How do you communicate and collaborate with external auditors and stakeholders?

Auditors expect to see consistent document management practices. I've served as an auditor. It's not enough for documents to be complete and accurate. Internal controls must be in place to ensure continued maintenance of quality.

Defining Criteria and Standards: Understand the criteria and standards used by auditors. Identify specific compliance standards that must be met. Learn about benchmarks and criteria for evaluating document management. Be aware of documentation requirements. Setting Timelines: Establish audit timing and milestones. Determine audit duration. Clearly outline deadlines for document/report submissions. Note any interim/final reports expected. Documenting Agreements: Solidify understanding in writing. Create an audit plan or MOU covering: a. Audit scope and objectives. b. Documents/systems/processes to assess. c. Audit criteria/standards. d. Timelines/milestones. e. Roles and responsibilities. f. Relevant details.

In my experience, indeed is the first step for any collaboration. Stating transparency with external auditors and stakeholders is something that not anyone is willing to share in the audit kick-off. Mostly, the team has a fear of auditors and stakeholders and by doing this the scope and objectives are not clear to anyone in the group causing misunderstandings in the whole audit process. Then when it is our turn in the document management team, we search for that transparency and write it to prevent this kind of matter.

I think you need to find somebody with a combination of people skills and technical nouse about the purpose of the audit and the documentation to have at your disposal is vital. Having an aggressive no nothing manager who isn't open to reason and aggressively finishes each sentence with at least one "right"? isn't going to pass muster. You know who you are, right? Right!

Well to some extent it is true most of team member not fully aware how audit will go, as per standards we have to full fill requirement as per concern domain process

Establishing Roles and Responsibilities: 1. Identify key stakeholders within your organization. 2. Appoint a dedicated point of contact to liaise with auditors. 3. Ensure auditors designate their main point of contact. 4. Define access permissions clearly. 5. Establish a review and approval process. 6. Document roles and responsibilities in the audit plan. 7. Foster transparent communication. 8. Ensure accountability throughout the audit process.

Absolutely spot on, this allows all stakeholders know who the team is and who is responsible for what documentation, drawings, etc. I believe that everything comes out of open “COMMUNICATION”.

Here's a step-by-step guide: ֎ 𝓤𝓷𝓭𝓮𝓻𝓼𝓽𝓪𝓷𝓭 𝓽𝓱𝓮 𝓐𝓾𝓭𝓲𝓽 𝓢𝓬𝓸𝓹𝓮: Clearly define the scope of the external audit. ֎ 𝓘𝓭𝓮𝓷𝓽𝓲𝓯𝔂 𝓚𝓮𝔂 𝓢𝓽𝓪𝓴𝓮𝓱𝓸𝓵𝓭𝓮𝓻𝓼: Identify all the key stakeholders involved in the audit process. This may include members from different departments, management, and external auditors. ֎𝓔𝓼𝓽𝓪𝓫𝓵𝓲𝓼𝓱 𝓪𝓷 𝓐𝓾𝓭𝓲𝓽 𝓣𝓮𝓪𝓶: Formulate a dedicated audit team with individuals possessing relevant skills and knowledge. Assign specific roles such as audit coordinator, document custodian, subject matter experts, and liaisons with external auditors. ֎ 𝓓𝓮𝓯𝓲𝓷𝓮 𝓡𝓸𝓵𝓮𝓼 𝓪𝓷𝓭 𝓡𝓮𝓼𝓹𝓸𝓷𝓼𝓲𝓫𝓲𝓵𝓲𝓽𝓲𝓮𝓼: Clearly define the roles and responsibilities of each team member.

Quando cada um sabe qual é a sua função dentro da equipe e isso está bem definido problemas são evitados, afinal cada um sabe onde começa e termina suas responsabilidades.

In addition to defining roles and responsibilities, create a detailed communication protocol outlining how updates, issues, and approvals will be handled. Include timelines for each stage of the audit to ensure all parties are aligned on deadlines and deliverables. Implement a tracking system to monitor the status of document requests and reviews. Regularly schedule status meetings with all involved to address any emerging issues promptly. This structured approach fosters efficient collaboration, mitigates potential conflicts, and reinforces a clear chain of responsibility, enhancing the overall effectiveness of the audit process.

Consider SharePoint as a versatile platform for communication 1. Centralized & accessible. 2. Strong document organization. 3. Encryption & authentication. 4. Granular permissions. 5. Audit trails & version control. 6. Reliable and tested. 7. Training for auditors. 8. Collaboration features. 9. Compliance-ready. 10. Robust data backup & recovery.

O início de uma boa gestão de documentação requer segurança da informação e isso não pode ser colocado em qualquer ferramenta. É necessário encontrar ferramentas que atendam os requisitos de segurança. Uma boa escolha é o sharedpoint.

