Pre-Audit Tips for Employees - Preparing Employees to be Audited

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Helmut Jilling

Auditor / Consultant
#12
Good posts so far. I would add, if you have a good auditor, he is on your side. He is not an IRS auditor, and it is not just a "compliance" audit. We are there to help you improve, and endeavor to find any good ideas that will help you improve. Work with us, not against us. We're there to benefit you.
 

harry

Super Moderator
#13
May I add the following:

He's a professional and respect him so. Do not harrass him. Leave him alone to exercise his professional judgement.

By the way, I am not an auditor but had worked with many.
 
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M

Martijn

#14
Okido, bit of advocate of the devil here:

Don't prepare the employees!

If you've implemented your system properly, there's no necessity for preparation. I've also seen in real life that well prepared auditees (all yes/no answers, prepared files that are specifically updated for the audit, etc.) result in irritated auditors. Certifying auditors should be seen and treated as a valuable source of information and improvement.

I think preparing employees is a sign of fear of the auditor which also results in more stress on the auditees. "Aaargh, here the man I've been warned for :mg: ".

Don't prepare and let it happen, only by being open to a certifying auditor you get added value out of his audits.

edit: nope, i'm not a certifying auditor either, i really mean this ;-)
 
A

Aaron Lupo

#15
I would say get on your knees and kiss some A$$.:lmao:

Just kidding, just answer the questions tothe best of your ability and work with them not against them.
 

Cari Spears

Super Moderator
Staff member
Super Moderator
#16
Martijn said:
If you've implemented your system properly, there's no necessity for preparation. ... I think preparing employees is a sign of fear of the auditor which also results in more stress on the auditees. "Aaargh, here the man I've been warned for :mg: ". ... Don't prepare and let it happen, only by being open to a certifying auditor you get added value out of his audits.
You talk as if preparing means scaring them.:confused:

I prepare everyone in order to ease their minds - by letting them know that it's just another day at work but this guy might come and ask you some questions about your job. If you don't know the answer - say you don't know the answer. There's nothing to be nervous about.

Preparing employees is a sign of fear?:confused: I disagree.
 
M

morgand - 2006

#17
Cari Spears said:
I prepare everyone in order to ease their minds - by letting them know that it's just another day at work but this guy might come and ask you some questions about your job. If you don't know the answer - say you don't know the answer. There's nothing to be nervous about.

Preparing employees is a sign of fear?:confused: I disagree.

Like Cari, I agree with preparing as is easing the situation and trying to make folks comfortible. They need to know what to expect, the schedule, and that their best is just that, their best. No fingerpointing if someone chokes!

I have seen others take preparing to a whole new level that is similar to lawyers coaching cilents at a trial. Cheat sheets and list. List of folks to stear the auditor way from, practice audits with lists of "approved" auditees. I walked into this situation as a consultant 2 years ago:frust: . Those are the things to avoid. If you spend that much time preping folks, the system probably isn't working for various reasons.
 
M

Martijn

#18
Cari Spears said:
Preparing employees is a sign of fear?:confused: I disagree.
Ok, ok, i got a little carried away perhaps (the weekend is nigh! :eek: ). But even so, when u say that peoples minds need to be eased, it apparently means they are not at ease when an auditor arrives normally.

I guess we fully agree on preparations then, just tell them to do whatever they normally do. The point i was trying to make was not to do what morgand said as well, don't give them an auditee training.
 

Cari Spears

Super Moderator
Staff member
Super Moderator
#19
Martijn said:
...when u say that peoples minds need to be eased, it apparently means they are not at ease when an auditor arrives normally.
The weekend can't come fast enough for me this week!:agree:

Anyway - lots of people get nervous over things they needn't be. Like the student who knows the subject matter like the back of their hand - yet freezes up on tests or chokes during an oral presentation. Machinists, forklift drivers, benchhands, etc. - they worry about saying the wrong thing, they worry they will sound stupid, they don't want to be the reason we get a gig, they worry because they don't know anything about ISO. I make sure that they know that they don't have to know anything about ISO - they only have to tell the guy about their job.

As far as this:

morgand said:
Cheat sheets and list. List of folks to stear the auditor way from, practice audits with lists of "approved" auditees.
I agree with you both on this for sure. This kind of stuff isn't necessary if you are actually doing what you say you are. People do this stuff when they have things to hide.
 
M

mshell

#20
Amen!!! I coudn't agree more Cari. I worked for a company that prepared their employees because they failed to accurately define their system and follow it. It was a mad house right before the audit.

I now work for a company where I let the employees know that the auditor is coming and that is it. An auditor could walk into our facility at any time and perform an audit and no one would be nervous because they know that we "say what we do and do what we say".
 
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