Joe Pardue Operations Team Lead and Laboratory Lead DOECAP Operations Team 1

DOECAP Auditor Expectations 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. 2

Audit Preparation Prepare before you arrive for the audit.  Review the applicable preaudit materials, including the status of open findings and the facility’s updated corrective action plan. 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. 3

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. 4

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. 5

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. 6

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. 7

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Joe Pardue Operations Team Lead and Laboratory Lead DOECAP Operations Team 9

Auditor Feedback Following each DOECAP audit, Rhonda Jobe sends evaluation forms to the participating auditors and the lead auditor (team lead). Separate evaluation forms are sent to the lead auditor and the mentoring auditor to evaluate the auditors-in-training. 10

Use of the Data The information is maintained as confidential and is not shared. The results are used to provide ongoing self- evaluation of the auditors, lead auditors, and the audit process. The goal is to provide information that will enable DOECAP to improve the audit process and the auditors’ performance. 11

Overall Results for FY 2015 Overall, the results demonstrate that the auditors and the lead auditors are competent. The primary negative result was dissatisfaction with the preaudit information.  The main complaints were that the preaudit information was not received in sufficient time to prepare for the audit and the information was incomplete. 12

Request for Preaudit Information The Operations Team sends the request for the preaudit information four to five weeks before the audit date. Is the responsibility of each auditor to review the preaudit material and to request additional procedures and other information, if needed. 13

SharePoint and FTP Site As Susan Aderholdt will discuss later this week, the other major complaint from the auditors is access to SharePoint and the FTP site!! 14