Role of a Lead Auditor & Requirements to become an ISO 9001 Lead Auditor

What is Lead Auditor?

One of the most demanded IT security job roles in today’s global market. A lead auditor is the one who is responsible for leading the audit team in a company. He or she prepares the audit plan, delivers conferences and submits audit reports at the top of quarter or year. Conducting audits is that the main responsibility of a lead auditor which must be done each day. In this article, we'll describe the role of a lead auditor, usually confining our views to ISO Lead Auditor Training. Let’s have a look at the responsibilities that fall in the plate of an ISO Lead Auditor. The role of an auditor is completed generally in 3 sections – the Planning phase, Audit phase, and Audit Reporting phase.

Planning Phase

As the term suggests, the planning phase involves the creation of the plan for an audit. In this method, numerous needs for the audit plan are processed. The planning section starts with the identification of the audit team members who are responsible for coverage of the audit. The elements to be audited and all the documents necessary for the plan should be identified. Besides identifying all the documents, the time frame to complete the audit should be decided. Also, each member will be assigned to their part of tasks and responsibilities. Members should ideally develop an individual checklist to ensure an effective process.

Audit Phase

The audit phase includes three stages – initiation, auditing, evaluation, and closure.

§  Initiation: The initiation phase includes meetings and process initiation with auditors and audit team members. The lead auditor should conduct meetings with team members discussing the scope, purpose, and process of an audit team. Along with this, the timeline is evaluated; if the auditing can be completed within the time processes.

§  Auditing: The actual audit is in place in this phase. The plan and checklist are executed here. In this phase, it will be evaluated if an implemented process is worth it or not. The objective data needs to be collected, examined and documented. After every data is audited, the lead auditor examines if it is acceptable and needs to be continued in the process.

§  Evaluation: This is the evaluating phase where the results are evaluated. The audit team will discuss the information collected and tally with the plan. The results are documented with reviews and the final corrective action request or change request is documented.

§  Closure: This is the closing phase where the lead auditor and members will discuss and formally close the audit process. During situations when corrective action plan couldn’t be provided due to lack of information can be put forward in such meetings.

Audit Report Phase

This is the the primary responsibility of a lead auditor. Information related to the audit is documented and an audit report is created. Typically, an audit report covers the information mentioned below.

§  Company profile for audit

§  Coverage of audit created in the planning phase

§  Time frame defined to complete the audit

§  Assignees with defined roles and responsibilities

§  Documentation of compliance and non-compliance activities

§  Audit results

§  Correction action request

§  Final observations of the audit

These are the phases that need to be led by a lead auditor. He or she needs to ensure that each member is delegated with their list of responsibilities and each of them is closing the same. Also, a lead auditor should be able to handle conflicts as auditing is always prone to a lot of conflicts. So, if you are going to pursue a career as a lead auditor, you are clear about your roles and responsibilities as one.

What are the requirements to become an ISO 9001 Lead Auditor?

Experience

A lead auditor must have experience in applying ISO principles, procedures and techniques in the auditing of a 9001 quality management system. They might also have quality assurance certification in a particular industry, such as aerospace or automobile manufacturing. There's no prescribed minimum number of years necessary before an auditor can become a lead auditor.

Certification

The next thing a candidate needs to become a lead auditor is to pass the Certified ISO 9001 Lead Auditor Training Auditor exam. The examination body is IRCA. The exam covers seven domains of competence, including principles of quality, QMS, auditing concepts, and the preparation, conduct, management, and closing of an ISO 9001 audit. Candidates are responsible for their training; there is no mandatory training course for the exam. The exam is in essay form and must be completed in three hours.

Auditing Skills

The lead auditor will need to acquire an in-depth understanding of the organization, its management structure and how they relate to the QMS. Additionally, the lead the auditor will need to interview senior management at the beginning and close of the audit, offer them feedback on their QMS and, as the ISO 9001 Auditing Practices Group puts it, “seek proof of their commitment” to ISO standards.

Management Skills

Because the lead auditor manages a team of auditors, he must also have management and leadership skills he has got to remember of the variety of expertise and skills among his team and divide the audit tasks consequently. For example, junior auditors may well be paired with an expert advisor among the team when working on additional complicated tasks. The lead auditor will be responsible for the performance management of his team. Also, he’ll get to manage the organization’s external ISO consultants if they're present throughout the QMS audit. The consultant is typically a third party who advises the organization on the implementation and operation of the QMS. According to the ISO9001 Auditing Practices Group, the lead auditor should make sure that consultants don’t compromise the audit itself.

EAS conducts IRCA Certified ISO 9001 LeadAuditor Training courses (QMS) across Qatar we can play in your efforts to achieve certification to it, feel free to contact us. To get started with the certification process, you can also request a quote.