Time management is a feature with which we all struggle throughout our lives. Time management during an audit is the most challenging task that any audit team faces. Audit is always time bound activity in which we normally have to cover various sections, review bulk of documentation, on-site visit to various areas related to processing, testing, maintenance etc. In our previous article “Auditor – Blend of knowledge and skills” we have discussed various competence and skill set required for being a good auditor. In current article we shall be discussing in detail about time management skills during conduct of an audit.

Time management during audit follows 4P principle, which states:

  1. Preparation
  2. Punctuality
  3. Prioritization
  4. Progress Review

Various time management techniques that could be adopted before and during an audit are as follows:

  1. Preparation: Proper preparation and planning before audit is key to eliminate or reduce probable delays during auditing. Planning shall be done at several levels to make the most efficient use of time.
    • Resource sourcing and management: Scope and extent of an audit shall be clearly assessed for determining the audit duration and number of auditors required. Sourcing auditors who are subject matter experts may pose an additional challenge, hence, proper planning and scheduling of an audit will help to ensure availability of auditors and other resources.
    • Planning: The lead auditor in discussion with his team members shall establish the auditing strategy which includes micro-planning to ensure that time allocation for each section and aspect to be audited shall be proper.
    • Scheduling and audit: A thorough schedule shall be prepared by the auditor/ auditing team that specifies which areas are to be visited at various times throughout the day. The detailed schedule may be constantly revised during the audit, but the lead auditor must inform auditee management about planned activities. An audit team member who makes no attempt to stick to the proposed schedule may antagonize members of the auditee organization who have made arrangements to be available as requested.
    • Transport and other Resources: Any resources required for conducting an effective and well-managed audit shall be notified to the auditee management beforehand. Transport to the audit site is a basic requirement. Auditor’s may be coming from across the globe to audit a particular site. Hence, he may find it difficult to reach audit site on-time due to various reasons. Accordingly, if required auditor shall clearly specify requisition of transportation from place of stay to the audit site or from one audit site to another, the need for an escort etc.

Requirement of any other special equipment viz. access to copy machines, printers, data or overhead projectors, extension cords, stationery, or the need for a conference room.

Any special requests such as requirement of a translator, management permission for clicking site photographs etc. may also be laid out in advance.

    • Dodging the traps: An unsporting auditee sometimes do prefer to find ways to waste the audit time. Off-site lunch to a restaurant leads to wastage of a lot of precious audit time. Hence, auditors may prefer to have a working lunch on-site instead of going off-site to a restaurant. Scheduling a small amount of time for an audit team meeting during the lunch break aids the auditors in gathering additional information and corroborating information with other audit team members.

In a situation where on-site lunch is not feasible, adequate time should be scheduled. For remote audits, the lead auditor can set specific times for meals and breaks.

By anticipating needs and making them known to the auditee in advance, the lead auditor communicates preparedness and a strong desire to focus on the important task of gathering information at the audit site.

  1. Punctuality: A good beginning is half the battle won. Auditor shall lead by an example and shall be punctual enough to reach audit site at the agreed upon time for the opening meeting. Audit team shall ensure the efficient use of time during the audit performance stage. The lead auditor should retain control of the opening meeting and should not allow the auditee to take control with extended plant tours or lengthy presentations, unless such time has been scheduled into the audit.
  1. Prioritization: Auditors should allow several minutes at the end of each interview to review notes, present conclusions, and reach a consensus with an auditee representative, such as the area supervisor or the escort. If data indicate that certain areas need additional attention or prioritization, auditors’ assignments may need to be changed. Findings that indicate severe ramifications for the program being audited should be thoroughly investigated and recorded as soon as possible after they are discovered.
  1. Progress review: The audit team should also meet each day to summarize its information, to review progress, and to ensure that the audit objective can be achieved. Usually, this meeting is held prior to the daily update with the auditee. If the lead auditor finds that another meeting is necessary, the team may meet again following the daily briefing with the auditee. These meetings not only help identify instances where additional information needs to be gathered but also facilitate the preparation for the exit meeting by ensuring that there is sufficient evidence to support the team’s conclusions and that evidence is appropriately documented. Sufficient time shall also be allotted for the exit meeting.

In upcoming articles, we shall be discussing in detail about auditor’s behavior during audit, conflict management, communication including interviewing techniques and presentations.

Stay tuned!

Reference: ISO19011:2018