by Denise Robitaille

I’m buying a house. It’s an exciting but harrowing process, and it’s got me thinking. I’ve been contemplating the pioneers of the 19th century, loading all their belongings into wagons and trekking across the continent through all manner of terrain, battling an endless onslaught of elements—torrential rain, wild beasts, windblown prairies, parched deserts, mountain blizzards—to arrive in the Southwest, plunk down their stakes and say, “This is our new home.” The modern-day version involves navigating a sea of documentation, contracts, and records that has me yearning for the simplicity and comparative ease of a wagon train journey. Compared to what the lenders, brokers, and realtors have asked for—bank statements (all accounts, three separate times), retirement fund reports, proof of insurance, profit-and-loss statements, a divorce decree from 25 years ago, etc.—the pioneers had a walk in the park.

So, what the heck does this have to do with auditing? Well, I have to confess that my defensiveness is in full bloom. How can they possibly need another piece of evidence? The proof of traceability for debits and credits of any significance going through any of my accounts has been scrutinized with a rigor that would have done Sherlock Holmes proud. Verifications and crosschecks seem to go on and on and on. Hey, I’m a trustworthy person. Can’t they just trust my word? I’m mean, really.

And then it hit me. All of this sounds a little like auditees experiencing their first assessments. I hear myself saying, “So, I see that you’ve provided evidence that you requested a certificate of analysis from the supplier, but where’s the evidence that you received it and that it matches the shipment out on the dock? And, what happens to traceability if you have to split the raw material lot between two different jobs?” Or, “I know that you say that your calibrations are conducted using a set of gage blocks, but where’s the evidence that the gage blocks are calibrated? And where’s the record from the third party providing evidence that the standards used were calibrated? And how do you know that there’s traceability back to NIST?”

Wherever there’s a requirement, there’s a need to provide evidence. And sometimes that evidence is multi-tiered. Contrary to the consternation audit questions generally cause in auditees, the ultimate intent of the questions is actually to defuse gut-wrenching angst. It’s supposed to remove the opinion, posturing, bullying, and face-saving that erode morale and undermine improvement initiatives in most organizations. Audits let us know what the facts are, devoid of blood and tears or, conversely, treacle and illusion. Audits contribute to reliability and trust.

Here are the take-aways from my opining: Auditors need to be a bit more sensitive to the fear and defensiveness they provoke in auditees. We need to perhaps tread more gently and help the auditees understand why we are asking questions and requiring so much evidence. Auditees, for their part, need to relax a little and recognize that audits are not inquisitions and that auditors really are just looking for facts to substantiate the health of the organization.

Then again, maybe the quality deities are toying with me and reminding me that what goes around comes around.

About the author

Denise Robitaille is an internationally recognized speaker who brings years of experience in business and industry to her work in the quality profession. The principal of Robitaille Associates, she has helped numerous companies in diverse fields to achieve ISO 9001 registration and to improve their quality management systems. Robitaille is vice chair of the U.S. TAG to ISO/TC 176, the committee responsible for updating the ISO 9000 family of standards. She’s a RABQSA-certified lead assessor, an ASQ Certified Quality Auditor, and a fellow of ASQ.

Her books include The Corrective Action Handbook, The Management Review Handbook, The Preventive Action Handbook, Root Cause Analysis, Managing Supplier-Related Processes, and Document Control, all published by Paton Professional. She also co-authored The Insiders’ Guide to ISO 9001:2008.

Her newest book, 9 Keys to Successful Audits, is available now.