How to Become an Auditor Welcomed by Enterprises?

Audit is a specialized technical activity related to evaluation.

Audit knowledge and skills are the abilities that auditors need to perform their duties and competently carry out audit tasks. First, you need to master 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.

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

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

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

3. Audit is a method to evaluate the effectiveness of management processes, identify risks, and determine compliance with requirements. To conduct an effective audit, tangible and intangible evidence needs to be collected. Based on the analysis of the collected evidence, corrective and improvement measures are taken. This places demands and challenges on the auditor's abilities. From a broad perspective, audits in various types of certification activities, such as management system certification, product certification, and service certification, all involve the application of audit methods, i.e., the implementation of audits.

4. Audit activities are integrated activities, and the audited object is a complex entity. A successful audit project is related not only to the capabilities demonstrated by auditors during on-site audits but also to the management of explicit and implicit certification processes 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, which can lead to biased conclusions by auditors that differ from the results of a comprehensive examination of the entire 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 abilities auditors need to possess

The management systems or management activities targeted by audit activities appear complex and diverse depending on the audited organization. It is difficult for auditors to make objective evaluations when collecting audit evidence and forming audit findings. Therefore, human factors play a crucial role in the audit process. The abilities of auditors determine people's confidence in the audit process and the credibility of 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 guideline explanations on the "Auditor Competence and Evaluation" process:

In addition to personal behavior requirements for 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 abilities 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, in addition to the competence criteria established by the organization, also consider the needs of the audit program and its objectives.

1. Auditor's personal behavior

Auditors should have 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 cherish their professional identity and status and have a correct and clear understanding of their knowledge, skills, and developed abilities to always maintain sincerity and caution in their work.

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, writing skills, 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 have 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 a direct reflection 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 honest

A few auditors are unwilling to touch on deep issues within enterprises during the audit process. Throughout the audit, they say a lot but ultimately it is hollow and full of clichés, such as needing to deepen management, further refine processes, strengthen training, pay attention to responsibility division, and so on—things everyone knows. They avoid going deeper; their words are correct but feel like scratching an itch through a shoe, leaving people helpless. There are also auditors who are not afraid to embarrass enterprise leaders, speak up about problems even if it causes temporary discomfort, and most enterprises later feel that such auditors are better.

2. Adhere to principles, meticulous and conscientious

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 on behalf of the 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 earnest, treating people sincerely

More often, the audit team demonstrates a diligent and sincere professional spirit. Due to the heavy workload of audits, auditors are required to complete today's tasks today without delay; otherwise, it will affect a series of subsequent audit tasks. Many times, enterprises admire the work efficiency shown by the audit team. Especially, the vast majority of audit teams can speak frankly about the company's issues. Although facing great challenges, they always complete the tasks smoothly, earning the respect of the enterprises.

Auditors strive on the front line of certification, and many touching stories are buried in the tedious work. Auditors are people who 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 in this way can we truly become auditors welcomed and liked by enterprises.