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* 90 I recommend an audit team caucus before the closing meeting to compare observations and write notes Takes = hour Bring the auditee in and have the Closing meeting This is where you present the findings. Don’t want surprises - that’s why the caucus. If notes are written, you present and discuss. Leave with a positive atmosphere - I prefer attaboys Summarize the non-compliances - Confirm future actions - put it on the note format. Summarize that audits sample and time does not allow to check everything. Ask for feedback. Thank you. * 93 The closing meeting is not the end of the audit process. With the findings reported, the corrective action process begins. * 94 * 95 The lead auditor is responsible for the formal audit report with input from the entire audit team. Format can be whatever, but regardless of the format, the report has these objectives. When developing the report, you have A clear system of linking the report and notes to the audit. Reference the industry standards against which the audit was conducted, if applicable. May want to collect all the notes taken. * 96 Before preparing the non-compliance notes, we must be clear about the purpose. Convey findings clearly, accurately - so they know what to do next. * 97 Basic information Date/location of audit - six months from now when following up, no people names. Specific clause/standard violated - if you can’t identify a clause or document, think about whether you have a note. Specific non-compliance Examples - emphasize the objective evidence. The inexperienced auditor may have a tendency to not provide the facts needed to facilitate corrective action. Auditor Names - can use descriptive terms such as “extensive” or “several” if used carefully. Indication of severity - major/minor – We will discuss if there should be a difference. * 98 In an audit report, the lead auditor should conclude with Audit Reporting Conclusions * 99 Doing the audit and issuing a report is a waste of time if corrective actio
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