Are you an ethical auditor?

There can be no doubting the fact that auditors are often seen to be in a very powerful and privileged position. However, as an auditor, it is imperative to ensure that you do not abuse this position. The Auditing Practices Group has developed guidance on points which need to be kept in mind and which, if overlooked, might adversely affect an auditor’s conduct and ethical behaviour. See how you get on with our self-assessment task

How do you score?

Do you always do the following in order to promote high standards of ethical conduct:

• act solely in the best interest of the employing organization and its clients
• conduct yourself professionally, truthfully and responsibly
• ensure not to misrepresent your qualifications, competence or experience
• treat as confidential all information gained in relation to any of the organisation’s identified activities of accreditation and certification, unless otherwise authorised in writing
• never disclose any details of audit findings, neither during nor after the audit process
• treat in a private manner all information related to the organization’s activities, such as any device, graphic or written material, that is identified as confidential or private
• never intentionally communicate false or misleading information which may compromise the integrity of the accreditation, registration and certification processes
• act professionally under adverse pressure from the employer and organizations being audited

Example of a typical code of ethics

To uphold and advance the honour, dignity and integrity of the conformity assessment profession, and in keeping with high standards of ethical conduct, I acknowledge that I will:

a) General issues

• be honest and impartial, and will serve with devotion my employer, my clients, the public, and my identified organization
• strive to increase the competence and prestige of the auditing profession
• use my knowledge and skill for the advancement of human welfare, and in promoting the safety and reliability of products and services for public use
• earnestly endeavour to aid the work of my organization 

b) Relations with the public

• endeavour to aggressively extend public knowledge of the work of each organization and of its members that relate to the public welfare
• be dignified and modest in explaining my work and merit
• preface any public statements that I may issue by clearly indicating on whose behalf they are made

c) Relations with organization, employer and clients

• act as a trustee for each organization, employer and/or client
• inform each organization, employer or client of any business connections, interests or affiliations which might influence my judgment or impair the equitable character of my services
• not disclose information concerning the confidential business affairs or technical processes of any present or former organization, employer or client without its proper consent
• not accept compensation from more than one party for the same service without the consent of all parties. If employed, I will engage in supplementary employment or consulting practice only with the consent of my employer

d) Relations with peers (when applicable)

• take care that credit for the work of others is given to those to whom it is due
• endeavour to aid the professional development and advancement of those in my employ or under my supervision
• not compete unfairly with others; will extend my friendship and confidence to all associates and those with whom I have business relations
• respect my peers opinion and conduct to ensure that honesty and openness is demonstrated within an audit team
• react openly and professionally in the event of non-ethical behaviour of my peers

The ISO 9001 Auditing Practices Group is an informal group of quality management system (QMS) experts, auditors and practitioners drawn from the ISO Technical Committee 176 quality management and quality assurance (ISO/TC 176) and the International Accreditation Forum (IAF). It has developed a number of guidance papers and presentations that contain explanations about the auditing of QMSs. These reflect the process-based approach that is essential for auditing the requirements of ISO 9001.