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Thorough preparation before the audit will lead to more effective audit results. Preaudit preparations include gaining an understanding of:

 organization context;

 activities, processes, and hazards/risks;

 monitoring and measurement activities

 previous audit findings and OH&S performance history;

 physical layout and location of buildings and areas of interest;

 the organizational structure and OH&S accountabilities;

 recent construction, modifications or organizational changes;

 the use of contractors, and outsourcing;

 pertinent regulatory agency activity for the site;

 security and clearance needs for site access;

 the need to have company representatives escort team members;

 unique hazards and subsequent PPE requirements; and,

 OH&S policies and procedures relevant to the audit scope.

Early in the audit process, the lead auditor typically contacts the site representative who has been designated to coordinate onsite audit activities. In addition to overall audit logistics, such as audit dates, the lead auditor can begin to understand the above site‐specific issues. This information will also help the lead auditor understand the expertise he or she will need on the audit team. At this time, the lead auditor should make sure that there is a mutual understanding about the audit scope. Any discrepancies in understanding of the scope need to be resolved before proceeding any further.

Preaudit activities involved with reviewing site policies and procedures before the official site visit is called the “desk review.” Documents relevant to the audit scope are reviewed by the lead auditor and team members to determine initial compliance or conformance with regulations or standards against which the site is being audited. In MS audits, when nonconformances are found during the desk review, it is common for the lead auditor to suggest that the site bring these areas into conformance before making the official site visit.

A valuable component of preaudit preparation is use of a preaudit questionnaire to be completed by the site in advance of the site visit. The purpose of the questionnaire is to provide the lead auditor with necessary background information that will help her or him plan the audit in the most effective manner. Preaudit questionnaires help lower costs by decreasing the time that the audit team must spend on‐site gathering background information. Gaps between audit findings and the facilities completed preaudit questionnaire can also help identify deficiencies in the facilities internal auditing practices. It is effective to identify an on‐site coordinator who will act as the key liaison between the facility and the audit team and can facilitate scheduling and logistics for the team.

The preaudit questionnaire also serves an important internal function. The act of collecting data, gathering policies and procedures, and completing preaudit forms is an educational process for both the on‐site coordinator and the individuals gathering the documents. Even before the audit team arrives on site, the coordinator will usually have a good estimate of the facility's overall compliance or conformance with the areas or issues within the audit scope, from examining the general pattern of responses to items on the questionnaire, there is value in seeing this at the early stages of the audit. The preaudit questionnaire also provides the opportunity for senior management to see what may be ultimately included in the final report. Finally, for issues with significant risks, this provides an opportunity to take immediate action.

A memo from senior management to key site personnel prior to the audit emphasizing their need to cooperate and participate can help make the on‐site activities proceed smoothly.

During preaudit activities, the lead auditor should ask the site contact to ensure that sufficient on‐site working space and resources are provided for the audit team. This includes a conference room or office of sufficient size, telephone, internet access, photocopying support, and document access. Bringing in meals should be considered to increase efficiencies

The method(s) of information and data collection during the audit should be determined before the site visit. This typically includes the preparation of forms and even audit notebooks that contain the forms. The forms should be designed to capture information from interviews, document reviews, visual observations. With management system audits, a typical form is called a “nonconformance” or “corrective action” form. These are used to capture the various types of objective evidence upon which an audit finding is based.

Before arriving on‐site, there should be an understanding of any site‐specific security, security‐clearance, PPE, or OH&S training needs.