Audit Preparation and Planning | How to
Audit preparation and planning is a key point for success and allows the organization to grow.
In this video I am going to cover these points:
Why we are doing an audit ?
How we can perform a proper audit ?
Important rules to prepare an audit plan ?
Audit 10 golden rules
✏️ Text and Concept by Andrea Manti, CBDO at Lean Community.
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📹 Video Creation by Mark Anderson
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✏️ Here is the transcript of the video:
▶ How to prepare a proper audit.
The word Audit comes from the Latin language ‘Audire’, which can be translated as ’to hear’.
▶ Why we are doing an audit?
The goal of an audit is to evaluate a condition, an object, or a situation in an intended way.
Audits are usually conducted by expert people called Auditors,
Auditors are required to have professional and personal skills to be qualified to lead an audit!
But how to plan and conduct a proper audit?
First, we need to define what kind of audit we are going to perform Audit can be divided into many categories depending on the business and industry we are working in.
In general, there are 3 families we could refer to in the manufacturing industry:
1) Product – that means checking if the parts’ characteristics are complying with technical specification
2) Process – that is evaluating if people, machines, and documents are following all defined rules to reach the customer satisfaction
3) System - the most complicated of all audits, it consists in evaluating all organizations and all company processes.
▶ So how we can perform a proper audit?
First of all, we need to be sure we have the professional competencies to perform an audit.
Imagine a referee trying to run a match without knowing the game’s rules.
Also very important is to be prepared in terms of soft skills as well.
An auditor should have skills to listen, communicate in a proper way, to weigh and evaluate all situations he/she could meet during the audit.
Sometimes you will meet some difficult situations, and the way we are putting yourself in front of people will help or hinder your job.
▶ Another important rule is to Prepare an audit plan.
This is a key point – we need to define schedules, and frequency and, most importantly, give you the time to prepare yourself to perform the audit.
As every audit have to follow some rules, auditors must always prepare in advance for it.
▶ Be prepared to collect evidence!
The Audit Programme will help you to define for what you have to search, and what kind of evidence you will need to ask/collect in order to prove that requirements are met.
▶ Always Listen before talking!
The role of an auditor is to evaluate – and thus listen, not to impose his/her point of view!
One of the most common mistakes of an auditor is to start an audit with his/her own idea and search for this condition instead of evaluating what he/she is really observing.
This could lead to some frustration for the people that is under evaluation and can of course create even major problems to the success of the audit itself
▶ Audit - 10 golden rules
1. Be sure you are professionally qualified (hard skills)
2. Be sure you are personally qualified (soft skills)
3. Never perform an audit by surprise
4. Do not improvise
5. Prepare an audit plan in advance
6. Prepare an audit program
7. Explain the scope of the audit to the people
8. Collect evidence
9. Be ready to listen to all
10. Evaluate vs requirements, not vs your experience
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