Additionally, integrate tools that provide real-time notifications and updates to keep all parties informed of document changes or new submissions. Ensure that the tools you choose comply with relevant data protection regulations to safeguard sensitive information. Consider implementing role-based access controls to limit document visibility based on user needs. Establish a backup and recovery plan for the document management system to prevent data loss. Regularly review and update your toolset to adapt to evolving audit requirements and technological advancements, ensuring continuous support for efficient and secure audit processes.

La elección de herramientas de gestión de documentos seguras y confiables es esencial para una auditoría efectiva. Más que un simple repositorio de archivos, estas herramientas deben ofrecer funcionalidades que protejan la integridad de la información y faciliten su acceso controlado. Al optar por soluciones con control de versiones, pistas de auditoría, y cifrado, se garantiza que cada documento esté protegido y sea rastreable. Además, probar estas herramientas antes de la auditoría es fundamental para anticipar cualquier problema y asegurar que cumplen con los requisitos de seguridad y operatividad que los auditores demandan.

Swift Responses: Prioritize timely replies through secure communication channels. Evidence-Based Sharing: Support your communication with reliable documents and records. Comprehensive Logging: Maintain detailed records of all interactions, including dates, participants, content, and outcomes. Real-Time Updates: Keep communication logs up-to-date, ensuring accuracy and transparency. Collaborative Approach: Foster open communication, addressing challenges together. Accessibility Assurance: Ensure auditors have access to the information they need, whether it's digital or physical documents. Trust Building: Transparency and reliability to establish trust with both stakeholders and auditors. This ensures a smooth and productive audit process.

o enhance the effectiveness of this step, establish a standardized process for handling and prioritizing requests to ensure timely responses. Implement a system for tracking and categorizing evidence to streamline retrieval and presentation. Use project management tools to maintain a clear timeline of communication and deliverables. Provide regular status updates and summary reports to keep auditors and stakeholders informed of progress and any issues. This documentation will not only support transparency but also facilitate a smoother audit process by clearly showcasing your proactive engagement and organizational diligence.

O que aprendi em anos de auditoria é sempre entregue ao auditor aquilo o que ele pediu. Sem dúvidas, é o melhor conselho. Assim, você garante que está controlado e que não é algo fora do escopo.

Seek Feedback & Improve: Solicit Feedback: Collect opinions and suggestions from auditors and stakeholders post-audit. Review Audit Findings: Carefully assess audit findings and recommendations for insights. Identify Improvement Areas: Spot opportunities for better document management. Develop an Action Plan: Create a structured plan with clear objectives, responsibilities, timelines. Implement Changes: Make improvements with team involvement. Monitor Progress: Track changes with key performance indicators. Report Results: Share progress transparently with stakeholders and auditors. Prepare for Future Audits: Use insights to prepare for future audits. Maintain Documentation: Keep records of changes and results for future reference.

Feedbacks são sempre bem-vindos! Afinal é através deles que lições aprendidas e planos de melhoria serão iniciados. Receber o feedback e saber quais pontos foram positivos e quais foram negativos ajuda no desenvolvimento de estrategias para a melhoria do processo.

Absolutely! Feedback is like gold🪙 - it helps you keep getting better. Getting input from outside auditors and stakeholders is a great way to identify areas for improvement in your document management system.

Colloboration is one of key skill should be posses by document management staff mostly people not perform upto mark because lack of understanding about this skill

Additional Considerations: Cultural Sensitivity: Respect diverse backgrounds. Data Privacy & GDPR: Comply with regulations. Training & Awareness: Educate your team. Regular Audits: Internal assessments prepare for external audits. Documentation Retention: Define retention policies. Collaboration Tools: Utilize various tools. Customized Reporting: Tailor reports to meet needs. Escalation Procedures: Define issue resolution steps. Document Management Trends: Stay updated on technology. Communication Channels: Choose effective means. Post-Audit Evaluation: Learn and improve. Legal Counsel: Consider legal support if needed. Data Backups: Ensure data security and recovery

A management review is crucial before and after any audit. Upper management must involved during the entire process. In my experience training and refresh training for all levels keeps all the stakeholders involved and prepared.

An example I have seen is to focus on adding value by planning and preparation to ensure positive collaboration and communication.

For smooth auditing and stakeholder engagement: Set expectations: Clearly define audit scope and roles for everyone. Open communication: Maintain regular contact with auditors and stakeholders, promptly addressing questions and concerns. Organized resources: Provide timely access to accurate documents and key personnel. Transparency & Feedback: Be open and proactive, seeking feedback to improve future processes.