7. Competence and evaluation of auditors

7.1 General
Confidence and trust in the audit process depends on the competence of those conducting the audit. This competence should be demonstrated by:
- Personal qualities, as described in Section 7.2, and
- The ability to apply knowledge and skills described in § 7.3, which are acquired through education, work experience, training and experience as auditors conduct audits as described in Section 7.4.
The concept of competence of auditors is shown in Fig. 4. Some of the skills described in § 7.3 are common for auditors of quality management systems and environmental management, and some - specific to the auditors on separate subjects.
The auditors develop, maintain and improve their competence through continuous training and regular participation in audits (see section 7.5).
The evaluation process of auditors and audit team leaders is described in Section 7.6.
The concept of competence is shown in Fig. 4
In Fig. 4 - The concept of competence

7.2 Personal qualities
Auditors must possess personal qualities that would give them an opportunity to act in accordance with the principles of auditing described in paragraph 4.
The auditor should be:
a) ethical, ie fair, truthful, sincere, honest and considerate;
b) open-minded, that is, willing to consider alternative ideas or points of view;
c) diplomatic, ie tactful in dealing with people;
d) observant, ie alive to experience their surroundings;
e) perceptive, ie intuitively understand and be able to understand the situation;
e) a flexible, ie, able to adapt quickly to different situations;
g) tenacious, ie constantly aiming to achieve the objectives;
h) decisive, ie, time to come to conclusions based on logical reasoning and analysis, and
i) independent, ie able to act and operate independently, while effectively collaborating with others.

7.3 Knowledge and skills
7.3.1 General knowledge and skills of auditors of quality management systems and environmental management systems
The auditors should have knowledge and skills in the following areas:
a) The principles, procedures and methods of audit, allowing the auditor to choose those which correspond to different audits and ensure a consistent and systematic audits.
The auditor should be able to:
- Apply the principles, procedures and methods of auditing;
- Effectively plan and organize work;
- To conduct an audit within the agreed time;
- To prioritize and focus on important issues;
- Gather information through successful interviews, observations and analysis of documents, including records and data;
- To understand the applicability and implications of using the sampling method for audits;
- To verify the accuracy of the information collected;
- Confirm the adequacy of and compliance with audit evidence to substantiate the observations and conclusions of the audit;
- Assess the factors that may affect the reliability of the observations and conclusions of the audit;
- Use the working documents for the registration activities of the Audit;
- Prepare audit reports;
- To protect the confidentiality and security of information;
- To communicate effectively on their own, using the knowledge of the language, or through an interpreter.
b) Management system and reference documents to enable the auditor to understand the extent of audit and apply audit criteria. Knowledge and skills in this area should include:
- The application of management systems for different organizations;
- Interaction between the constituent elements of the management system;
- Standards for quality management systems or environmental management systems, applicable procedures or other management system documents used as audit criteria;
- Understanding the differences between reference documents and the priority of certain documents;
- The use of reference documents to different situations in the audit process, and
- Information systems and technology adoption, security, mail and document management, data and records.
c) Organizational situations that allow the auditor to understand the situation in the manufacturing organization. Knowledge and skills in this area should include:
- The size, structure, functions and relationships within the organization;
- General business processes and related terms, and
- Cultural and social traditions of the organization being audited.
d) Applicable laws, regulations and other requirements relevant to the discipline, allowing the auditor to work with and understanding of the requirements that are applicable to the auditee. Knowledge and skills in this area should include:
- Local, regional and national codes, laws and regulations;
- Contracts and agreements;
- International treaties and conventions, and
- Other requirements with which the organization has agreed to.

7.3.2 General knowledge and skills of audit team leaders
Leaders of audit teams must have additional knowledge and skills in the management audit to ensure its effectiveness and efficiency. The head of the audit team should be able to:
- Plan the audit and effectively use resources in the audit process;
- Submit the audit team when dealing with the audit client and auditee;
- Organize and direct audit team members;
- Provide guidance and supervision of trainee auditors;
- To lead the audit team in reaching the conclusions of the audit;
- To prevent and resolve conflicts, and
- Prepare and draw up a report on the audit.

