Facility Maintenance, Asset Care & CMMS
This is an example guide. Actual audit expectations may vary by industry, regulatory body, and risk profile.
1. Asset Management – Example Expectations
What auditors usually want to see (example):
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A list of critical assets that matches what exists in the field
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Asset records that show location, status, and ownership
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Evidence assets are actively managed, not just listed
Example questions:
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“How do you know all critical assets are accounted for?”
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“How do you prevent duplicate or unmanaged assets?”
Industry notes:
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Manufacturing: focus on production-critical assets
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Healthcare: life-safety and clinical support equipment
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Facilities: HVAC, electrical, fire systems
2. Preventive Maintenance (PM) – Example Review
What this often looks like:
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PM schedules exist for critical assets
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PMs are running automatically, not manually tracked
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Overdue PMs are visible and explainable
Example questions:
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“How do you know PMs are being completed on time?”
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“What happens when a PM is late?”
Industry notes:
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Pharma/FDA: documented justification for late PMs
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Facilities: seasonal and weather-driven PMs
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Utilities: usage-based or meter-driven PMs
3. PM Compliance vs PM Effectiveness (Example)
Auditors may look for:
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PM completion rates
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Evidence PMs are adjusted based on failures
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A feedback loop between PMs and corrective work
Example evidence:
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PM frequency changes tied to failure history
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Notes explaining why a PM task was added or removed
Key takeaway:
High compliance with poor outcomes raises questions.
4. Work Orders – Example Traceability
What “good” looks like:
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Work orders move through clear statuses
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Completed work orders include who did the work and when
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Supporting notes, labor, or parts are recorded
Example questions:
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“Show me the history of work on this asset.”
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“How do you prevent work from being closed without documentation?”
5. Service Requests – Example Control
Typical expectations:
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Service requests are tracked in one system
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Requests aren’t lost in emails or phone calls
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Requests are either approved, rejected, or converted
Example scenario:
- A department submits a request → maintenance reviews → work order is created (or justified not to)
6. Calibration (If Applicable) – Example Evidence
What auditors often ask for:
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A list of calibrated instruments
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Calibration intervals and due dates
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Completed calibration records
Example documentation:
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Pass/fail results
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Test point data or range calculations
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Performer and reviewer acknowledgement
Industry sensitivity:
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FDA / ISO labs: very high scrutiny
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Facilities: limited to specific safety instruments
7. Procedures & Checklists – Example Usage
What this may look like:
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PMs and calibrations reference documented steps
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Checklists match how work is actually performed
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Acknowledgements are used where required
Example questions:
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“How do you ensure technicians follow the approved method?”
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“What changes when a procedure is updated?”
8. Parts & Inventory – Example Oversight
Auditors may review:
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Availability of critical spares
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Parts tied to PMs or recurring repairs
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Evidence inventory supports maintenance strategy
Example risk area:
- Missed PMs due to unavailable parts
9. User Access & Controls – Example Review
Common expectations:
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User roles are defined
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Administrative access is limited
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Actions are traceable to individuals
Example question:
- “Who can change maintenance or calibration data?”
10. Change Control – Example Practices
What auditors like to see:
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PM changes documented
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Calibration interval changes justified
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Configuration changes controlled
Example explanation:
- “We increased this PM frequency after repeat failures.”
11. Reporting & Evidence – Example Readiness
Typical requests:
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PM completion reports
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Asset maintenance history
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Calibration history
Best practice:
- Reports are easy to generate and understood by more than one person
12. Exceptions & Deviations – Example Handling
Auditors expect:
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Late or missed work to be visible
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Explanations documented
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Corrective actions tracked
Key insight:
Documented exceptions show control—not failure.
13. Field Reality Check – Example Walkthrough
What often happens:
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Auditor selects an asset
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Reviews its CMMS record
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Verifies it physically in the field
Alignment matters more than perfection.
14. Final Example Self-Check
Before an audit, try this:
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Pick one asset
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Review one PM
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Review one corrective WO/CM
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(If applicable) review one calibration
If the story is clear and consistent, you’re likely in good shape.
Audits aren’t about having zero issues.
They’re about proving you have process, visibility, and control—and that your CMMS reflects reality.
Many of these audit questions aren’t about doing more work—they’re about whether your CMMS tells a clear, defensible story.
When asset records, PMs, work orders, and exceptions all connect, audits become conversations instead of interrogations.
Thoughts:
• Which area gives you the most trouble during audits: PM compliance, documentation, or asset accuracy?
• What’s the first thing an auditor usually asks for in your facility?
• Do you prepare for audits continuously—or scramble right before?