Section 15 - ISO 19011

Auditor Competence & Evaluation  ISO 19011 Section 15

  General:

Auditor competence is important in order to have confidence and reliance in the audit process. This competence is based on the demonstration of:

- The auditor's personal attributes, and

- The ability to apply the knowledge and skills gained through the education, work experience, auditor training and auditing experience
Auditors develop, maintain and improve their competence through continual professional development and regular participation in audits. A process for evaluation of auditors and audit team leaders should be implemented.

Personal attributes:

Auditors should possess personal attributes to enable them to act in accordance with the principles of auditing described in Section 2 of our discussion of ISO 19011:2002

An auditor should be:

a) Ethical, (i.e. fair, truthful, sincere, honest and discreet),

b) Open-minded, (i.e. willing to consider alternative ideas or points of view),

c) Diplomatic (i.e. tactful in dealing with people),

d) Observant (i.e. actively aware of physical surroundings and activities),

e) Perceptive (i.e. instinctively aware of and able to understand situations),

f) Versatile (i.e. adjusts readily to different situations),

g) Tenacious (i.e. persistent, focused on achieving objects),

h) Decisive (i.e. reaches timely conclusions based on logical reasoning and analysis), and

i) Self-reliant (i.e. acts and functions independently while interacting effectively with others).

Knowledge and skills:

Generic knowledge and skills of quality management system and environmental management system auditors

Auditors should have knowledge and skills in the following areas:

a) Audit principles, procedures and techniques to enable the auditor to apply those appropriate to different audits and ensure that audits are conducted in a consistent and systematic manner. An auditor should be able to:

- apply audit principles, procedures and techniques,

- plan and organize the work effectively,

- conduct the audit within the agreed time schedule,

- prioritize and focus on matters of significance,

- collect information through effective interviewing, listening, observing and reviewing documents, records and data,

- understand the appropriateness and consequences of using sampling techniques for auditing,

- verify the accuracy of collected information,

- confirm the sufficiency and appropriateness of audit evidence to support audit findings and conclusions,

- use working documents to record audit activities,

- prepare audit reports,

- maintain the confidentiality and security of information, and

- communicate effectively, either through personal linguistic skills or through an interpreter.

b) Management system and reference documents to enable the auditor to comprehend the scope of the audit and apply audit criteria. Knowledge and skills in this area should cover:

- the application of management systems to different organizations,

- interaction between the components of the management system,

- quality or environmental management system standards, applicable procedures or other management system documents used as audit criteria,

- recognizing differences between and priority of reference documents,

- application of the reference documents to different audit situations, and

- information systems and technology for authorization, security, distribution and control of documents, data and records.

c) Organizational situations to enable the auditor to comprehend the organization’s operational context. Knowledge and skills in this area should cover:

- organizational size, structure, functions and relationships,

- general business processes and related terminology, and

- cultural and social customs of the auditee.

d) Applicable laws, regulations and other requirements relevant to the discipline to enable the auditor to work within, and be aware of, the requirements that apply to the organization being audited. Knowledge and skills in this area should cover:

- local, regional and national codes, laws and regulations,

- contracts and agreements

- international treaties and conventions, and

- other requirements to which the organization subscribes

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