Tips on Technical Things the Auditors might ask during an Audit

[BALBIR]

Hi All
I Have an External ISO audit for my Mall on 29th March, all files and documentation are ready in advance but could you suggest any techical things the auditors might ask

Regards
Balbir

 

[Ajit Basrur]

Re: Can you give some tips Before the ISO audit ?

Hi Balbir,

Welcome to the Cove

I have moved your thread to this section which deals with all auditing threads. We have lot of posts on the related subject and you could acess these by using the SEARCH function.

Wish you the very best in the audit and am sure you will pass

 

[Stijloor]

Re: Can you give some tips Before the ISO audit ?

Hi All
I Have an External ISO audit for my Mall on 29th March, all files and documentation are ready in advance but could you suggest any technical things the auditors might ask

Regards
Balbir

Balbir,

Just for clarification: will this be a certification audit or a surveillance audit?

I did an advanced search on The Cove Forums: "Questions an auditor will ask."

Look around and learn....

Stijloor.

 

[BradM]

Re: Can you give some tips Before the ISO audit ?

Welcome to the Cove!!

Now.. the following response is funny/sarcastic:

1. Send all the key people who can answer questions off for vacation.
2. Hide all important documentation.
3. Have a guide who really doesn't know their way around.
4. Try to argue against the auditor when you can
5. Encourage management to threaten everyone if the audit does not go perfect!
6. And for goodness sakes, don't buy them lunch!

Ok, enough of the joking...

A. Mainly, relax and keep a proper perspective. If you have a good auditor, they will be there to improve your system and make things better.
B. If you are the MR, I would touch base with management about things. Keep them informed of what is going on. Remind them of the purpose being process improvement, and not scoring a 100.
C. Technically, if you have had any audits before (customer audits, internal audits, comments from earlier evaluations, etc.) make sure you have addressed any know deficiencies.


You might want to surf this thread. I really enjoyed it and learned a lot:

Tips and ideas for working with auditors

 

[Randy]

Re: Can you give some tips Before the ISO audit ?

Hi All
I Have an External ISO audit for my Mall on 29th March, all files and documentation are ready in advance but could you suggest any techical things the auditors might ask

Regards
Balbir

Hello Balbir and welcome to the Cove

I'm a 3rd party CB auditor and this is where you are wrong............You shouldn't have to do anything to prepare for an audit if you have properly implemented your system. A properly implemented and maintained system should be able to stand up to an audit at any time, if not then you're just faking it. What you must do is take the phrase "The organization shall establish, implement and maintain...." to heart.

 

[Jim Wynne]

Re: Can you give some tips Before the ISO audit ?

Hello Balbir and welcome to the Cove

I'm a 3rd party CB auditor and this is where you are wrong............You shouldn't have to do anything to prepare for an audit if you have properly implemented your system. A properly implemented and maintained system should be able to stand up to an audit at any time, if not then you're just faking it. What you must do is take the phrase "The organization shall establish, implement and maintain...." to heart.

This is good advice insofar as the system itself is concerned, but there are some things to do in preparation for a first audit. You need to let everyone know what's going on and what to expect, and that the auditor's questions should be answered honestly and directly. People need to know that if they don't know the answer to a question, they should say so rather than trying to make up an answer. It's good if they know who does know the answer, of course, but that's a system thing.

People also have to know how to manage the auditor, and how to make best use of the opening and closing meetings. They need to make sure that they clearly understand the auditor's findings before he leaves the buildings, and that findings are delivered in proper form--the relevant language of the standard or "the organization's" documentation is cited, the NC is clearly stated, and the relationship between the requirements and the NC is clearly understood.

 

[Randy]

Re: Can you give some tips Before the ISO audit ?

This is good advice insofar as the system itself is concerned, but there are some things to do in preparation for a first audit. You need to let everyone know what's going on and what to expect, and that the auditor's questions should be answered honestly and directly. People need to know that if they don't know the answer to a question, they should say so rather than trying to make up an answer. It's good if they know who does know the answer, of course, but that's a system thing.

People also have to know how to manage the auditor, and how to make best use of the opening and closing meetings. They need to make sure that they clearly understand the auditor's findings before he leaves the buildings, and that findings are delivered in proper form--the relevant language of the standard or "the organization's" documentation is cited, the NC is clearly stated, and the relationship between the requirements and the NC is clearly understood.

Wow! You should teach this stuff..........

Much of what you cited is actually the Lead Auditors responsibility. But then again I might be guessing............

I've only done this once or twice and honestly for the auditee its just do what's required and be honest.

Oh yeah......Don't try to manage the auditor

 

[Jim Wynne]

Re: Can you give some tips Before the ISO audit ?

Oh yeah......Don't try to manage the auditor

I should have said, "if necessary." The problem is that some auditors (a minority, to be sure) are incompetent, or incessant babblers or hopelessly disorganized. You need to know how to keep these people focused and on track, and not let them go on wild goose chases all over the building or tell ten-minute anecdotes at every stop along the way. Good auditors don't need to be managed--they know what to look for, how to find it and how to communicate concerns and NCs. They understand the value of the auditee's time and that the audit isn't a social visit, but that being personable is important. I have an abiding respect for good auditors, and deep disdain for bad ones, and it's the bad ones that need to be managed.

 

[Stijloor]

Re: Can you give some tips Before the ISO audit ?

I should have said, "if necessary." The problem is that some auditors (a minority, to be sure) are incompetent, or incessant babblers or hopelessly disorganized. You need to know how to keep these people focused and on track, and not let them go on wild goose chases all over the building or tell ten-minute anecdotes at every stop along the way. Good auditors don't need to be managed--they know what to look for, how to find it and how to communicate concerns and NCs. They understand the value of the auditee's time and that the audit isn't a social visit, but that being personable is important. I have an abiding respect for good auditors, and deep disdain for bad ones, and it's the bad ones that need to be managed.

Bad ones should be managed by immediately stopping the audit, informing their boss, and be escorted off the premises. No need to waste time with bad auditors.

Stijloor.

 

[Jim Wynne]

Re: Can you give some tips Before the ISO audit ?

Bad ones should be managed by immediately stopping the audit, informing their boss, and be escorted off the premises. No need to waste time with bad auditors.

Stijloor.

That should be a last resort, just as firing an employee should be. I've found that we can help bad auditors to become good (or better) ones by making sure they understand how an audit should proceed. By doing this, we can sometimes save a person's job, and save other companies from being set upon by the same problems.