I-9
If ICE agents show up requesting to conduct an I-9 audit and ask for imme Designate an I-9 compliance offi- cer. A central resource person is a …Read more

nowHIRE’s Web-based I-9 compliance system:
The nowHIRE I-9 system will help your organization. streamline your I-9 compliance into an I-9 violations can result in prison sentences, forfeiture. of assets …Read more

Best Practices for Form I-9 Preparation and Maintenance
Party Form I-9 Audit: Contact Allott Immigration Law firm 303-797 for a compliance audit of your I-9 records. Document Requirements: Know which ID …Read more

Auditing Your I-9s – A Good Idea?
their I-9 compliance or hiring law firms. or consulting agencies to perform audits. for them. I-9 Compliance Springs Up Where. And When You Least Expect It. Do I need to have an I-9 for …Read more

Audit Planning – 4 Strategies to Help You Prepare For an Audit

Preparing for an upcoming audit can be very stressful, especially if you don’t have a strategy in place.  This article identifies four critical and often overlooked strategies that you should consider when faced with an upcoming audit.

1. Close-Out Audit Findings – The first thing that an auditor will look at, are your previous audit findings to see if you had completed the corrective actions within the time frame that you had specified in your response letter.  If you ignore this part, then an auditor may get the impression that you don’t take the situation or their authority seriously.  The end result?  You’ll get cited again for the same issues, so the penalties may be steeper.

   Review all of your documentation related to the previous audit so that you can make sure that everything is in order.  This will start things off on a good note!  

2. Conduct Risk Assessments – Your risk assessment should take into consideration which processes are most likely to be audited.  There are certain processes that an auditor will always want to look at, regardless if they did so on a previous audit, to determine how well your Quality System is operating.  For example, I can almost guarantee that your corrective and preventive action (CAPA) and training records will be reviewed.

   If in doubt, think back historically to see if there was ever a time when an auditor didn’t directly or indirectly ask you questions about these two processes.  I’m guessing the answer is no!  That’s why it’s so important for you to make sure that all of your training records (and I don’t mean just yours) are up to date and that your CAPA’s include thorough investigations that are effective and closed on time.

   You should also take a look at your internal audit results for the past 12 months to make sure that compliance and consumer safety issues (if you’re in a regulated industry) have been resolved.  Keep in mind that any open issues pose a risk to your company during an audit.  If you’re unable to address and close these issues beforehand, then at the very least document them in your CAPA system so that you can demonstrate that you’re aware of the problem and that action is being taken. 

3. Define Roles & Responsibilities – Sometimes we get so busy making sure that our Quality System is compliant that it’s easy to overlook defining the roles and responsibilities that each person will play during an audit.  That’s when things can become chaotic and confusing because it’s unclear how or if each person should participate.

   To avoid confusion, you should identify who may need to speak directly to an auditor, then provide guidance as to how they should respond to questions.  Typically these are process owners.

   Also, identify who will be responsible for various tasks during the audit process such as, retrieving and returning records to the archive, escorting the auditor at all times, notifying the organization that an auditor has just arrived and how that notification will take place.

   TIP - A swim lane process map (also known as a deployment or a cross-functional process map) is a good tool to use when trying to define the roles and responsibilities of a process.

   Additionally, provide general awareness training to everyone within your organization.  Yes, that includes senior management.  Even if someone is not directly involved in an audit, they’ll need to know how to conduct themselves just in case they come into contact with an auditor or are requested to provide documentation.  This also includes knowing what information shouldn’t be visible in work areas (e.g. cheat sheets).

4. Conduct Mock Audits – This is the best way to determine the readiness of your organization, but only after everyone has been trained on their roles and responsibilities.  Then without prior notice, announce your mock audit to see how quickly people can execute their assigned responsibilities, including retrieving records in a timely manner.   The results will help you identify any gaps that may exist so that you can address them and make improvements.

   Once you’ve survived the actual audit, take a few minutes to identify what you and your organization did well and what could be improved.  Then incorporate your new found wisdom into your audit preparation strategy, since this is what continuous improvement is all about!

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