Preparing for an Audit

Audits vary in their scope and purpose, but most typically progress through the same stages.  They also tend to rely on the same types of information, particularly in the initial phase.  In order to make the audit go as smoothly as possible, your department can follow the steps below:

• Collect background information about the activity being audited.  For nearly all audits, the auditor will review:

• Identify key contacts that the auditor will work with.  Decide whether any of these staff members should attend the opening meeting where the audit's scope will be discussed. 

• Inform other staff members know about the audit.  Let them know about its scope and what information they may be asked to provide.  Emphasize the importance of providing access to all necessary employees and records.

• Create a temporary workspace for the auditor during the fieldwork phase of the audit.

• Foster a professional and constructive working environment.  The audit is designed to identify opportunities for departments to strengthen their performance.  Cooperation between the department and audit staff are necessary if the audit is to be effective.