ISO 9001 Lead Auditor Training

Module 3   ISO 9001 Quality Management System Audits 

3.8 ISO 9001 QMS Auditor Role
The auditors may have many roles depending upon whether they perform as an internal or external auditor. The scope and objective of the assignment must also be taken into consideration. Some of the key roles and issues are discussed below:

3.8.1 ISO 9001 3rd Party Auditor
• Must abide by Code of Conduct
• Cannot consult
• Maintain confidentiality

3.8.2 1st and 2nd Party Auditor
• Is the management interface
• May facilitate the documentation and implementation process
• May act as a guide during audits
• May interface with customer and external auditors

3.8.3 All Auditors
• Must maintain “independence” and confidentiality
• Exhibit professional behavior

3.8.4 External Auditors
The role of an external auditor is much more limited. They may provide interpretations of ISO 9001, but cannot consult on implementation or corrective action solutions. They can report audit findings and suggest opportunities for improvement.

3.8.5 ISO 9001 QMS Internal Auditors
Internal auditors are the management interface. They follow management’s directives and conduct internal audits on behalf of management. Internal auditors report audit findings to top management so the system can be improved.

ISO 9001 Auditor Training - Internal auditors may facilitate in the communication, documentation, and implementation of the system and communicate with the registrar or customers. They may also act as guides during audits by external auditors or customers. They know the facility and audit process, plus it provides a good learning opportunity.

They may consult as a resource for interpretation, as well as, facilitate in implementation of the requirements through provision of training and review of implementation steps. If they are directly involved in implementation, or take corrective actions, they should not audit the areas they implemented. The Registrar would likely view such activity as a conflict of interest.

Internal auditors cannot audit their own work and must remain impartial and objective. They must behave professionally and maintain confidentiality of information.

"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.