Podcast: What to Expect during an External Audit

• Effective audit preparation includes maintaining complete, accessible records and creating a comfortable, well-organized environment for auditors to perform their work.
• Key strategies during the audit involve keeping auditors focused on the scope, promptly addressing findings, and maintaining professional, respectful interactions.
• Post-audit, addressing findings with corrective action plans within deadlines ensures smoother follow-ups and builds a stronger quality system.

The podcast delves into the importance of proper preparation and engagement during audits, starting with clearly understanding the auditor’s process. Initial steps include preparing comprehensive records that align with the scope of the audit and ensure they are easily retrievable. Companies are advised to conduct an opening meeting to review the schedule, clarify expectations, and establish protocols for information requests. Early efforts to create a welcoming and professional environment, such as providing amenities and establishing clear communication channels, can positively influence the audit’s tone.

During the audit, it is critical to keep the auditor focused on the relevant scope. Questions about clauses in the standard and how findings relate to them can help redirect discussions if they stray off-topic. Avoid presenting the same record multiple times and ensure related documents are accurate and complete to prevent unnecessary scrutiny. When interacting with auditors, staying calm, professional, and concise is essential, avoiding defensive or excessive explanations.

Post-audit, organizations must address any findings promptly. Minor findings typically require a corrective action plan within 30 days, outlining resolutions and effectiveness evaluations. A follow-up audit may occur within 30-90 days for major findings. The discussion underscores that audits are not adversarial but collaborative processes aimed at improving quality systems, and a respectful, well-prepared approach fosters positive outcomes.

Listen to the full podcast