What’s a Professional Auditor’s Role? Do’s and Don’ts for Auditors

Do’s and Don’ts for Auditors

Auditing is verifying an organisation’s management systems against specific criteria, which can be customer-related, ISO 9001, or NDIS Quality Indicator guidelines. An auditor is a person who conducts this verification.

While having the necessary experience and qualifications is crucial for embarking on a career as an auditor, there are additional aspects to consider. Becoming a true professional in this field requires adherence to specific practices. In this blog, we will explore important guidelines that auditors should adhere to and certain behaviors they should avoid. By following these straightforward tips, you will enhance your skills as an auditor and be able to conduct audits that are both effective and insightful

The Do’s of Being a Professional Auditor

Be on time with your audits

Keep the auditees updated about the day’s audit outcome

Auditees have the right to be informed about your observations as an auditor regarding any gaps identified. However, it's essential to recognize that what you perceive as an audit nonconformity may not necessarily align with the auditee's perspective for various reasons. Conducting a daily brief meeting before the formal close-out is a recommended practice for professional auditors to validate the validity of any identified nonconformities. This approach promotes dialogue, allowing auditees to provide input and clarification on the findings.

Verify nonconformities before completing the audit

Before disclosing any nonconformities in the formal closing meeting, a professional auditor will first verify them with the client's representative. Typically, senior managers attend the audit close-out meeting to be informed about the audit outcomes and their implications. It is important to note that the purpose of this meeting is not to request additional evidence. By this stage, your time with the client is concluding, and any lingering questions should have been addressed prior to the closing meeting. Failing to verify the findings earlier may lead senior managers within the organization to question the accuracy of your conclusions.

Use objective evidence to support nonconformities

The role of a professional auditor does not involve raising nonconformities solely to justify their presence. Instead, all nonconformities should be substantiated by strong, objective evidence. As per ISO 9000 standards, objective evidence refers to data that supports the existence or accuracy of something. In the context of audits, objective evidence typically comprises records, factual statements, or other relevant information that can be verified.

To accurately describe an audit nonconformity, it is advisable to follow these steps:

• Begin by asking, "What are the audit requirements?"
• Evaluate which aspects fail to meet the audit criteria.
• Utilize objective evidence to support the identified nonconformity

Be clear about the outcomes and consequences of the nonconformity

Ensure effective communication of the audit findings and their implications to the auditees. It is crucial that they are informed about the consequences of identified nonconformities and provided with guidance on the necessary actions to address them. As a professional auditor, it is your responsibility to clearly explain the audit process to the auditees and ensure their comprehension of it.

Communicate the result promptly

Timely delivery of the audit report to the auditees is crucial. Not only should you present the findings during the closing meeting, but it is also important to compile them in a formal report. Clients are eager to receive the report promptly so that they can promptly address any identified gaps revealed by the audit.

The Don’ts of Being a Professional Auditor

Don’t be rude

Don’t look for nonconformities

As an auditor, your primary responsibility is to ensure compliance. This message should be emphasized during the opening meeting. It is important to clarify that your objective is not to deliberately uncover nonconformities to validate your presence. Rather, your role is to assess compliance and provide evidence of any identified nonconformities. If you come across an issue during the audit that the auditees are eager to address and promptly fix, allow them the opportunity to do so.(applicable to low risk observations only)

Don’t be a consultant

The main focus of your work as an auditor is to evaluate compliance. In most cases, auditees have already prepared themselves and are ready for assessment. Your primary role is to assess their adherence to the audit criteria, such as ISO 9001 or NDIS Quality Indicator. It is important to note that your responsibility does not involve providing consultation on how to meet the audit criteria. As an auditor, your time on-site is limited to a few hours or days, which restricts your understanding of the organization's complete internal operations and challenges. Your purpose is not to offer advice on corrective actions, as they may not be suitable for the organization and fall outside the scope of your audit.

Don’t investigate the cause or cause of non-conformities

During your time on client sites, your presence will typically span only a few hours or days. Identifying the underlying causes of nonconformities can be a complex process. It requires a comprehensive investigation to understand the nature of the problem and determine appropriate corrective measures. In many instances, nonconformities may be linked to individual performance or require additional resources and actions to rectify the issue. It is important to note that providing recommendations for corrective action falls outside the scope of the audit. As an auditor, it is advisable to refrain from offering such recommendations.

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At core, LMS TRG is a compliance consulting and training organisation that builds and delivers powerful and practical products for people and businesses. Born and bred in Melbourne, Australia with an amazing team of expert auditors, consultants, and entrepreneurs.

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