ISO 9001 Lead Auditor Training

Module 3   ISO 9001 Quality Management System Audits 

3.5   Benefits of Quality Management System Audits

• Provides information for management review
• Demonstrates senior management commitment
• Improves personnel awareness, participation, and motivation
• Provides opportunities for continual improvement
• Improves customer confidence and satisfaction
• Increases operational performance

Audit results are a major input to the management review process. Management must take appropriate actions based on the review of quality system strengths, weaknesses, and opportunities for improvement.
The allocated time and ISO 9001 auditor training for conducting internal audits demonstrates top management commitment.

If the purpose of the audit is properly communicated, and employees realize that the audit is not an evaluation of personal performance, they are more likely to discuss weak areas and opportunities for improvement. This should lead to improvement in operational performance and improved customer satisfaction.

3.6 The Auditor within the Audit System
All systems in an organization have to be designed and made to work by people. The audit system is no different. It must have procedures and training to advise the auditor what the role requires, and also what and who qualifies or authorizes the auditor to do the work.

An auditor is defined by ISO 19011 as a person with the competence to perform an audit. To perform an audit, the auditor must be authorized for that particular audit. An ISO 9001 lead auditor is an auditor designated to manage an audit.

3.6.1 Auditor Responsibilities
The Auditor has the following responsibilities:

• Support the team leader
• Be prepared
• Participate at opening and closing meetings
• Carry out assigned tasks
• Keep to the timetable and audit scope
• Document and support all findings
• Keep team leader and auditee informed
• Safeguard all documents
• Maintain confidentiality
• Be objective and ethical
• Verify corrective actions (if assigned as the auditor)

3.6.2 Lead Auditor Responsibilities
In addition to the auditor’s responsibilities, the ISO 9000 lead auditor must possess management capabilities that include:

• Assisting in team selection and briefing the team
• Responsibility for planning and managing all phases of the audit
• Representing the audit team with auditee
• Controlling conflicts and handling difficult situations
• Conducting and controlling all meetings with team and auditee
• Making decisions on audit issues and quality system
• Reporting audit results without delay
• Reporting major obstacles encountered
• Reporting critical nonconformities immediately
• Possessing effective communication skills

The Lead Auditor must balance the on-site audit workload so that there is sufficient time to conduct these managerial tasks.

3.6.3 Client
The client is a person or organization requesting the audit. The client may be:

• The auditee wishing to have its quality system audited
• A customer wishing to audit the quality system of a supplier
• The Registrar selected to carry out an independent audit
• A regulatory body authorized to determine conformity

3.6.4 Auditee
The Auditee is an organization to be audited. The auditee could be a company or one of its manufacturing or service facilities. The client determines the audit scope and objective.

"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.