Winning the Audit: 12 Proven Steps to Achieve Successful Customer & Third-Party Quality Audits
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About this ebook
ISO 9001 is a renowned international quality management standard and rapidly becoming the most popular quality standard in the world. This standard gives you the principles you need to have a solid foundation that can become part of your company culture. Nowadays, most companies prefer to do business only with those companies that are ISO certified. Therefore, ISO certification can help a company open up new markets it had no access to before certification.
Within this book, you have access to the unique sequence and method that has been honed, tested, and most important, proven to help many companies get qualified and certified by their customers and third-party auditors.
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Winning the Audit - Monika N. Ardianto
Winning The Audit
12 Proven Steps to Achieve Successful Customer & Third-Party Quality Audits
Published by
10-10-10 Publishing
1-9225 Leslie St.
Richmond Hill
Ontario, Canada
L4B 3H6
Copyright © March 2013 by Monika Nonce Ardianto
Calgary, Alberta, Canada
www.WinningTheAudit.com
All Rights Reserved
No part of this book may be reproduced in any form, by photocopying or by electronic or mechanical means, including information storage or retrieval systems, without permission in writing from both the copyright owner and the publisher of this book.
For information about special discounts for bulk purchases, please contact 10-10-10 Publishing at 1-888-504-6257.
Printed in the United States of America
ISBN: 978-1-927677-03-2 (Paperback)
ISBN: 978-1-927677-12-4 (Hardcover)
ISBN: 978-0-991760-11-4 (E-book)
To the most important people I have in this lifetime,
my son, Jordan,
my mom and dad, Nina and Soekamto,
and my husband, Andrew
They are my greatest inspiration and the reason
why I want to achieve
more and higher
in my life
Foreword
Go to any bookstore, and you will find there are many books written on the subject of auditing principles and techniques. However I would say there is rarely or perhaps none that is written to provide practical guidance for any company to be successful particularly at customer and third-party audit.
In today’s business era, it is necessary to take all measures in order to stand out from other competitors. The obvious way to do that is by having a company management system that sticks out from the crowd. Many companies do not get into investing for quality – even though in my opinion it should be part of their budget to become a world class company. I do not blame them. Building an effective quality management system is a long term process and you need an expert to help you.
Monika Nonce Ardianto is a quality professional, certified quality auditor and certified quality manager by American Society of Quality, who knows what she is talking about. Quality management is one of the most important aspects in producing a consistent high quality product as well as in building a great company. If you ever have an opportunity to hear Monika speak or if you ever have the chance to be certified by her in ISO 9001 quality management system, grab it.
Monika is truly an expert in her profession. Her book Winning the Audit is a very important work in this field. It perfectly presents her skills, experiences, objectives and messages. Winning the Audit can help every company get qualified or certified by their customers or regulatory bodies. This tells me that if you want to get the job done, to ensure you have an effective quality management system, Monika is the best person to help you.
Monika’s Winning the Audit helps quality professionals focus their accomplishments and provides clear direction on how to take the company to the next level. I am happy to say that I have no doubt that Monika’s advice and career expertise are key components in allowing you and your company to make it to the top of the pile.
Raymond Aaron
New York Times Bestselling Author
www.UltimateAuthorBootcamp.com
Acknowledgments
Every worthwhile part of my life has been accomplished with the valuable help of many loving and incredible individuals – and the writing of this book is no exception.
I perhaps most grateful to my husband, Andrew, for encouraging me to attend an event that has led me to meet the New York Times Bestselling Author, Raymond Aaron, and learn about writing a book.
I am forever indebted to Raymond Aaron. He has shown me that writing a book is possible through his 10-10-10 Program. Without his guidance this book will never happen. And I thank him as well for his willingness to write the foreword for my book.
I am all for challenges, but a book seemed too big a project for me to push through. I realized this book would never have come together if I didn’t have an amazing family to lean on. Andrew and my son, Jordan, who kept me rooted. Both of them gave the space and time to work, and were my inspiration throughout.
I owe a debt of gratitude to my parent, Nina and Soekamto, for their unconditional love. They give me a gift - a strong sense of responsibility to be successful and they believe in me intensely, holding the notion that I will become successful.
I am very fortunate to have Lori Murphy, the amazing personal book architect, who enthusiastically keeps me going on-track and encourages me to finish my book on-time. Her feedback always gives me high confident feelings that I will be able to finish it well.
I owe huge thanks to Wendy Almeida. Wendy is an editor extraordinaire who has powerfully helped me sort through, organized, and edited all of my ideas.
I am deeply privileged to have Dr. Mohamed Abousalem P.Eng., MBA, the CEO of TECTERRA Inc., Franklin Kurniawan Lim, the VP, Operations of Xenon Technologies Pte Ltd, and Brent Grazman, Ph.D., the VP of Quality of a leading multinational electronics manufacturer, for their willingness to write their comments on this Winning the Audit book. I thank them very much for taking their time, despite their busy schedules, to read and comment on my book.
I want to thank the staff at The Raymond Aaron Group, such as Ryan Malfara, Carol Lee, Joelle Mintzberg, Jennifer Le, and Lynn Moffatt who have helped me in their unique ways to make this book come to realization.
