American National Standards Institute (ANSI) AUDIT PROGRAM
1. What is ANSI?
ANSI is a nonprofit, privately funded membership organization that coordinates the
development of U.S. national voluntary consensus standards and is the U.S. member body
to the non-treaty international standards bodies such as the International Organization of
Standards (ISO) and, through the United States National Committee, the International
Electrotechnical Commission (IEC). ANSI serves both the private and public sectors’
need for voluntary standardization. The voluntary standards system contributes to the
overall health of our economy and the competitiveness of U.S. industry in today’s
changing global marketplace.
The Institute was founded in 1918, prompted by the need for an “umbrella” organization
to coordinate the activities of the U.S. voluntary consensus standards system and
eliminate conflict and duplication in the development process. For over seventy years,
this system has been successfully administered by the private sector, through ANSI, with
the cooperation of federal, state and local governments. The Institute serves a diverse
membership of over 1400 companies, 250 professional, technical, trade, labor and
consumer organizations and some 40 government agencies. Standards exist in all
industries, including safety and health, telecommunications, information processing,
petroleum, medical devices, etc.
ANSI does not itself develop American National Standards; rather it facilitates
development by providing the structure within which standards can be developed and
consensus can be achieved. ANSI is the only accreditor of standards developers in the
U.S., and ANSI is the body that approves standards as American National Standards.
ANSI approval of these standards is intended to verify that the principles of openness and
due process have been followed in the approval procedure and that a consensus of those
directly and materially affected by the standards has been achieved. The voluntary
standards system in the United States consists of a large number of standards developers
that write and maintain one or more national standards. The Institute ensures that its
guiding principles -- consensus, due process and openness -- are followed by these
standards developers through the accreditation process and the Audit Program.
2. ANSI Audit Program
The actual implementation of the ANSI Audit Program for all ANSI-accredited standards
developers took place in 1996. The Audit Program is designed to enhance the integrity of
the voluntary standards system and increase the value of the American National Standard
designation. The first audit was conducted on April 1-2, 1996.
The authority for ANSI to audit accredited standards developers is contained in the ANSI
Procedures for the Development and Coordination of American National Standards. The
ANSI Auditing Policies and Procedures were approved by the ANSI Board of Directors
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on March 22, 1995. Since that time, the procedures have been streamlined and clarified
as implementation issues have arisen and were addressed.
The purpose of the ANSI Audit Program is to confirm adherence by standards developers
to the criteria for accreditation and to confirm that these developers’ procedures and
practices continue to be consistent with their approved procedures and current ANSI
requirements. The Audit Program also is intended to increase the level of credibility and
the effectiveness of due process for all persons who are directly and materially affected by
the development of a proposed American National Standard. In addition, auditing
supports and strengthens the voluntary consensus standards system and enhances the
reputation and integrity of ANSI-accredited standards developers. It provides an
independent mechanism for “checks-and-balances” in a system that is in some ways selfpolicing.
Auditing also assists standards developers in identifying areas where efficiencies can be
realized and where potential problems may develop. When appropriate,
recommendations are made by the auditors to improve efficiency and correct deficiencies.
The ANSI Audit Program is an effective management tool for the developer and for the
ANSI Executive Standards Council (ExSC) which is the accrediting body. It provides
them with information regarding how effectively and efficiently the various standards
processes are working and if the processes are working as intended.
One important benefit derived from the Audit Program is the education of the auditee on
relevant policies and procedures. For example, an audit may note that in some instances
non-compliance with policies and procedures is due to the auditee’s lack of awareness or
full understanding of the requirements. This may result in varied or incomplete
implementation of procedures. The Audit Program is serving as a mechanism for
highlighting and explaining the essential components of the ANSI requirements, and the
ways in which those requirements can be most efficiently implemented. This focus
results in an opportunity for developers to reconsider and perhaps reengineer their
processes to meet all of the ANSI requirements while minimizing the cycle-time
associated with the development and approval of American National Standards.
Audits for accredited standards developers who currently have approved American
National Standards will be regularly scheduled at a minimum of once every five years
unless it is deemed necessary to conduct one sooner. Initial audits will be scheduled after
the ANSI Board of Standards Review (BSR), which is the entity charged with approving
proposed American National Standards, approves the first standard(s) submitted by an
accredited standards developer following accreditation. Thereafter, regular audits will be
scheduled once every five years.
The auditing process extends to all ANSI-accredited standards developers regardless of
the method they use. It also includes the more frequent audits of those accredited
standards developers who have been delegated the authority to apply the ANS designation
to their standards without review by the Board of Standards Review (BSR).
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The ANSI audit includes a review of the operations of ANSI-accredited standards
developers as they relate to standards development and associated activities, including
continuity of administrative oversight and support of the standards activity. A sampling
of operations and documents is used to obtain a representative review. The scope of the
audit includes 10% of the standards designated as American National Standards (i.e., new
standards, reaffirmations and revisions) since the last audit with minimum of five
standards (or all standards if there are fewer than 5) up to 40 standards, unless otherwise
warranted. Audits do not involve the accounting or financial aspects of standards
developers’ operations. Audits take into consideration the practices, actions, records and
reports of accredited standards developers in implementing their operating procedures to
comply with ANSI criteria, rules, procedures and requirements including, but not limited
to, the following items:
1.
2.
3.
Criteria for Accreditation
Due Process Requirements
Criteria for Approval and Withdrawal of American National Standards
Standards developers are responsible for the costs associated with conducting the audits.
ANSI makes every effort to keep the costs of an audit as low as possible. Among other
things, ANSI attempts to schedule audits for standards developers in the same geographic
location consecutively to reduce travel costs and uses trained consultants who can
complete the audits within projected time periods. In addition, ANSI is committed to
working with each standards developer in an effort to schedule an audit at an optimum
time and to tailor it if necessary to best meet the standards developer’s needs.
An audit team and leader is appointed by the Audit Director for each audit. The audit
team consists of one to three individuals, selected from an ANSI-organized pool of
available and qualified people. An audit team member may be replaced by the Audit
Director with or without cause.
Audit Consultants are required to have the following qualifications:
1. Experience in, and knowledge of, the voluntary consensus standards system
including ANSI criteria for accreditation, due process and consensus.
2. General knowledge of auditing principles and methods obtained through any
combination of experience, education or ANSI training.
3. The ability to act objectively and independently.
4. The ability to analyze information and to express findings clearly, concisely,
and in a timely manner.
The Audit Director does not appoint auditors to an audit team who have a known conflict
of interest that may affect their ability to perform an unbiased audit. Appointed auditors
notify the Audit Director of any real or apparent conflict of interest as soon as practicable
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after notification of their appointment. Accredited standards developers may notify ANSI
if they believe a proposed audit team member has a conflict of interest.
An ANSI audit consists of four phases. They are as follows:
1. Preparation

