audit it is important an auditor understands what codes, standards, legislations and regulations the organisation needs to comply with. As an auditor, you want to make sure every detail is understood.
Meeting the owners
Once there’s an understanding of the standards and regulations, it is recommended the auditor speaks to the process owners or the management of the areas that will be audited.
This is a great way to introduce yourself, showcase you are involved in the audit, and invested in the relationship and outcome.
Walking around and getting a better understanding of the organisation and the people you will be working with, will help throughout various steps of the process and will no doubt assist in a smoother audit. Again, it shows the company that the auditors care and are there to help.
Once you have met the team and have a better understanding of the organisation, you will begin reading the material that was provided to you and you will better understand everything due to taking the time beforehand to meet the people and get a wider understanding of the task ahead.
Preparing for an audit is a crucial step that should not be overlooked and will certainly result in a smoother result.
If you have any questions regarding audits or looking for more information on how to run a smoother audit, feel free to contact Christine at Potential Unlocked. We would be honoured to help.