Joe Pardue Operations Team Lead and Laboratory Lead DOECAP Operations Team ASP Workshop 2016 September 21 2016 1 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 act ID: 624578
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How To Be An Effective Auditor
Joe PardueOperations Team Lead and Laboratory LeadDOECAP Operations TeamASP Workshop 2016September 21, 2016
1Slide2
Preparation
Preparation is the key to being an effective auditorAs 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 actionsReview the applicable preaudit materials, including the status of open findings and the facility’s updated corrective action plan.
2Slide3
Preparation
When the pre-audit information is available, begin to review the informationThe majority of the findings from last year were related to the facilities’ practices did not match the procedure requirementsReview the previous year’s completed checklists, especially for lines of inquiry that resulted in findings or observations being issued3Slide4
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.
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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. N
o
premature departures unless there is an
emergency.
Arrive PREPARED and ready to audit
.
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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.
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Effective Auditing Skills
Ask the right questions based on the lines of inquiry and other related questionsListen to the responses provided by the person being audited, let them complete their responses, do not interruptAlways be in control of you emotions and courteous to the person being interviewed7Slide8
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.
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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.
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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.10Slide11
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