ISO 9001 Lead Auditor Training

Module 6 Conducting On-site Activities

6.1.3 Defining The Roles And Responsibilities Of Audit Participants
The audit proper can now begin. At any point in the audit, the number of people participating in an audit group may be quite numerous and include:

6.1.3.1   Audit Team
• Leader and member(s)
• Trainee Auditor and trainee Lead Auditor
• RAB Provisional Auditor, Observer
• Interpreter, Expert
• Witness

6.1.3.2   Auditee
• Guide
• Department manager and staff
• Observers, Trainees
• Consultant

1. ISO 9001 Auditor Training - It is in the team leader's interest to keep the number of people in such a group to a minimum, but with patience, good management and a clear idea of the audit objectives, the auditors can carry out the audit with even a large following.

2. It must be made quite clear to all in the party that only two people should speak during the audit: the auditor and the person being interviewed at the time.

3. The team members carry out the audit as per the audit plan and support the lead auditor. The team leader manages the audit team and also shares in the auditing workload.

4. Observers do not participate in the audit. They can only watch the audit, take notes as necessary, and clarify issues at the audit team meetings.

5. If interpreters are needed, then the Registrar should preferably bring them in. Caution should be exercised when the auditee provides the interpreter.

6. Experts may be used when auditing a highly specialized business. Their role is not to audit, but to provide technical guidance on products, processes, and activities.

7. Witnesses may be from the RAB, regulatory, customer, or legal agencies. Their role is not to audit the auditee, but to witness the audit process conducted by the Registrar audit team and provide relevant feedback.

8. From the auditee side, guides take audit team members to the specific parts of the organization and introduce auditors to various auditees at the scheduled times. They should ensure that the audit team is aware of and conform to the safety and security rules of the organization. They should not participate in the audit interview unless invited to do so by the auditor, perhaps to clarify a question or assist in collecting information. They should take notes and witness the audit observations. Observers and trainees must not participate in the audit interview, but should take notes to witness or learn.

9. Consultants must declare their relationship with the auditee and must not participate in any of the audit activities, unless permitted to do so by the team leader.

6.1.3.3  One/Two Person Teams
One auditor carries out most audits, yet these audits are quite successful and satisfactory to all parties. It is very typical in internal audits (first party) for the audit to be performed by one person. It is just as typical in third party audits carried out for the purposes of registration for the auditors to be operating individually. Keep in mind that using one-person teams is more cost effective for the client.

ISO 9000 Auditor Training - In the past, in many 2nd party and 3rd party audits, it was more typical to have two or more persons in a team. In a typical audit situation, the team leader has to direct his or her attention to the department representative and at the system being audited, while following a particular line of questioning. The second person in an audit has more freedom. They can watch what is going on, not just at the point of audit, but also in peripheral areas. Their perception of events will often be broader than that of the team leader.

They are, therefore, often able to comment to the team leader on the expressions and reactions of the auditees, on the value or otherwise in pursuing a particular line of questioning, and possibly on other aspects outside the team leader's range of vision, that would merit a follow up. Both auditors will take notes, and can therefore compare them. If need be, they can corroborate one another's notes in highly political audits. Auditing can also be quite tiring. At selected periods during an audit, a good second auditor can take over as team leader and give the team leader a rest.

Using more than one person may also be of value to the auditee. Interplay during an audit between two auditors working together can be very effective in gaining information. Audits can also be very time consuming and the second person can act as timekeeper, reminding the team leader periodically of the time allocated to a given area.

ISO 9001 Auditor Training - Where the team leader is not familiar with the industry or technology, the second auditor may be chosen on the basis of experience in that kind of environment. In cases where groups of two or more auditors are used, it is advisable for one of those group members to be appointed team leader who will be responsible for the overall planning of the audit, as well as, for the control of the opening and closing meetings. This person would also prepare the audit summary report.

Auditors are often credited with being incredibly “lucky”. This is often not luck, but good auditing. Pairs of good auditors tend to cover more ground because they complement and support each other.

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