# Presentation: 101148

## So You’re Going To Be AUDITED...

- For All Potential Auditees

- 01/30/2003

## Knowledge of governing requirements

- Understand the scope of the audit
- Review and be familiar with procedures and work instructions in your area

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## Auditor Arrival Plan

- Know the audit plan and when you may be involved
- Realize auditors may ask questions about your job and the procedures and instructions you use

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## Knowledge of location(s) of documents and records

- Ensure you know the locations of your documents, including quality records, pertinent to the audit scope to assure timely retrieval during the audit

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## Listen, Listen, Listen

- Listen to the question completely before answering.
- Answer ONLY the question that is being asked
- Do not offer additional information that you THINK the auditor will find interesting
- Do not dodge questions, answer directly

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## Be Open and Honest

- Do not try to hide information
- Guide the auditor only to the location that they wish to see
- If there is a choice of locations to visit, choose one that is operational and is the best you have to offer

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## Act Professional

- Never ARGUE with the auditor
- Do not get emotional over observations of non-conformances in your area

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## Get Help if you need it!!!

- Get the most knowledgeable person available relative to his/her area of expertise
- Don’t guess at responses, try to find the person with the answer
- Ask supervisors or team leaders for assistance

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## Typical Audit Questions

- Would you please explain to me what it is you do?
- How do you know what it is you are supposed to do?
- Are there work instructions defining the manner in which you do your job?

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## Typical Audit Questions (cont.)

- What records do you keep, where, how long do you keep them?
- Do you know if there is a Quality Policy?
- Can you tell me what that policy means to you in your job?
- What are the processes you use to do your job?  How do you measure that the processes are effective?

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## Typical Audit Questions (cont.)

- How do you initiate and track process improvement efforts and what are some recent examples?
- Who are your external customers and how do you measure their satisfaction?

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## Responding to Questions

- It is OK to think for a moment before answering
- Never pretend to know the answer, don’t try to bluff the auditor
- Unsolicited information may needlessly complicate the audit process

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## Acknowledge Nonconformance(s)

- If the auditor finds a nonconformance in your area and you don’t agree with him/her, don’t argue.  If you have good reason to believe that they have not examined all of the facts, let the auditor’s escort take further action(s)
- When describing your job...be POSITIVE about it because it is your system and you know that it WORKS!!!

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## Definitions

- Nonconformance - failure to fulfill specified requirements to the ISO 9001 standards or to the GSFC procedures and work instructions
- Observation - A documented statement indicating an auditor’s concern but for which there isn’t objective evidence to show it is a nonconformance

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## Auditor vs. Consultant

- An auditor is **NOT** a consultant
- If an auditor finds a nonconformance in your area, it isn’t their job to tell you how to fix it
- You can ask for clarification of the nonconformance, but don’t ask for a solution, particularly of a registration auditor...

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## Resolving Nonconformances

- Minor nonconformances should be corrected before the closing meeting of the audit if at all possible.
- Such action demonstrates a strong intention to comply with requirements

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## It’s Time...

- You have worked on and with your processes.  The audit is time for you to show how much you have done and how well you have done it.
- Enjoy the opportunity to demonstrate your professionalism.
- Everything that could have been done has been done, and you’re READY!

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