How to Become an Auditor Welcomed by Enterprises?

Audit knowledge and skills are essential abilities for auditors to perform their duties and competently carry out audit tasks. First, you need to grasp the characteristics of audit activities, be familiar with their inherent rules and logic, and skillfully apply audit methods in practice to achieve audit objectives. This is a fundamental skill for auditors.

Auditing is a specialized technical activity related to evaluation. The characteristics of auditing determine the uniqueness and specificity of this activity, so the audit activity itself and the management of the audit activity are related to the following:

1. Audits usually have clear objectives. To achieve their intended purpose, auditors must follow certain principles and conduct audit activities according to prescribed procedures. Adhering to these principles is a prerequisite for drawing corresponding and sufficient audit conclusions and for auditors to reach similar conclusions independently under similar circumstances.

2. The abilities required for auditors to competently perform audit tasks. Besides general knowledge and skills, the requirements for knowledge and skills related to specific audit tasks are connected to a particular technical field, profession, and the auditor's understanding of management and accumulated practical experience.

3. Auditing is a method to evaluate the effectiveness of management processes, identify risks, and determine compliance with requirements. To conduct audits effectively, tangible and intangible evidence must be collected. Based on the analysis of the collected evidence, corrective and improvement measures are taken. This poses demands and challenges to the auditor's abilities. Broadly speaking, auditing is applied in various types of certification activities, including management system certification, product certification, and service certification, all involving the use and implementation of audit methods.

4. Audit activities are integrated activities, and the audited object is a complex entity. A successful audit project is related not only to the auditor's performance during the on-site audit but also to the explicit and implicit management of the certification process by the certification body. Therefore, auditors need to be familiar with and master the audit process requirements in GB/T 19011, ISO 17021-1, and GB/T 27065.

5. Audit activities objectively involve risks. Identifying and assessing audit risks is an important aspect of certification process management. For example, the purpose of audit sampling is to provide information, but sampling risks often arise because the samples drawn from the population may not be representative, potentially leading to biased auditor conclusions inconsistent with a comprehensive examination of the population. Other risks may stem from internal variations within the population and the chosen sampling methods. Identifying and assessing audit risks and then taking effective control measures to improve audit effectiveness and increase confidence in certification results is the responsibility of the certification body.

Three essential abilities of auditors

The management systems or management activities targeted by audit activities vary in complexity and diversity depending on the audited organization. It is difficult for auditors to provide objective evaluations when collecting audit evidence and forming audit findings. Therefore, human factors play a crucial role in the audit process. The auditor's abilities determine people's confidence in the audit process and the credibility of the audit results.

The composition of an auditor's abilities is generally understood as: personal behavior + general knowledge and skills + specific domain knowledge and skills.

Chapter 7 of GB/T 19011 provides guidelines on the "Auditor Competence and Evaluation" process:

Besides the personal behavior requirements of audit personnel, the knowledge and skills required of auditors consist of general and specific knowledge and skills;

Confidence in the audit process and the ability to achieve its objectives depend on the capabilities of the personnel involved in planning and conducting the audit;

Personnel competence should be evaluated through a process that considers personal behavior performance as well as the ability to apply knowledge and skills;

The required knowledge and skills are acquired through education, work experience, auditor training, and audit experience;

The evaluation of auditor competence should consider not only the competence criteria established by the organization but also the needs of the audit program and its objectives.

1. Auditor's personal behavior

Auditors should possess good moral qualities and a sense of right and wrong consistent with human ethics; they should maintain fairness, objectivity, honesty, and integrity; maintain a humble and cautious attitude; speak based on evidence without making false or untrue evaluations and conclusions; auditors should value their professional identity and status and have a correct and clear understanding of their knowledge, skills, and developed abilities to maintain sincerity and caution in their work at all times.

2. Auditor's general knowledge and skills

Auditors should systematically master general knowledge, basic skills, and professional skills. General knowledge includes fundamentals of conformity assessment, knowledge of certification and accreditation laws and regulations, and basic audit techniques; basic skills include communication skills, logical reasoning ability, written expression ability, and the ability to collect, summarize, and organize information; professional skills include auditing ability, the ability to understand organizational intentions, risk management ability, and the ability to lead an audit team.

3. Auditor's specific knowledge and skills

For auditors engaged in various certification audits, in addition to the above "general knowledge and skills requirements," they should also possess specific knowledge and skills related to their certification field.

Most favored auditors by enterprises

Auditors are the face of certification bodies, the direct contact point with certified enterprises, and the most direct expression of customer satisfaction. Their quality directly affects the survival of certification bodies. Therefore, all certification bodies attach great importance to building their auditor teams, each with its own strengths. So, what kind of auditors do enterprises prefer?
1. Rigorous and dedicated, straightforward and candid

A few auditors are unwilling to address deep-seated issues within enterprises during the audit process. Throughout the audit, much is said, but in summary, it is hollow and full of clichés, such as "management needs to be deepened," "further refinement is needed," "training should be strengthened," "responsibility division should be noted," and so on—things everyone knows. They avoid going deeper. Although what is said is correct, it feels like scratching an itch through clothes, leaving people helpless. There are also auditors who are not afraid of embarrassing enterprise leaders, who speak up about problems even if it causes temporary discomfort. Most enterprises later feel that such auditors are better.

2. Adhere to principles, meticulous and thorough

Relatively speaking, most certified enterprises can cooperate with the audit team to complete audit tasks according to certification procedures. However, some enterprises are forced to certify only because of market needs and lack enthusiasm. During audits, consultants appear, enterprise leaders do not show up, and only a few staff and consultants deal with the audit team. For such enterprises, audit teams often feel helpless.

3. Diligent and sincere, treating people with honesty

More often, audit teams demonstrate an efficient, diligent, and sincere professional spirit. Due to the heavy audit workload, auditors are required to complete tasks on the same day to avoid delays that would affect subsequent audits. Many enterprises admire the audit teams' efficiency. Especially, the vast majority of audit teams can speak frankly about enterprise issues. Although facing great challenges, they always complete audits smoothly and earn the respect of enterprises.

Auditors strive on the front lines of certification, with many touching stories buried in the tedious work. Auditors can and should earn the respect and favor of enterprises. Of course, this also requires us auditors to fulfill our duties, adhere to principles, and continuously improve our professional abilities. Only then can we truly become auditors welcomed and liked by enterprises.