7.3.3 Specific knowledge and skills of auditors of quality management systems
The auditors of quality management systems must have the knowledge and skills in the following areas:
a) The methods and techniques associated with quality, allowing the auditor to assess the quality management system and generate the appropriate observations and conclusions based on our audit. Knowledge and skills in this area should include:
- The terminology in the field of quality assurance;
- Quality management principles and their application, and
- Quality management tools and their application (eg, statistical process control, failure modes and effects analysis, etc.).
b) Processes and products, including services that enable the auditor to understand the production situation in which audited. Knowledge and skills in this area should include:
- Terminology that is specific to this sector of the economy;
- Technical characteristics of processes and products, including services, and
- Processes and work practices specific to this sector of the economy.

7.3.4 Specific knowledge and skills of auditors of environmental management systems
The auditors of environmental management systems must have the knowledge and skills in the following areas:
a) Ways and methods of environmental management, allowing the auditor to evaluate the environmental management system and generate the appropriate observations and conclusions based on our audit. Knowledge and skills in this area should include:
- Terminology related to the environment;
- The principles of environmental management systems and their applications, and
- Environmental management tools (such as the assessment of environmental impacts / aspects of life cycle assessment, evaluation of environmental performance indicators, etc.).
b) Environmental science and technologies that enable the auditor to understand the fundamental relationship between human activities and the environment. Knowledge and skills in this area should include:
- The impact of human activities on the environment;
- The interaction of ecosystems;
- Components of the environment (eg air, water, earth);
- Management of natural resources (eg fossil fuels, water, flora and fauna) and
- Common methods of environmental protection.
c) Technical and environmental aspects of operations, allowing the auditor to understand the interaction of activities, products, services and operations of the audited entity and the environment. Knowledge and skills in this area should include:
- Terminology that is specific to this sector of the economy;
- Environmental aspects and impacts;
- Methods of assessing the importance of environmental aspects;
- Critical features of production processes, products and services;
- Methods of monitoring and measurement, and
- Technologies for the prevention of pollution.

7.4 Education, work experience, training and experience as an auditor of the audit
7.4.1 The auditor
Auditors must possess the following education, experience, training as an auditor and auditing experience.
a) They must have completed an education sufficient for the acquisition of knowledge and skills described in § 7.3.
b) They must have experience in contributing to improving knowledge and skills described in § 7.3.3 and 7.3.4. This experience must be received at the technical, leadership, or a special office, which provides decision-making, problem solving and communication with other employees in managerial positions and special, employees occupying similar positions, customers, and / or other interested parties.
Part of the experience must be received at the office, where the activities to promote the development of knowledge and skills in:
- Quality management for auditors of quality management systems, and
- Environmental management for auditors of environmental management systems.
c) They should be fully trained as an auditor, which promotes the knowledge and skills described in § 7.3.1 and also § 7.3.3 and § 7.3.4. Such training can be carried out organization which operates an auditor or a third party.
d) They must have experience in conducting audits in relation to the activities described in paragraph 6. This experience must be obtained under the control and guidance of an auditor possessing the competence of the audit team leader under the same discipline.
Note: The required amount of management and leadership in the audit process (in this paragraph and § 7.4.2, § 7.4.3 and Table 1) are given directly to the person responsible for the audit program and audit team leader. Management and leadership does not imply constant supervision and does not require appointment of someone solely for this task.

7.4.2 The head of the audit team
The head of the audit team should have additional experience in conducting audits to improve the knowledge and skills described in paragraphs 7.3.2. Additional experience should be acquired while working as head of the audit team under the management and direction of another auditor, the head of the competence of the audit team.

