Common mistakes during audits (and how to avoid them)

An audit is the time when organisations show how they have designed and controlled processes. Yet in practice, certain errors recur regularly. These are often easily preventable - provided they are recognised in time. In this article, we list the most common pitfalls and give tips on how to start an audit well-prepared. 

1. Insufficient preparation

One of the most common mistakes is poor preparation. Documentation is incomplete, measures are not demonstrable or employees involved are not properly aware of their roles. 

Tip:
Make sure your internal processes are well established, up-to-date and easily explained. Plan internal consultations with relevant departments in advance so everyone knows what is expected. 

2. OK only on paper

Some organisations focus mainly on drafting policies and protocols, but fail to make them live in practice. The audit then reveals that employees do not know the procedures or do not apply them. 

Tip:
Policy is the starting point, but implementation and compliance are decisive. Ensure awareness and assurance within the organisation, e.g. through periodic training or internal checks. 

3. Outdated or inconsistent documentation

Auditors often come across documents that are not up-to-date or do not match. Consider versions of an information security policy that do not match the risk register or actual measures. 

Tip:
Work with version control and a fixed person responsible for keeping documentation up to date. Check in advance that all documents are aligned in terms of content. 

4. Unclear responsibilities

When it is not clear during an audit who is responsible for what, it leads to confusion. Tasks and responsibilities are then not properly defined or communicated. 

Tip:
Use a RACI model or role matrix to clarify responsibilities. Make sure these are also known within the organisation. 

5. No structural follow-up of findings

Improvement measures are noted but not or only partially followed up. This can lead to critical comments or even loss of certification in a re-audit. 

Tip:
Work with an improvement register that tracks measures, responsibilities and deadlines. Schedule periodic review moments to monitor progress. 

6. Being dependent on one person

In some organisations, a lot of knowledge and execution is concentrated in one employee. If that person is absent during the audit, a knowledge gap immediately arises. 

Tip:
Ensure knowledge sharing and back-up. Involve multiple colleagues in the process and clearly define procedures. 

Conclusion 

Most audit failures are well preventable with a structured approach, clear communication and regular maintenance of documentation and awareness. DigiTrust helps you do this by conducting audits objectively, carefully and with attention to your context. This way, certification not only contributes to compliance, but also to actual improvement.