ISO 19011 - Section 15
Explanations in Plain English 

ISO 19011 - Section 15 - Auditor Competence & Evaluation

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

Additional explanations and definitions are included the ebook below.

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

Section 15. ISO 19011 Competence and evaluation of auditors

This represents a summary of the section in ISO 19011:2002. It's suggested that you obtain a copy of our ebook to refer to when auditing.

EBook "Explanations and Definitions for ISO 19011:2002

What are Quality Management Systems?

What is ISO 9000?

What is ISO 9001?

What is ISO 9004?

What is ISO 19011?

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