The document provides tips for companies undergoing an audit to improve audit outcomes. It advises being honest with auditors, preparing in advance by addressing previous issues, and forming an "audit SWAT team" to guide and assist auditors. The SWAT team should include a QA manager to escort auditors and two members - one to scout ahead and one to take notes. Companies should participate fully in opening and closing meetings and address any issues found before auditors leave.

1. PART II: Being The Auditee On the Flip Side!

2. Now you’re in the hot seat! What are some things you can do to improve the outcome of a 2 nd or 3 rd party audit???

3. Answering the Auditor’s Questions Be honest! Don’t ever lie. It’s okay to say “I don’t know”. Let the person(s) doing the job answer the questions. Give only the information being requested. It is okay to ask the auditor what the standard says.

4. Answering the Auditor’s Questions Giving away too much information can lead to more questions from the auditor. With the proper tone, ask the auditor what the standard says. If you’re body language comes across as challenging the auditor, you’re likely to set the wrong tone for the audit. However, if you ask for understanding, the auditor is most likely to help you understand. When performing internal audits, try and ask different employees interview questions each time to give everyone the opportunity to practice being the auditee. Have conversations with employees while performing internal audits coaching them on appropriate responses.

5. DO NOT Wait Until the Last Minute Get your “poop in a group”! If there are outstanding observations or nonconformances, see what you can do to close them. Be able to show some progress on those items which haven’t really been addressed.

6. DO NOT Wait Until the Last Minute Get your contractors to do some of the preparation for you. Have them clean their areas and equipment. Reduce the number of visitors and contractors in the building the day of the audit. Be smart as to when you schedule audits according to your “busy season”. Hire temps for organizing or for making document revisions.

7. DO NOT Wait Until the Last Minute If possible, ask contractors and/ or construction workers to not be in the building the day of the audit. Pre-pick your sample documentation or records from the recent past. Make sure everything is “in-spec”. Make sure ALL employees know when the audit is scheduled. Tell everyone to spread the word. DO NOT post notices of the impending audit in areas where customers and others can see. Everyone will ask for a copy and you want to be able to control this information.

8. The Morning OF….. Give out each department a checklist of previous observations or obvious nonconformances ahead of the audit. Come in early with your SWAT team and walk around and around looking for things that need to be corrected. Have a designated manager or supervisor to be in early for each area or department. DESTROY any checklists or “To Do” lists before the audit. If an auditor sees the list, you just exposed your weaknesses.

9. The Morning OF….. Have your chemical and pest control contractors in EARLY to verify labeling, locks, cleanliness, etc. Rodent traps are the easiest thing for auditors to “get you” on. Check’em! Have the assigned manager or supervisor participate in the opening meeting. Allow them to ask questions. Make sure ALL understand the scope of the audit .

10. The Audit SWAT Team A minimum of three people: QA manager, and two audit team members. Roles and Responsibilities: QA Manager Team Member #1 Team Member #2

11. The Audit SWAT Team NOTE: If you have a new internal auditor who needs training, or a new member of management who’s available, this is an EXCELLENT opportunity for getting a great education. DO NOT point things out to the auditor that they may or may not have seen!!! Sometimes, they see things, but try to give you a break and not record them. When you point them out, it’s an automatic comment in their report.

12. The Audit SWAT Team QA Manager- primary escort, guides and directs the auditor, keeps auditor’s focus. Team Member #1- acts as a scout, goes before the audit party to hide or correct observations. Lets the next area know the audit party is coming. Team Member # 2 - Note-taker, record observations noted by the auditor but not written by the auditor. Make notes on documentation to follow up on or records to pull for later questioning. Can also stand in the line of sight for a potential observation or redirect the auditor’s attention.

13. Closing Meeting: Have ALL members of management participate in the closing meeting. Again, allow questions. Make sure managers understand the nonconformance AND location. If you can, correct any nonconformances before the auditor leaves the closing meeting. It might be an opportunity to improve your score. Management is now responsible for responding to the customer on the facility’s performance.

14. Closing Meeting: The QA Manager is responsible for informing the remainder of the company of the audit results. Share both the positive and the negative outcomes of the audit with plant employees. Communicate relevant information to Sales and Marketing teams. DO NOT give a copy of your audit report to a customer who does NOT ask for it. Just submit a copy of the audit certificate or score summary page. Why show you’re dirty laundry if you don’t have to.

15. Presented By: Sharon Roberts Consulting Copyright 2011