Providing Auditee with Checklist prior to Audit

B

bonterra

#1
Is it ever a good idea to provide the auditee a copy of your checklist prior to an audit? Why or Why not?

Bonterra
 
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D

David Hartman

#3
bonterra said:
Is it ever a good idea to provide the auditee a copy of your checklist prior to an audit? Why or Why not?

Bonterra
It depends on how you want your audit to be percieved. If you want to be a part of the team, and demonstrate that you are there to help ensure compliance and effectiveness - then by all means forward the checklist. The result may be that the auditee fixes some minor problems and may even develop plans to work on the major ones, at which point your business wins (isn't this what your after).

On the other hand, if you want to play "Audit Police" then keep the auditee in the dark and write-up every thing you can - it will make you look like your the only one who knows what the rules are, and will go far towards alienating you and any other auditors.
 
Q

qualitygoddess - 2010

#4
IMHO, making the checklist available is a nice courtesy.

In one previous position, we wrote up our checklists the day of the audit, so it wasn't possible to provide it at the time of the audit. However, I did announce the audits about 2 weeks in advance. In the e-mail, I let the dept and/or process owners know the basic things the audit was going to cover. This was well-received by the various managers. It gave them each a chance to look over instructions, postings and the like documentation to make sure it was OK. It also gave them a chance to give the other folks in the area a heads-up that the audit was coming.
 

Randy

Super Moderator
#5
NO!

Most folks not knowing the +'s or -'s of a checklist would tend to develop a state of appoplexy (get excited) when an audit trail takes the auditor off of it. In auditing a checklist is a memory aid for the auditor as to "what to look at" and "what to look for". The checklist does nothing more that start the process, help keep the auditor on track, and allow the auditor to identify basic things that should be looked at.

Some audits, like those for AS9100, have a prescribed checklist.

If someone wants my "checklist" for 9K, 14K, 18K or anything else my response is look at the agreed to criteria...that's my checklist.
 

Jim Wynne

Staff member
Admin
#6
Randy said:
NO!

Most folks not knowing the +'s or -'s of a checklist would tend to develop a state of appoplexy (get excited) when an audit trail takes the auditor off of it. In auditing a checklist is a memory aid for the auditor as to "what to look at" and "what to look for". The checklist does nothing more that start the process, help keep the auditor on track, and allow the auditor to identify basic things that should be looked at.

Some audits, like those for AS9100, have a prescribed checklist.

If someone wants my "checklist" for 9K, 14K, 18K or anything else my response is look at the agreed to criteria...that's my checklist.
I agree, although maybe not as emphatically. The checklist should be nothing more than a mnemonic device--a memory jogger for the auditor. If the auditees are concerned about not knowing what to expect, it means that the audit has uncovered a system failure before the audit has even begun.
 

gpainter

Quite Involved in Discussions
#7
I think it used to be common pracitce for the "no surprise audit". Now with process audits I do not believe that it is as common as it was.
 

Randy

Super Moderator
#8
What's the surprise? They define the process's and how requirements are fulfilled. Auditors just audit the shalls and the organization specifics for verifying evidence (in theory anyway)
 

gpainter

Quite Involved in Discussions
#10
When I set up the QMS at my old workplace just about every registrar that made it to our second round talked about a "no surprise audit". Meaning that you will know what to expect and what will be asked. A part of that was the official checklist being distributed and some even gave/offered help lists. Giving the checklist also IMO, helps to take the Police Action feeling out of the audit. Especially in the early audits, as people are getting used to being audited by 3rd parties. A lot of it is based on FEAR (False Evidence Apearing Real)
 
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