I am deeply honored to have around me friends, colleagues and fellow auditors who have made such valuable contributions to my life and to my work. This book to a large extent flowed out of their wisdom. Whatever I am able to learn from them, combined with my own wisdom in unique ways, is delivered through this book.
I have learned so much from the brilliant leaders and also owe a huge debt of gratitude to the companies that I have worked for, who have trusted me in helping them and their organizations grow, and for their unique contributions to the Winning the Audit model.
The spirit of the writing process has opened me up to so many new people and ideas, and I am extremely grateful to God for that.
Contents
Foreword
Acknowledgments
Introduction: In Praise of ISO 9001
Here Is What You’ll Learn
How This Book Can Help
Step 1 Communicate and Create Powerful Messages
Introduction: Communication Is Key
Communicating Is Your Job
Create a Strong Communications Strategy
Clarify Your Audit Goals First
Make Your Content Specific
Communicate with Top Management and Get Their Support
Tips for Getting Top Management Support
Communicate Throughout the Organization and Get Their Support
Create Powerful Email Messages
Follow Best Practices for Email
When to Communicate
Step 1 Summary
Step 2 Prepare and Get Ready
Introduction: Always Be Prepared
The Importance of Internal Quality Audits
Develop an Internal Audit Plan
Establish Standards, Focus and Scope
Create a Strategic Plan
Establish an Audit Schedule
Involve Your Team
Work with Auditees for an Effective Internal Audit
Develop Internal Audit Checklists
Create a Quality Audit Invitation
Select Internal Auditors
Dos and Don’ts for Internal Auditors
Six Methods of Gathering Information
Identify Potential Problem Areas
Focus the Internal Audit
Don’t Go Alone
Ask Thought-Provoking Questions
Dealing with Difficult Auditees
Tips to Avoid Common Auditing Pitfalls
Aim for No Surprises
Keep Good Records
Preparing for Independent Third-Party Audits
Preparing for Customer or Certification Audits
Step 2 Summary
Step 3 Take Action Now!
Introduction: Don’t Procrastinate!
Communicate Findings – Now!
Begin the Formal Audit Report – Now!
Report Audit Findings
Report Noteworthy Accomplishments
Contain and Correct It – Now!
Provide Recommendations
Get Commitment from Top Management
Follow Up and Closure
Step 3 Summary
Step 4 Build an A Team
Introduction: The Importance of Building an A Team
.
Tips for Building a Great Team
Develop a Talent Pool
Integrate Your Team
Select Presenters and Meeting Participants
Designate a Host Team
Communicate Your Goal
Foster Accountability
Communicate with Participants
Step 4 Summary
Step 5 Get Your Team Ready for the Audit
Introduction: The Importance of Training Your Team
Understand Audit Techniques
Review Relevant Documents
Know Your Key Procedures
Know What You Need to Know
Establish Dos and Don’ts
Avoid Common Mistakes
Step 5 Summary
Step 6 Create a Great First Impression
Introduction: There Are No Second Chances
Cleanliness Counts
Welcome Your Guests
Remember the Receptionist is a Big Contributor
Arrange a Friendly Meet and Greet
Don’t Forget IT Support
Step 6 Summary
Step 7 Conduct an Outstanding Opening Meeting
Introduction: The Importance of Starting and Finishing Well
Tips for Conducting Opening Meetings
Prepare the Opening Meeting Carefully
Welcome and Introduce Your Guests
Make Sure Your Agenda Is Clear
No Tardiness
Have Your Material Ready
Prepare Your Introductory Speech
Identify a Facilitator
Use Your Overview to Show Off Your Company’s Achievements
Tips for Creating Powerful Presentations
Provide Refreshments
Step 7 Summary
Step 8 Remember: It’s Showtime!
Introduction: Don’t Forget the Message You Want to Send
Understand What the Question Is and Why It Is Asked
Don’t Rush
Make It Easy
Don’t Lie
Don’t Guess
Don’t Blab or Tell Secrets
Tips on What Not to Say
What to Do After an Oops
Moment
Take Notes
How to Deal with Dead Air
Remember: The Less Said the Better
Be Aware of Body Language
Don’t Add Information
Wait and Be Silent
Express Your Thanks
Step 8 Summary
Step 9 Give Them Only What They Want
Introduction: Find Out What the Auditors Want
Choose Your Representatives Carefully
Supply All Requested Documents but Don’t Hand Over All Records
Don’t Volunteer Information
Organize Your Records
Address Auditor Observations
Keep Track of All Documentation
Give Only Copies of Documents
Step 9 Summary
Step 10 Be Cool
Introduction: Use Your Interpersonal Skills
Project Confidence
Maintain Good Business Posture
Listen Actively
Be Cooperative
Remain Cordial
Stay On Scope
Don’t Argue
Don’t Take It Personally
Smile
Step 10 Summary
Step 11 Know Your Right to Fight
Introduction: You Don’t Have to Accept All Findings
Seek Clarification
Know the Findings That You Should Not Accept
Know When to Escalate
Step 11 Summary
Step 12 Conduct a Memorable Exit Meeting and Audit Closing
Introduction: Final Impressions Are Important
Conduct a Pre-Exit Meeting
Know the Function of the Exit Meeting
Select the Right Participants for the Meeting
Inform the Meeting Participants
Start