| |
General
Auditor competence is important in order to have confidence and
reliance in the audit process. This competence is based on the
demonstration of:
- The auditor's personal attributes, and
- The ability to apply the knowledge and skills gained through the
education, work experience, auditor training and auditing experience
Auditors develop, maintain and improve their competence through
continual professional development and regular participation in
audits. A process for evaluation of auditors and audit team leaders
should be implemented.
Personal attributes
Auditors should possess personal attributes to enable them to act in
accordance with the principles of auditing described in Section 2 of
our discussion of ISO 19011:2002
An auditor should be:
a) Ethical, (i.e. fair, truthful, sincere, honest and discreet),
b) Open-minded, (i.e. willing to consider alternative ideas or
points of view),
c) Diplomatic (i.e. tactful in dealing with people),
d) Observant (i.e. actively aware of physical surroundings and
activities),
e) Perceptive (i.e. instinctively aware of and able to understand
situations),
f) Versatile (i.e. adjusts readily to different situations),
g) Tenacious (i.e. persistent, focused on achieving objects),
h) Decisive (i.e. reaches timely conclusions based on logical
reasoning and analysis), and
i) Self-reliant (i.e. acts and functions independently while
interacting effectively with others).
Knowledge and skills
Generic knowledge and skills of quality management system and
environmental management system auditors
Auditors should have knowledge and skills in the following areas:
a) Audit principles, procedures and techniques to enable the auditor
to apply those appropriate to different audits and ensure that
audits are conducted in a consistent and systematic manner. An
auditor should be able to:
- apply audit principles, procedures and techniques,
- plan and organize the work effectively,
- conduct the audit within the agreed time schedule,
- prioritize and focus on matters of significance,
- collect information through effective interviewing, listening,
observing and reviewing documents, records and data,
- understand the appropriateness and consequences of using sampling
techniques for auditing,
- verify the accuracy of collected information,
- confirm the sufficiency and appropriateness of audit evidence to
support audit findings and conclusions,
- use working documents to record audit activities,
- prepare audit reports,
- maintain the confidentiality and security of information, and
- communicate effectively, either through personal linguistic skills
or through an interpreter.
b) Management system and reference documents to enable the auditor
to comprehend the scope of the audit and apply audit criteria.
Knowledge and skills in this area should cover:
- the application of management systems to different organizations,
- interaction between the components of the management system,
- quality or environmental management system standards, applicable
procedures or other management system documents used as audit
criteria,
- recognizing differences between and priority of reference
documents,
- application of the reference documents to different audit
situations, and
- information systems and technology for authorization, security,
distribution and control of documents, data and records.
c) Organizational situations to enable the auditor to comprehend the
organization’s operational context. Knowledge and skills in this
area should cover:
- organizational size, structure, functions and relationships,
- general business processes and related terminology, and
- cultural and social customs of the auditee.
d) Applicable laws, regulations and other requirements relevant to
the discipline to enable the auditor to work within, and be aware
of, the requirements that apply to the organization being audited.
Knowledge and skills in this area should cover:
- local, regional and national codes, laws and regulations,
- contracts and agreements
- international treaties and conventions, and
- other requirements to which the organization subscribes
Generic knowledge and skills of audit team leaders
Audit team leaders should have additional knowledge and skills in
audit leadership to facilitate the efficient and effective conduct
of the audit. An audit team leader should be able to:
- To plan the audit and make effective use of resources during the
audit
- Represent the audit team in communications with the audit client
and auditee
- Organize and direct audit team members
- Provide direction and guidance to auditors-in-training
- Lead the audit team to reach the audit conclusions
- Prevent and resolve conflicts
- Prepare and complete the audit report
Specific knowledge and skills of QMS auditors
QMS auditors should have knowledge and skills in the following
areas:
a) Quality-related methods and techniques to enable the auditor to
examine quality management systems and to generate appropriate audit
findings and conclusions. Knowledge and skills in this area should
cover:
- quality terminology
- quality management principles and their application, and
- quality management tools and their application (for example
statistical process control, failure mode and effects analysis, etc)
b) Processes and products, including services to enable the auditor
to comprehend the technological context in which the audit is being
conducted. Knowledge and skills in this area should cover:
- sector-specific terminology
- technical characteristics of processes and products, including
services, and
- sector-specific processes and practices
Specific knowledge and skills of EMS auditors
Environmental management system auditors should have knowledge and
skills in the following areas:
a) Environmental management methods and techniques to enable the
auditor to examine environmental management systems and to generate
appropriate audit findings and conclusions. Knowledge and skills in
this area should cover:
- environmental terminology
- environmental management principles and their application, and
- environmental management tools (such as environmental
aspect/impact evaluation, life cycle assessment, environmental
performance evaluation, etc)
b) Environmental science and technology to enable the auditor to
comprehend the fundamental relationships between human activities
and the environment. Knowledge and skills in this area should cover:
- the impact of human activities on the environment
- interaction of ecosystems
- environmental media (e.g. air, water, land)
- management of natural resources (e.g. fossil fuels, water, flora
and fauna), and
- general methods of environmental protection
c) Technical and environmental aspects of operations to enable the
auditor to comprehend the interaction of the auditee’s activities,
products, services and operations with the environment. Knowledge
and skills in this area should cover:
- sector-specific terminology
- environmental aspects and impacts
- methods for evaluating the significance of environmental aspects
- critical characteristics of operational processes, products and
services
- monitoring and measurement techniques, and
- technologies for the prevention of pollution
The links below are excerpts from the our
e-book "Explanations and Definitions
for ISO 19011:2002"
Section 1. ISO 19011 Scope
reference and definitions
Section 2. ISO 19011 Principles of
auditing
Section 3. ISO 19011 Managing an
audit program
Section 4. ISO 19011 Audit program
implementation
Section 5. ISO 19011 Audit
activities
Section 6. ISO 19011 Preparing for
onsite activities
Section 7. ISO 19011 Conducting
onsite activities
Section 8. ISO 19011 What the
auditor is looking for
Section 9 ISO 19011 Audit
reporting
Section 10. ISO 19011 Audit
techniques
Section 11. ISO 19011 Audit path
Section 12. ISO 19011 Effective
communications
Section 13. ISO 19011 Sampling
Section 14. ISO 19011 Audit
completion and follow-up
This represents a summary of the section in ISO 19011:2002. It's
suggested that you obtain an actual copy of the standard to refer to
for auditing program purposes.
EBook
"Explanations and Definitions for ISO 19011:2002"
Online
ISO 9000 Introduction Course
Auditor Training:
Classroom
Online
Auditor Training
Courseware
What
is a Quality Management System?
What is ISO 9000?
What is ISO 9001?
What is ISO 9004? |
|
