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Good morning,

I am interested in how other auditors manage etiquette during an audit.  I am neutral in response and do not offer consulting advice as that is not my role. I am professional and respond within 24 hours and considerate of day-to-day business operations. I have assumed the task of managing internal and supplier audits. How do you respond to the following scenarios:

Scenario 1: Supplier fails to communicate to a request to schedule an audit

Scenario 2:  The auditee changes the plan/agenda

Scenario 3: The auditee attempts to trump longevity of auditing experiences to defend findings

Dear Shelby

Responses:

• Scenario#1: Supplier fails to communicate to a request to schedule an audit
  • What forms of communication have you attempted to approach them on - have you exhausted all forms?
  • Is there another contact that you can engage in the request?
  • Perhaps they just don't want to be audited as a Supplier - what is the importance of auditing them?
  •  Is there someone within your business that you can escalate this to?
• Scenario#2: The auditee changes the plan/agenda
  • As an Auditor, you have to remain flexible, as you are working in their area and under their constraints.
  • Confirm with them that you will be able to inspect and review the information and areas that you need to complete the audit.
  • Always come at any change from a place of respect and empathy, not malice. They may not mean anything malicious by changing the audit plan.
  • An Audit plan is a guide, not a regime.
• Scenario#3: The auditee attempts to trump longevity of auditing experiences to defend findings.
  • Never stop someone from defending themselves. It only makes them more defensive.
  • You don't have to agree with what they are saying but you can be a good listener.
  • Hear what they are say, rather than listen to the defense in their tone and words. What are they really trying to tell you?
  • I hear in this sentence:
    • They feel perhaps devalued and even stressed/anxious.
    • This situation holds importance for them.
  • Address any feelings that you are hearing with empathy and respect.
  • This should help the auditee feel more comfortable and heard, releasing any defensive strategies that human beings use when put into stressful situations.

That's what I use but you make it your own as it is you in this situation.

Audits are not mean to be an Inquisition. They are a willing exchange of information that adds value to a business. Ensure that that is how the auditee is left feeling once you leave.

Remember, you are auditing a system/business but you have to do that through people. People are the way that the system is implemented and lives every day.

May you always walk away from an audit with a smile in your heart.

Tonya

Good morning,

I am interested in how other auditors manage etiquette during an audit.  I am neutral in response and do not offer consulting advice as that is not my role. I am professional and respond within 24 hours and considerate of day-to-day business operations. I have assumed the task of managing internal and supplier audits. How do you respond to the following scenarios:

Scenario 1: Supplier fails to communicate to a request to schedule an audit

Scenario 2:  The auditee changes the plan/agenda

Scenario 3: The auditee attempts to trump longevity of auditing experiences to defend findings

I was a Lead Auditor for DQS for 9 years and a manager of a 55-auditor group for a year of that time.

I totally support the advice that that Tonya gave you on the audit questions.  The only thing that I would add is that I would always tell my clients is that the purpose of my audit was to help my client improve their management system.  I did that through opportunities for improvement (OFIs) and nonconformities (NCRs).  I also expected them to address both types of issues so that I could review them when I returned a year later.  If I ever stopped helping them improve, they should fire me.  They never did.  

Dear Shelby

Responses:

• Scenario#1: Supplier fails to communicate to a request to schedule an audit
  • What forms of communication have you attempted to approach them on - have you exhausted all forms?
  • Is there another contact that you can engage in the request?
  • Perhaps they just don't want to be audited as a Supplier - what is the importance of auditing them?
  •  Is there someone within your business that you can escalate this to?
• Scenario#2: The auditee changes the plan/agenda
  • As an Auditor, you have to remain flexible, as you are working in their area and under their constraints.
  • Confirm with them that you will be able to inspect and review the information and areas that you need to complete the audit.
  • Always come at any change from a place of respect and empathy, not malice. They may not mean anything malicious by changing the audit plan.
  • An Audit plan is a guide, not a regime.
• Scenario#3: The auditee attempts to trump longevity of auditing experiences to defend findings.
  • Never stop someone from defending themselves. It only makes them more defensive.
  • You don't have to agree with what they are saying but you can be a good listener.
  • Hear what they are say, rather than listen to the defense in their tone and words. What are they really trying to tell you?
  • I hear in this sentence:
    • They feel perhaps devalued and even stressed/anxious.
    • This situation holds importance for them.
  • Address any feelings that you are hearing with empathy and respect.
  • This should help the auditee feel more comfortable and heard, releasing any defensive strategies that human beings use when put into stressful situations.

That's what I use but you make it your own as it is you in this situation.

Audits are not mean to be an Inquisition. They are a willing exchange of information that adds value to a business. Ensure that that is how the auditee is left feeling once you leave.

Remember, you are auditing a system/business but you have to do that through people. People are the way that the system is implemented and lives every day.

May you always walk away from an audit with a smile in your heart.

Tonya

Good morning,

I am interested in how other auditors manage etiquette during an audit.  I am neutral in response and do not offer consulting advice as that is not my role. I am professional and respond within 24 hours and considerate of day-to-day business operations. I have assumed the task of managing internal and supplier audits. How do you respond to the following scenarios:

Scenario 1: Supplier fails to communicate to a request to schedule an audit

Scenario 2:  The auditee changes the plan/agenda

Scenario 3: The auditee attempts to trump longevity of auditing experiences to defend findings