Solo Auditing or Use an Audit Team?
The Diploma in Quality Auditing, delivered by LMIT, will prepare you to become a Lead Auditor, but as the lead auditor on a project you may be required to use a team of auditors to assist with the audit.
In some cases a Lead Auditor will require extra auditors to assist in the carrying out of an audit. This may be due to a number of reasons.
The audit may be lengthy and extra auditors may be included to reduce the time needed to complete the audit.
There may be specific areas where expertise is required and so extra auditors with the specific expertise are required. For example, a lead auditor is required to audit a pharmaceutical company. If the Lead Auditor’s background in pharmaceuticals isn’t very strong, an auditor with a background in chemistry may be sourced to assist in the audit.
The scope and objectives of the audit will usually dictate the auditors required for the audit.
The Lead Auditor is typically an auditor with extensive experience. Registered third party auditors must meet criteria as described in ISO 19011:2003. Selection of a Lead Auditor for an audit is typically done based on their auditing qualifications, experience and area of expertise.
Other auditors are typically selected by complementing the Lead Auditor’s experience and background.
For example, an audit may be required in a construction and engineering firm.
The Lead Auditor was selected based on their extensive experience auditing constructions firms. The Lead Auditor was previously a Construction Manager for 10 years. However, the Lead Auditor doesn’t have a background in Engineering, nor have they audited many Engineering firms. So, another Auditor who is a qualified Engineer and has 15 years of experience in engineering is selected for the audit .
The Lead Auditor and Auditor will complement each other with their backgrounds and experience and ensure that the auditee experience is a value-added audit.
Audit team planning
Following the selection of the audit team members; the next step is to determine roles and responsibilities of each member throughout the audit.
Typically (although not always possible) the audit team will attend a meeting/discussion to develop an audit plan as doing this together ensures that roles and responsibilities of the audit team members are allocated at the same time and best use of audit time can be planned.
Lead auditor roles and responsibilities
The Lead Auditor is responsible for:
- Leading the team and deciding on allocation of audit activities
- Communicating with the auditee to confirm audit plans
- Monitoring the performance of auditors within the team
- Check for adequacy any checklists and other documented preparations of the audit team members
- Authorising the final report before being provided to the auditee
- Managing any conflicts between auditors and auditees
- Lead team meetings to discuss progress at regular intervals throughout the audit
- Decide upon any non-conformances or follow-up action required based on collated findings
- Conducting the entry and exit meetings
- Collating the findings of each auditor involved in the audit.
Auditor roles and responsibilities
All other auditors are responsible for:
- Participate in the planning of the audit
- Prepare for the audits
- Submit checklists to the Lead Auditor for review of adequacy
- Report findings and perceived non-conformances to the lead auditor within sufficient timeframes
- Provide any information requiring follow-up actions
- Attend and participate in team meetings to report on progress
- Conducting audit.
LMIT provides online training and qualifications for the Diploma of Quality Auditing, and Diploma in Quality Management. Contact LMIT today on 1800 819 651 !
Published by: LMIT