ISO 9001 Lead Auditor Training

Module 3   ISO 9001 Quality Management System Audits 

3.7 Principles of ISO 9000 Auditing
QMS auditors must adhere to the following principles and attributes, based on ISO 19011:

Principles relating to auditors:

3.7.1 Ethical Conduct is the foundation of professionalism. It includes auditor behavior that reflects trust, integrity, confidentiality and discretion.

3.7.2 Fair Presentation is the obligation to report truthfully and accurately:
• Audit activities through – audit findings, conclusions and reports
• Significant obstacles encountered
• Unresolved diverging opinions between auditee and audit team

3.7.3 Due Professional Care is applying diligence and judgment in auditing
Auditors must exercise care related to the importance of the task and the confidence placed in them by the auditee and other interested parties. Having the necessary competence is an important factor.
Principles relating to the audit:

3.7.4 Independence forms the basis for impartiality of the audit and objectivity of the audit conclusions. Auditors must:
• Be independent of the activity being audited
• Be free from bias and conflict of interest
• Maintain an objective state of mind throughout the audit process
• Ensure that audit findings and conclusions will be based only on the audit evidence

3.7.5 Evidence based approach is the rational method for reaching reliable and reproducible audit conclusions in a systematic audit process. Audit evidence must:
• Be verifiable
• Be based on samples of the information available (since the audit is conducted during a finite period of time and with finite resources)
• Ensure that proper use of sampling is made, to contribute to the confidence that can be placed on the audit conclusions

Additionally, ISO 9001 QMS Auditors must be:
• Be open-minded and mature
• Possess sound judgement, analytical skills, and tenacity
• Have the ability to perceive situations in a realistic way
• Understand the role of individual units within the overall organization
• Understand complex situations from a broad perspective

The auditor must be able to apply these attributes in order to:
1. Fairly obtain and assess objective evidence.
2. Remain true to the purpose of the audit without fear or favor.
3. Constantly evaluate the effects of audit observations and personal interactions.
4. Treat participating personnel in a way that will best achieve the audit objective.
5. React with sensitivity to conventions of the area where the audit is performed.
6. Perform the audit process without deviating due to distractions.
7. Commit full attention and support to the audit process.
8. React effectively in stressful situations.
9. Arrive at generally acceptable conclusions based on audit observations.
10. Remain true to the conclusion despite pressure to change not based on evidence.

ISO 9001 auditor training - Auditors must be open-minded and base decisions on objective evidence. They cannot assume, feel, or impose their views. Remember that ISO 9001 is interpretative, not prescriptive. There are many ways to implement a requirement to achieve effective control. Keep an open mind. Don’t jump to conclusions.

Other useful attributes:
Other desirable personal attributes that an ISO 9000 auditor may possess include being polite, punctual, practical, principled, persevering, industrious, positive, and prepared. Be mature, have sound judgement, be tenacious, be perceptive and realistic.

ISO 9001 Auditor Training - Maturity comes from education, understanding, and experience. Sound judgment and analytical skills are gained through research and experience in interpreting and applying the requirements of the standard. Learn from experienced auditors. Take notes of their audit evaluation techniques.
 
Tenacious does not mean digging until you find a nonconformance. It refers to your ability to stay focused to the audit objective and scope, in spite of distractions. Perceptive means being alert to changing circumstances or concerns. Realistic is being pragmatic. Evaluate the risk. How serious is it? What is the probability of occurrence?

Very few organizations are alike. They have different products, processes, management structures, culture, and environment. Auditors must learn to quickly gage these factors to determine to what extent they will facilitate or hinder conducting the audit.

3.7.6 Auditor “Independence”  - Supplementary notes
• Auditors must be free from bias and influence
• They cannot audit their own work
• All participants in an audit must respect the integrity and independence of the auditors

From a first party perspective, internal auditors cannot audit their own work. They must be selected to perform impartial and objective audits.
 
ISO 9000 Training - From a second or third party perspective, independence may be jeopardized if the auditors have a business or other association with the second or third party company that may influence their objectivity, or they own shares in the company to be audited, or their spouse or relative works there.

Some Registrars require auditors to sign a Non-Conflict of Interest statement. This is done generally or specifically for each audit assignment.

"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.