Managing External Audits

It is commonplace these days for organizations to undergo various types of audits from external agencies - certification audits, process audits, financial audits, statutory compliance audits, et al. These audits from external agencies put pressure on an organization to keep its internal systems and processes in a proper shape. At the same time however it consumes a lot of effort on the organization's part to prepare for and go through these audits.

Managing external audits is thus an important aspect for organization's to function smoothly. Especially since adverse audit findings have negative impact on the organization's morale as well as impression on the external world. Managing in this context should be seen in both terms - overall coordination as well as technical preparedness.

Overall coordination involves the following activities:

• Finalizing the audit dates, audit program outline (scope, criteria), detailed schedule and key events. This needs consultation with the external agency as well as key stakeholders.
• Sending needed communication in as much advance as possible to relevant stakeholders. This can be done in a progressive manner - a top-level communication goes out at the start with audit dates and program outline followed by a series of detailed-level communication and another top-level communication goes out at the end with audit findings.
• Scheduling the various slots - audit discussions, interviews and meetings. This needs coordinating the calendars of multiple internal stakeholders especially ensuring that the key stakeholders are available for the important slots.
• Arranging necessary logistics. This includes preparing and executing plans related to meeting rooms, projector, white board, lunch, etc. and as needed, air and local travel, stay, etc.

Technical preparedness involves the following activities:

• Ensuring necessary documents are made available during the audit. This involves review and update of the documentation ahead of the audit.
• Ensuring personnel who will be interviewed are ready to undergo interviews. This involves coaching and mentoring selected staff in respect of understanding and articulation skills.