Initial contact, scheduling and cost estimates.

Audit questionnaire provided to developer to complete and return to lead auditor.

Information gathering and review of auditee’s procedures, questionnaire and all
relevant information that pertains to the audit.

Pre-audit conference with auditee (via telephone). The conference is intended to
confirm that the audit will take place in the scheduled time frame. Additionally,
clarification of the scope and content of the audit is provided. The conference allows
ANSI the opportunity to provide the auditee with any questions which will help speed
up the process. The conference also provides an opportunity for the auditee to ask
any questions, address any concerns the auditee may have and to highlight any
standards the auditee would like ANSI to review during the audit.
2. Conduct of Audit

An audit is conducted on-site or via mail. The same documentation is reviewed in
either case. Standards developers with a small number of standards may qualify for a
mail-in audit. Auditors are required to use ANSI-developed work papers to document
their findings, observations and suggestions. The use of standardized work papers
and report templates, developed by the Audit Director, ensures a high degree of
consistency, thoroughness and quality.

Informal post-audit conference for on-site audits. This provides an opportunity for
the developer and the auditor(s) to clarify issues that may arise during the course of
the audit and to ensure that the auditor’s understanding of the implementation of the
procedures is consistent with that of the auditee’s.
3. Post-Audit

Development of audit report with proper attachments.

Post-Audit Conference. This conference is used to discuss findings, observations and
suggestions with the auditee via a telephone conference call.

Transmit audit report to auditee. The audit report includes a summary of the
procedures used by the accredited standards developer, findings identified by the
auditor, observations regarding procedural implementation issues and suggestions for
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improving observed/audited processes. The auditee is required to respond within
thirty days of receipt of the report. The auditee’s response should include plans and a
time-table for corrective action related to any findings contained in the audit report.
4. Audit Report Approval

Audit report and response is reviewed and the audit is closed unless other action is
deemed necessary by the ANSI Executive Standards Council which is the reviewing
body.
Conclusion
The ANSI Audit Program is intended as a quality assurance review of the auditee’s
compliance with its accredited procedures and current ANSI requirements. Additionally,
it is intended, when appropriate, to offer suggestions on ways for the auditee to change
the implementation of their procedures to increase the efficiency of their process.
BIOGRAPHY
Jay Moskowitz, Director, ANSI Audit Program
Jay Moskowitz was hired by ANSI in May of 1995 to implement a brand new standards
developer Audit Program. The ANSI Audit Program is mandated to audit over 200
ANSI-accredited standards developers on a five-year cycle.
Prior to joining ANSI he was employed by the U.S. Navy as a management analyst for ten
years. When working for the U.S. Navy, Jay was charged with managing its internal
review program. The program detected waste, fraud, abuse and mismanagement in the
Federal Government. Jay is experienced in conducting management control reviews and
internal audits.
He holds a Bachelor’s Degree in Business Management from Baruch College in New
York.
Jay can be contacted by calling (212) 642-8925 or by sending an E-mail to
jmoskowi@ansi.org.
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