Six Steps for Successful Audits
Some see an audit as a tool to search for things gone wrong and discipline those involved.  Others see it as an opportunity to find weaknesses in systems and processes and then initiate improvements.  What’s the difference?  Effective audits focus on how processes and systems preform, not the people operating them.  If a nonconformance is found, it is the "fault" of the process, not the person.

Following the Six Steps for Successful Audits (below) will assure your audit team members are all on the same page throughout the process and will help keep the audit productive and positive.

Six Steps for Successful Audits


Step 1: Preparation and Planning

  • Recognize that the bounds of the audit scope must be tightly defined and that staying within the established bounds improves results.
  • Be aware of how important it is for all audit participants to remain objective.

Step 2: Conduct an Opening Meeting

  • Appreciate the importance of a comprehensive Opening Meeting.

Step 3: Collect Evidence

  • Recognize viable sources of evidence.
  • Sort through the evidence to hone in on meaningful data that leads to valid conclusions.
  • Realize when there is enough data gathered.

Step 4: Evaluate the Evidence

  • Consolidate evidence gathered.
  • Generate a composite picture of how well the organization's performance conforms to Standards and documented procedures.
  • Separate and itemize nonconformities.
  • Rate nonconformities against a simple, relative priority scale.
  • Provide substantiated evidence of each nonconformity found.

Step 5: Conduct the Closing Meeting

  • Appreciate the purpose and importance of the Closing Meeting.

Step 6: Audit Follow-Up

  • Recognize the need to confirm that changes made have actually been made.
  • Know what to look for to ensure changes made are sustainable. 
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Internal Auditing Training for Your Team

With our online Internal Auditing course, your team will get detailed instruction on how to conduct audits within your organization.  Our Six Step Internal Audit model will keep everyone focused and aligned throughout the audit process.  

Upon completing the training, learners will become effective members of your audit team.  This training also provides a great overview of the audit process for people working in processes subject to internal audits. 

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Internal Auditing

Master Course $69 LEARN MORE
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