It’s that time of year again! Your external audit is due, and your auditor will be arriving on-site soon. Many people find the external audit process stressful, worrying that the auditor knows everything and that negative consequences will follow any mistakes. However, this really isn’t the case! Auditors are people too. 

The Role of an External Auditor

Remember, the external auditor is a service provider contracted by your company to provide a service. This means they work for you! As the client, you should expect them to do a good job. But what does “a good job” look like, practically?

  1. To provide an objective and independent evaluation of your management system to ensure it complies with relevant ISO standards. This involves reviewing your documentation, observing processes, and interviewing employees to verify that practices align with documented procedures and the ISO standard(s) requirements.
  2. Assessing the effectiveness of internal controls and risk management practices, identifying any non-conformities or deviations from the standard, and classifying these based on their severity. They will provide a detailed audit report summarising any findings, including positive observations and non-conformities (NCRs). They will also add value by identifying opportunities for improvement, which may be beneficial to enhancing the management system.
  3. Ensuring compliance and promoting continual improvement, external ISO auditors help build stakeholder confidence, enhance the organisation’s credibility, and support its commitment to quality and operational excellence. Their evaluations are crucial for obtaining or maintaining ISO certification, providing assurance that the organisation meets international standards.

The External Audit Process: Step-by-Step

The external audit process might sound complicated, but it’s pretty simple – here is a step-by-step guide:

  1. Scheduling Invitation: The Auva Operations department allocates and schedules the audit for an auditor with the necessary qualifications and competence. You’ll receive an audit confirmation detailing the Auditor’s name, scope, and schedule.
  2. Initial Contact: The auditor will introduce themselves and confirm audit arrangements. They will prepare an Audit Plan, which you will review and agree upon.
  3. Audit Arrangements: The auditor will handle travel, parking, PPE requirements, contact details, and hotel bookings if needed.
  4. On-Site Arrival: On the first audit day, the auditor will set up equipment and conduct an Opening Meeting. This includes introductions, reviewing the Scope of Certification, and the Audit Plan, ensuring confidentiality, and explaining the process for identifying and communicating findings.
  5. Conducting the Audit: The audit follows the Audit Plan. Findings are communicated daily, so there are no surprises at the end of each audit day or the Closing Meeting.
  6. Audit Report Preparation: The auditor prepares the Audit Report. If incomplete by the Closing Meeting, the auditor will provide the audit outcome and recommendation (e.g., Certification, Continued Certification, Recertification).
  7. Closing Meeting: The auditor confirms the audit outcome, discusses findings, and often sets the next audit date. They will answer questions and thank everyone for their support.
  8. End of Audit: The audit concludes, and the auditor leaves the site – we allow five working days for our auditors to complete and send the audit report along with any potential findings, but most do it quicker!
  9. Audit Findings Report Submission: If the auditor raised any non-conformities during the audit, you would have discussed these at the Closing Meeting; the auditor will then provide you with the “Audit Findings Report” along with your Audit Report. Depending on your visit type, you will have to complete the findings report with your actions and evidence. 
  10. Audit Findings Report Review: Once you have submitted your corrective actions and any required evidence, the auditor will review all this information to determine its suitability and close it out. 
  11. Certification Decision: If your audit visit type was either Stage 2 (part of what we call your “Initial” assessment) or Recertification, as well as if you have recently moved to Auva – your audit report and supporting documentation will go for certification review, this is basically where an independent person within our organisation reviews all the information to ensure that the auditor has done their job properly and in line with our accreditation requirements.
  12. Certificate issuance: Once we’re happy with all the information and our internal checks have been completed, we will issue your new certificate(s) and send them to you electronically!

Building a Positive Relationship with Your Auditor

To build a good relationship with an external auditor, start by communicating openly, introducing yourself, and clarifying expectations—but also get to know them as a person. Prepare thoroughly by organising documents, briefing your team, and reviewing past audits. Maintain transparency about your organisation’s strengths and weaknesses, share information freely, and acknowledge any issues. 

Professionalism is crucial—be punctual, respect the auditor’s time, and remain polite. Collaborate by viewing the auditor as a partner, seeking feedback, and engaging in constructive dialogue. Show hospitality by ensuring a comfortable workspace and assisting with logistics. Be responsive to requests and follow up on actions. Adopt a learning attitude, demonstrating a willingness to improve and highlighting progress. Lastly, maintain a positive attitude and appreciate the auditor’s insights and efforts. 

These practices will foster a productive relationship and lead to better audit outcomes. Remember – an audit doesn’t have to be stressful. Enjoy the process, have some interesting dialogue, and relax. This isn’t a life-or-death situation!

The Benefits of External Audits

External audits, particularly those related to ISO standards, offer substantial benefits for organisations by providing an objective assessment of processes and compliance. External auditors bring an unbiased perspective, offering a fresh evaluation that might uncover issues internal teams have overlooked. This impartiality is crucial for verifying regulatory compliance and is often necessary for maintaining certifications such as ISO 9001, ISO 14001 and ISO 45001. Achieving such certification can enhance an organisation’s credibility with customers, suppliers, and stakeholders, providing a competitive edge in the marketplace.

External audits have significant risk management benefits. By identifying weaknesses and areas of non-compliance, audits allow organisations to address potential issues before they escalate into major problems. This proactive approach enables the implementation of preventive measures, contributing to overall risk mitigation. Additionally, external audits promote continual improvement by regularly evaluating and refining processes. Insights gained from these audits can lead to more efficient operations, reducing waste and saving costs, ultimately leading to increased organisational efficiency.

External audits also enable greater employee awareness and accountability. The audit process raises awareness about the importance of adhering to procedures and maintaining high standards. Regular audits ensure that employees follow documented processes, maintaining consistent performance and quality. Furthermore, external auditors often bring extensive experience and can provide valuable insights and best practices, offering actionable recommendations that drive targeted improvements.

Overall, external audits build stakeholder confidence by assuring investors, customers, and other stakeholders of the organisation’s commitment to quality and compliance. This assurance can enhance trust and credibility, positioning the organisation as reliable and well-managed. Financially, identifying inefficiencies and non-compliances can result in cost savings and reduced liability risks, contributing to the organisation’s financial health and stability.

So, sit back and enjoy your audit. After all, you’re paying for it!

If you would like to learn more about the audit process, please get in touch!