1. Preparing for an Audit Western Region Gas Conference Robert E. Miller
August 23, 2016

2. AUDIT PREPARATION Internal Audits 3rd Party Audits ID potential issues
Demonstrates desire to be proactive
3rd Party Audits
Reduces the possibility of cronyism
Fresh eyes on your system
Assist dealing with work place complacency

3. AUDIT PREPARATION Start Date
First communication with regulatory inspector / auditor
Look carefully at the suggested dates
Conflicts in existing schedules need to be considered

4. AUDIT PREPARATION Forms and check lists:
Discussion with the inspector / auditor,
What will be addressed during the audit
What forms / check list will be utilized
Request the inspector to provide your company with copies of the forms / check lists to be used

5. AUDIT PREPARATION Assembling your team:
Select staff that share the same goals and policies as the company
Assure that your team members are knowledgeable in the areas they will be called upon to provide answers for.
Eliminate all scheduling conflicts
If the audit will include a field component make sure that all necessary field personnel will be available

6. AUDIT PREPARATION Preparing your team:
Review fully with your team exactly what will be expected of them and what their roles will be.
Instruct your team members not to attempt to answer any questions they are comfortable in answering.
Instruct your team member not to over talk a topic or offer more information than what is being requested by the auditor.

7. AUDIT PREPARATION Preparing your team: Stay on topic at all times
Do not engage in multiple conversations
Instruct your team that if they need a break to speak up.
If you or your team does not know the answer to a question or are having difficulty in locating a document say so with the caveat that you will locate and provide the requested information as soon as possible .

8. AUDIT PREPARATION Preparing your team:
Do not respond emotionally to any issue brought up by the auditor
Do not be overly expressive with hand, body or facial expressions.
If the question is not regulatory in nature question with auditor as to the reasoning for they are asking the question.

9. AUDIT PREPARATION Preparing your team:
Review the materials provided by the inspector / auditor
Answer all questions on the forms provided by the inspector / auditor as comprehensively as you can, INCLUDE locations where information can be found in manuals and plans
Assemble all supporting documents that will be required to demonstrate compliance,
If the records are not readily available make arrangement to be able to retrieve records at the time of the audit

10. AUDIT PREPARATION Preparing your team:
If the records are not readily available make arrangement to be able to retrieve the necessary records at the time of the audit
Do not provide records or documents until they are asked for
Any record or document not readily available discuss the issue with the inspector / auditor and ask how long you have to locate and provide the document
Do not agree with every recommendation unless you truly agree; capitulation is not necessarily compliance

11. Conclusion End of Audit Exit and Report:
Following the audit you’re inspector / auditor should provide you with an exit meeting on the last day of the audit. The purpose of this exit is to provide you with an overview of any potential issues identified.
A final report should also follow the audit, ask the inspector / auditor when you should expect to see the report
No news is not necessarily good news
Remain calm be friendly and everyone will survive the process.

12. Robert E. Miller robert.miller@veriforce .com veriforce.com