Internal auditing is an activity that evaluates an organization’s processes to ensure compliance with standards. During this process, auditors identify compliance, nonconformities (commonly known as NCs), and opportunities for improvement, contributing to a broader understanding of process effectiveness.
As with all ISO standard requirements for Management Systems, organizations seeking certification must conduct internal audits, which is a primary requirement for achieving certification. This process is essential, and its absence can result in a major nonconformity, which not only jeopardizes certification but can also cause significant harm to your company.
In today’s article, we will explore key tools and essential criteria that are critical for training and developing auditors. These aspects are, in our view, indispensable. Let’s dive in!
Tools and Criteria for Auditor Training and Certification
By examining requirement 9.2 of internal audits—a requirement outlined in Annex SL and therefore present in most management system standards—it becomes clear that there is no mandatory requirement for internal auditors to hold specific certifications or be qualified in a particular field.
The organization itself is responsible for defining the level of competence and complexity required of an auditor. Therefore, the qualification criteria are at the discretion of your company, making it essential for auditors to be properly trained and developed to perform these tasks. A trained eye is crucial to identify areas for improvement and key risks, ensuring the efficiency needed to achieve significant results.
Currently, organizations have several tools at their disposal to train and develop internal auditors or select competent employees, such as:
- Academic qualifications and prior experience;
- Specialized courses;
- Participation in audit shadowing;
- Job rotation practices—a strategy that contributes to developing more versatile, skilled auditors who are prepared to conduct evaluations that add value to the organization;
- And others.
These tools ensure that the auditor is well-prepared to perform audit activities. It is also important to remember that auditors will evaluate all areas of the company. Therefore, if the auditor is an internal employee, it is essential that they do not audit their own department to guarantee impartiality and avoid conflicts of interest.
For this reason, it is ideal for organizations to train and develop at least more than one auditor.
The Importance of Execution Criteria in Auditing
It is common to observe a frequent requirement that organizations have a lead auditor with certification and specific training related to the organization’s product or service. This, in addition to in-depth knowledge of requirements, audits, and applicable standards.
By doing so, a necessary level of competence is established to ensure that the auditor possesses the appropriate skills and knowledge to conduct the audit effectively and in compliance with requirements. Once the required competency level is defined, the organization seeks to identify the most qualified employee with the potential to undergo training and, ultimately, become certified.
Defining clear criteria for selecting a lead auditor is crucial to ensure that audits meet the organization’s requirements. This professional must possess not only technical qualifications but also leadership skills and practical experience in people management.
A well-chosen lead auditor ensures that the audit process is conducted accurately, identifying risks and opportunities for improvement, and guaranteeing organizational compliance and performance!
Trained and Qualified Auditors: The Pillar of Compliance
For any organization, regardless of its size, it is essential to have trained and certified auditors to ensure that its processes meet established Quality standards!
Well-prepared auditors not only contribute to accurate compliance with standards but also play a vital role in ensuring that audit processes align with the company’s Quality standards. These trained and certified auditors ensure that regulations and requirements are efficiently met while also identifying valuable opportunities for improvement.
The lead auditor certification provides the necessary confidence for these professionals to perform their duties with impartiality, competence, and precision. Training and developing auditors is the key to ensuring that the organization achieves its performance goals and compliance with standards, minimizing risks and maximizing positive results.
