Audit: Dos and Don'ts
The behavior during audits for the auditor and auditee is closely inter-related. It is generally described as “Good auditing practice” and not specifically distinguished for the role of the auditor and auditee.
Dos:
- Readiness and compliance is expected to be there at all time. Be proactive. Notify the auditor of any request that cannot be met and the reason(s)
- Preparation of an audit should be communicated upfront to the team
- Auditee should behave open, honest and should clearly communicate to build trust and confidence
- Any misunderstanding or uncertainty should be clarified as soon as possible.
- Immediate action on potential deficiencies is often regarded as positive attitude
- The availability of persons, documents / records or areas to be audited should be taken care of as requested and reasonable, in order to avoid any impression for un-cooperative behavior or unwanted hiding of items / things.
- An answer should focus on the question rather than to spread out to items
Don’t’s
- Any activities suitable to hide items rather than improving and / or solving them are to be avoided, this may trigger suspicion to the auditor and move into an unwanted and unsupportive auditing atmosphere.
- Frequently seen things such as interruption of production, painting walls, replacing all kinds of disposable materials (e.g. gaskets, hosepipes etc.), changing / re-newing labels or re-writing documents / records are definitely points, which are not regarded as supportive before and / or during inspections.
- Auditors don’t like surprises particularly if they have a potentially significant impact on the audit scope, potential findings, or the audit report
