Auditing: The Power of Preparation
How preparation ensures audit success by defining scope, objectives, and criteria, reviewing documentation, engaging stakeholders, assembling a team, and planning logistics.
I love this quote:
"By failing to prepare, you are preparing to fail." — Benjamin Franklin.
Preparation is not a waste of time: it’s an investment in success.
How many times have you jumped into action without truly being ready?
Maybe it was a rushed project, a critical decision made, or an unexpected challenge.
At the moment, it might feel like diving straight in is the fastest way forward.
But without a solid plan, the risk of missteps, wasted effort, and even failure increases dramatically.
So, how do we shift from impulsive action to strategic readiness? Auditing is not different.
Let’s explore the key aspects of audit preparation that drive better outcomes.
Today, I am focusing on the Key Aspects before starting an Audit.
This is part of the fortnightly six-part mini-series, where I cover:
Part 1: The Audit, the role and the competencies of the Auditor
Part 2: The Key Stages of the Audit Process and Typical Audit Activities
Part 3: The Key Aspects before starting an Audit
Part 4: My Fundamentals of Audit Work Documents and Reporting
Part 5: Communication and Auditing – The Biggest Challenge
Part 6: My Key Takeaways
Let’s dive in! 🤿
Define the Scope, Objectives and Criteria
Every audit should begin with a clear understanding of its purpose and framework. This is determined by defining the Scope, Objectives and Criteria of the audit right at the beginning of the preparation process to prevent scope creep, ensure focus and help auditors and auditees align on expectations.
Before conducting an audit, it is essential to define three fundamental elements:
Scope: What will the audit cover? This includes the specific processes, departments, or systems to be evaluated. Clearly defining the boundaries ensures the audit remains focused and relevant.
Objective: Why is the audit being conducted? The objective outlines the purpose of the audit, whether it’s to assess compliance, improve efficiency, mitigate risks, or verify corrective actions.
Criteria: What standards, regulations, or policies will be used as a benchmark? Criteria provide the framework against which compliance and performance are measured, such as ISO standards, regulatory requirements, internal procedures, or best practices.
Understand the Applicable Standards and Requirements
Audits are built on frameworks, whether they are ISO standards, regulatory requirements, industry best practices, or internal policies.
Reviewing these in advance ensures that:
The audit criteria are relevant and up-to-date.
The team is well-informed about what needs to be assessed.
Common non-conformities or gaps can be anticipated.
Preparation at this stage prevents confusion and strengthens the credibility of audit findings.
Gather and Review Documentation
Documentation is the backbone of any audit.
Before starting, ensure that:
Policies, procedures, and work instructions are readily available.
Previous audit reports and corrective actions are reviewed.
Risk assessments and key performance indicators (KPIs) are considered.
A proactive document review saves time during the audit and highlights areas needing extra attention.
Communicate with Key Stakeholders
Audits should not be a surprise.
Engaging stakeholders early fosters a collaborative rather than adversarial approach. Consider:
Informing teams about the audit scope, criteria, and timeline.
Scheduling meetings or interviews in advance.
Encouraging open dialogue to address concerns before the audit begins.
This approach builds trust, improves cooperation, and increases the likelihood of obtaining accurate insights.
Create the Right Audit Team
An audit is only as effective as the people conducting it.
Key factors in selecting the audit team include:
Expertise in the subject matter.
Understanding of relevant standards and processes.
Impartiality and objectivity.
Plan the Audit Logistics
Practical details can make or break an audit’s effectiveness.
Ensure:
A clear audit schedule is developed and shared.
Necessary site visits or interviews are coordinated.
Checklists and templates are prepared to streamline data collection.
A clear logistical setup minimizes disruptions and keeps the audit on track.
Foster a Culture of Continuous Improvement
The best audits are not about catching mistakes but about driving improvements. Before starting, set the tone:
Encourage openness rather than defensiveness.
Position findings as opportunities rather than failures.
Use audits as a learning tool for better performance.
With this mindset, audits become a catalyst for long-term success, rather than just an obligatory compliance exercise.
That’s all for today.
In two weeks I will focus on my fundamentals of audit work documents and reporting.
Stay tuned! 🚀 See you next week. 👋
Disclaimer: The information provided in this newsletter and related resources is intended for informational and educational purposes only. It reflects both researched facts and my personal views. It does not constitute professional advice. Any actions taken based on the content of this newsletter are at the reader's discretion.