How To Be An Effective Auditor Joe Pardue Operations Team Lead and Laboratory Lead DOECAP Operations Team ASP Workshop 2016 September 21, 2016

Preparation Preparation is the key to being an effective auditor As soon as you agree to participate in an audit, start reviewing the final auditor report and corrective actions for the previous audit (Both are maintained on SharePoint) Evaluate the corrective actions and be prepared to verify implementation of the corrective actions Review the applicable preaudit materials, including the status of open findings and the facility’s updated corrective action plan.

Preparation When the pre-audit information is available, begin to review the information The majority of the findings from last year were related to the facilities’ practices did not match the procedure requirements Review the previous year’s completed checklists, especially for lines of inquiry that resulted in findings or observations being issued

DOECAP Auditor Keep DOECAP auditor training current. Auditors need to be more engaged in the audit conference calls. At a minimum, participate in conference calls that include discussion of the audits where you participated. Your support helps improve the Program.

Audit Preparation Prepare before you arrive for the audit. Arrive on time for the opening meeting, and plan to stay until the audit and draft report are completed. No premature departures unless there is an emergency. Arrive PREPARED and ready to audit.

During the Audit Pull the string on open/repeat findings. A Priority II finding that is open for two consecutive years should be considered for elevation to a Priority I finding. Complete all lines of inquiry on your assigned checklist(s). Provide your completed checklist to the lead auditor on time.

Effective Auditing Skills Ask the right questions based on the lines of inquiry and other related questions Listen to the responses provided by the person being audited, let them complete their responses, do not interrupt Always be in control of you emotions and courteous to the person being interviewed

During the Audit Assist the lead auditor and other auditors with the review of the draft report. Participate in a robust peer review/cross-cut review of the draft report. Aim for consistency/uniformity between all sections of the report.

After the Audit Provide input via the auditor evaluation survey. If your portion of the audit identified findings and/or observations, review the finding table sent by the Operations Team in a timely manner. Participate in the three-day audit team review of the draft final report.

After the Audit Review the facility’s corrective action plan for adequacy. Follow up with the audited facility if the corrective action plan does not address the root cause and extent of condition.