ISO 9001 Lead Auditor Training

MODULE 9 - Auditor Competence Requirements

9.1 General for ISO 9001 Lead Auditors
Confidence and reliance in the audit process depends on the competence of those conducting the audit. This competence is based on the demonstration of:
• Personal attributes
• The ability to apply knowledge and skills
• The gaining of knowledge and skills through:
  o Education
  o Work experience
  o Auditor training
  o Audit experience

ISO 9001 Lead Auditors develop, maintain and improve their competence through continual professional development and regular participation in audits.

9.2 Personal Attributes an auditor should be:
• Ethical – fair, truthful, sincere, honest, discreet
• Open-minded – willing to consider alternative ideas
• Diplomatic – tactful in dealing with people
• Observant – aware of surroundings and activities
• Perceptive – instinctively aware of and understands situations
• Versatile – be able to adjust to different situations
• Tenacious – persistent, focused on achieving objectives
• Decisive – reaches timely conclusions
• Self-reliant – functions independently

9.3 Knowledge and Skills
An auditor should have knowledge and skills in:

9.3.1 Audit principles, procedures and techniques:
• Apply audit principles, procedures and techniques
• Plan and organize work effectively
• Conduct audit within agreed time schedule
• Prioritize and focus on matters of significance
• Collecting objective audit evidence
• Understand sampling and its limitations
• Verify accuracy of collected information
• Evaluate adequacy of audit evidence and other factors affecting audit findings and conclusions
• Use work documents to record audit activities
• Maintain confidentiality and security of information
• Communicate effectively

9.3.2 Management systems and reference documents:
• Apply management systems to different organizations
• Interact between components of the management system
• Know QMS or EMS standards, applicable procedures and other documents
• Recognize difference and priority of reference documents
• Apply reference documents to different audit situations
• Information systems and technology for control of documents, data and information

9.3.3 Organizational situations:
• Organizational size, structure, functions and relationships
• General business processes and related terminology
• Cultural and social customs of the auditee
• Applicable laws, regulations and other requirements relevant to QMS or EMS disciplines
• Local, regional and national codes, laws and regulations
• Contracts and agreements
• International treaties and conventions
• Other requirements applicable to organization

9.3.4    Applicable laws, regulations and other requirements relevant to QMS or EMS disciplines:
• Local, regional and national codes, laws and regulations
• Contracts and agreements
• International treaties and conventions
• Other requirements to which the organization subscribes

9.3.4    Generic Knowledge and Skills Of Team Leaders
The audit team leader should be able to:
• Plan the audit and make effective use of resources
• Represent audit team in communication

9.3.5    Specific Knowledge and Skills Of ISO 9001 QMS Lead Auditors
• Quality related methods and techniques:
• Quality terminology
• Quality management principles and tools and their application
• Processes, products, including services:
• Sector specific terminology, processes and practices
• Technical characteristics of products, processes and services

9.3.6 Specific Knowledge and Skills Of EMS Auditors
- In environmental management methods and techniques:
• Environmental terminology
• Environmental management principles and their application
• Environmental management tools and their application (aspect/impact evaluation; life cycle assessment; performance evaluation)
- In environmental science and terminology:
• Impact of human activities on the environment
• Interaction of ecosystems
• Environment media (air, water, land)
• Management of natural resources
• General methods of environmental protection
- Technical and Environmental aspects of operations:
• 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 measuring techniques
• Techniques for the prevention of pollution

"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.