• Be positive, courteous and cooperative with the auditor.
• Let the staff know well in advance, especially those most affected.
• Use the audit as a learning and growing opportunity.
• If you’re uncertain about something, say so. Don’t guess.
• Make sure your internal audits are being done regularly.
• Encourage staff to be proactive and raise issues they encounter.
• Stay focused and on topic with the auditor; don’t ramble or stray onto tangents.

1. Be positive and courteous

Remember to maintain a positive attitude from your initial email correspondence to the end of the audit.

Your team and the auditor will appreciate the courtesy, which will influence how everyone approaches the task at hand.

Offending the auditor will only make them hesitant to work with you and your team on any findings.

2. Alert the staff well in advance

Alert your staff of the audit as far in advance as possible, especially subject matter experts who will work closely with the auditor.

If possible, ask the auditor for an agenda and forward it to the appropriate people.

Also, ensure key staff know they may be asked to join you during the audit.

3. Aim to learn from the audit

Be aware of the scope of the audit and listen to questions carefully. Try to become a subject matter expert on the audit criteria.

If you have concerns or doubts about a potential nonconformity, ask the auditor to show you the relevant requirement in the audit criteria.

Above all else, an audit is a learning experience. Be a sponge. Learn from the questions and the overall experience for the next time.

4. If you don’t know, say so

Don’t be afraid to ask the auditor for clarification before responding. Pretending to understand will only stymie the process later.

If you still don’t understand what is being asked, it’s ok to say, “I don’t know.” That’s better than guessing and inadvertently providing incorrect information.

Let the auditor know you’ll look for an answer and find out if the auditor wants to retrieve it now or in the future.

5. Have a robust internal audit procedure

An internal audit is the best way to discover your non-conformances and deficiencies before an external audit arrives.

Know your processes and how you fit into them. Know where to find them and how to interpret them.

Organisations that comply with regulatory standards should conduct regular internal audits.

6. Encourage staff to raise potential issues

It’s always better for you or your staff to find an issue, rather than being caught off guard when an auditor finds it during an audit.

7. Stay focused and on topic

Provide concise answers to the auditor. Don’t go off on a tangent or tell stories. Keep responses on target. Don’t volunteer information – answer only what is asked.

Learn to be comfortable with silence and teach your team and employees this. An auditor may pause before responding to encourage an auditee to fill the silence.

Don’t volunteer information to fill the silence; otherwise, you may babble out of nervousness and say something you regret.