7.4.3 The auditors conducting audits of quality management systems and environmental management systems
The auditors of quality management system or environmental management systems auditors wishing to become a different discipline
a) should have training and experience necessary to acquire knowledge and skills in the second discipline, and
b) must conduct audits in the second discipline under the control and guidance of an auditor that has the competence of the audit team leader for the second discipline.
The head of the audit team for one discipline must meet the above guidelines in order to become the head of the audit team for a different discipline.

7.4.4 The level of education, work experience, training and experience as an auditor audits
The organization should determine the level of education, experience, training and experience as an auditor of the audit, the auditor required to obtain the knowledge and skills of the audit program, during the execution of steps 1 and 2 of the evaluation process described in Section 7.6.2.
Experience has shown that the levels shown in Table 1, refer to the auditors conducting certification or similar audits.

Table 1

An example of the level of education, work experience, training as an auditor and experience in conducting audits to auditors conducting certification or similar audits

7.5 Maintain and enhance the competence
7.5.1 Continuous improvement of skills
Continuous professional development is related to the maintenance and increase of knowledge, skills and personal qualities. This can be achieved in many ways, such as additional work experience, training, self-education, training, attendance at meetings, seminars and conferences, or other similar actions. Auditors must demonstrate their continued professional development.
With continued professional development should take into account changes in personal needs and the needs of the organization, the practice of auditing standards and other requirements.

7.5.2 Maintaining the ability to audit
Auditors should maintain and demonstrate their ability to audit by the constant participation in audits of quality management systems and / or environmental management systems.

7.6 Assessment Auditor
7.6.1 General Provisions
Evaluation of auditors and audit management groups should be planned, implemented and documented in accordance with the procedures for the audit program to ensure impartial, consistent, complete and reliable results. The evaluation process should identify the need to improve professional knowledge and skills.
Evaluation of Auditors held at the following stages:
- An initial assessment of staff who wants to be audited;
- Assessment of the auditor, as part of the selection process of the audit team, as described in Section 6.2.4;
- Continuous evaluation of the auditor to identify the need for maintaining and improving the knowledge and skills.
In Fig. 5 shows the relationship between these stages of evaluation.
The process steps described in Section 7.6.2 can be used on each of these stages evaluation.
In Fig. 5 - The relationship between the stages of assessment

7.6.2 The assessment process
The assessment process involves four basic steps:
The first phase - Identify the personal qualities, skills and knowledge to meet the needs of the audit program.
In determining the appropriate knowledge and skills should be taken into account the following:
- Size, type and complexity of the auditee;
- Purpose and scope of the audit program;
- The requirements for certification , registration and accreditation;
- The role of the audit process in the management of the audited entity;
- The required level of confidence in the audit program;
- The complexity of the auditee management system.
The second phase - Establish criteria for evaluation.
Критерии могут быть количественными (такими как время обучения и работы, количество проведенных аудитов, количество часов подготовки) или качественными (такими как демонстрация личных качеств, знаний или проявление умений в процессе подготовке или на рабочем месте).
Третий этап – Выбор соответствующего метода оценки.
Оценка должна проводиться лицом или комиссией, с использованием одного или нескольких методов, изложенных в Табл. Two. При использовании Табл. 2 должно быть учтено следующее:
- предлагаемые методы представляют собой набор вариантов и не могут применяться во всех ситуациях;
- различные предлагаемые методы могут отличаться по надежности;
- как правило, для получения объективного, последовательного, полного и надежного результата следует использовать комбинацию методов.
Четвертый этап – Проведение оценки.
На этом этапе собранная информация о персонале сравнивается с критериями, установленными на Этапе 2. Если персонал не соответствует критериям, то требуется дополнительные подготовка, опыт работы и/или проведения аудитов, после чего должна быть проведена повторная оценка.
Пример применения и документирования этапов процесса оценки для гипотетической программы внутреннего аудита представлен в Табл. Three.

Table 2

Методы оценки

Table 3

Применение процесса оценки аудитора для гипотетической программы внутреннего аудита

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