ISO 9001 Lead Auditor Training

Module 6 Conducting On-site Activities 

6.1.5.5    Review with Auditee
ISO 9001 clause 5.5.2 states the Management Representative must have the responsibility and authority to ensure that the processes of quality management system are established and maintained.

ISO 9001 Auditor Training - The Quality Manager handles this role in some companies. In other companies, a different position is given the above specific duty along with many other functional responsibilities. Whoever it is will probably be that person with whom the auditors made original contact to set up the audit and the one who organized the various arrangements in the company.

It is good practice, and is becoming customary, to allocate some time at the end of each day or at the beginning of the next day, in which to bring that person up to date with “nonconformities raised”, doubts, progress of the audit, and proposed changes to plan.

Such meetings generate rapport between the auditors and the management representative and can develop into useful a relationship where information can be exchanged that is of benefit to both parties. Remember that audits are not designed to find just nonconformities. Where conformity has been witnessed, this should also be reported.

6.1.5.6      Reaction of Auditees
If an experienced auditor cares to look back over several different types of audits they have done, the likelihood is they will be able to recall a whole range of auditee reactions they have experienced, from outright hostility to willing cooperation. The auditor has to be prepared to meet and deal with this range of reaction. In general, top management will set the “tone” by their general interest and involvement in quality assurance (or lack of it). Although it must be said that as organizations realize more and more the full benefits of ISO 9001, auditee reactions are very much on the decline and normally occur when faced by a negative auditor. Lets look at some possible reactions.

Authority - This can work both ways. Some auditees become protective of their departments or company and try to “browbeat” the auditor. The auditor must insist firmly, but politely, on being given respect (provided, of course, the auditor gives it first).

ISO 9000 Training - Some auditees feel “inferior” to the auditors, and because the auditors are a representation of authority, become nervous. The auditor must use patience and politeness, and where appropriate, be empathetic.

Antagonism  - For whatever reason, auditees may occasionally become hostile and aggressive towards the auditor. Naturally, the auditor must ignore any rudeness from the auditee. However, they may have to spend slightly longer in the area using patience, firmness, and politeness as their main defenses.

Diversionary tactics - These tactics can be many and varied. Anything that uses up time that was otherwise planned for auditing can be included here. People may sometimes be very well meaning, but if they spend a lot of time explaining things that the auditors have not asked them for, they must be politely stopped.

Videos about the company can be very interesting and sometimes useful, but if not relevant to the audit, should be avoided (as should the interesting machine or process). Auditees will sometimes appeal to your curiosity and want to show the “latest thing”.

Long lunches should also be avoided. They take up time to no great benefit to the audit, and most certainly, alcoholic beverages must be declined.

It is not always a deliberate ploy, but the guide or the departmental representative can waste a lot of time “just going off to get what you want”. The auditor should accompany the person, or perhaps arrangements can be made to get it later.

A lot of time can also be wasted while the guide answers the telephone, or involves the departmental representative in a lot of discussion about matters external to the audit. Sometimes, auditors are kept waiting for information, or for auditee representatives to appear, because they are on the telephone or in a meeting.

ISO 9001 Auditor Training - If this does happen, then above all do not get angry, be firm yet polite, refrain from critical comments and confrontation, continue with the audit plan and point out that there are many areas still to be covered in the remaining time. If the problem arises again, speak to the management representative.

Volunteered information - Auditors receive a lot of data during an audit. They hope to get the information they want in an effective manner. Sometimes, people give them information they have not asked for, maybe about a failure in part of the quality system. The auditor is now in a quandary. Do they follow up that lead now, later, or do they ignore it? It may be a “red herring”, taking up a lot of time and leading nowhere. It may be important and relate to the audit objective. Only experienced auditors will tend to make the right decision here. There is no right answer and it is just one of the many things an auditor has to consider while performing an audit.

Internal conflicts - Audits can be stressful on all involved and sometimes findings during an audit provoke an argument between members of the organization. The audit is not the place for this and the auditor needs to use a little tact in smoothing the situation, without getting involved, and continue with the audit. Seek objective evidence without being seen to take sides.

Continual challenge - The auditee has the right, and indeed the duty, to challenge auditors that reach conclusions on the basis of unsound information. This can happen where auditors are not fully briefed about contract conditions, product requirements, or where they stray from objective evidence. However, it is for the auditor to continually put up a strong and factual case for all conclusions reached so that the auditee accepts them.

Enlisting help - In some companies, the Quality Assurance staff often guides external auditors around during an audit and frequently a good rapport is developed. If the Quality Assurance people are having difficulty in getting the corrective action taken, they may “lead” the auditors to deficient areas. While not exactly volunteering information, the auditee is enlisting the (powerful) support of customer representatives.

The auditors may use this information by gaining facts (considering how to protect their sources) so that any nonconformities found are indisputable.

"Understanding ISO 9001" provides a detailed explanation of each ISO 9001 clause (requirements).

ISO 9001 FAQ provides answers to commonly asked questions about the ISO 9000 family of quality management standards.