Tales from an auditor
remembers his experiences of working with an incompetent auditor and the negative effect it had upon the audit
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It is, of course, wrong to assume that all auditors are competent. Every effort is made by IRCA and other bodies to ensure that auditors are competent and as one’s experience as an auditor is built up, it is not unreasonable to assume that such experience is invaluable in establishing one’s credentials as a first-class auditor. |
However, experience doesn’t necessarily translate as competence as I discovered once so memorably.
A second auditor
Before one particular audit, a certification body telephoned me to say that I needed a second auditor to support me on the first day of a two-day certification audit and suggested a candidate. I did not know the person, but I was told that he was an older man and an experienced auditor.
We met just before the audit and I duly introduced him at the opening meeting. Shortly afterwards we went our separate ways in accordance with the audit plan that I had drawn up. I was chaperoned by the managing director and the other auditor had another senior member of staff to accompany him. We had a brief lunch together and did not meet again until just before the interim closing meeting on the first day of the audit.
I then made a mistake. In such circumstances I would normally ask my supporting auditor to justify to me any nonconformities that he had raised. Because it was getting late and because I was supposedly dealing with an experienced auditor, I thought that there would be no problems.
Our findings
At the interim closing meeting I explained, again, the nonconformities that I had raised and the managing director nodded in approval. I then turned to my support auditor and asked him to explain the nonconformities that he had raised. Within seconds the managing director and the support auditor were ‘daggers drawn’. Every sentence the support auditor raised was robustly challenged by the managing director.
Never before had I witnessed such an event. I remained silent, but knew that the managing director would soon turn to me as the lead auditor. I found myself agreeing with the managing director, but said nothing. When the managing director did return to me I was prepared. I glanced at my watch, looked him straight in the eye and said: ‘It is getting late, perhaps you and I can discuss these matters tomorrow’. He knew that the other auditor would not be present the next day.
On the way home I thought very carefully about what the other auditor had said. I came to the conclusion that he had been wrong on all the points raised. Moreover, I put my views on my computer immediately after arriving home. I telephoned him later that evening and said that I was overruling him and that afterwards I would fax my findings to him. He never replied.
The morning after
The next morning I learned more about my so-called experienced support auditor. First, I told the managing director that I had overruled the other auditor’s comments. He then explained that his senior members of staff had not been very keen on seeking an ISO 9001 certificate. After all, they were the experts and they had been doing their jobs perfectly well over many years. Why should they seek certification? Nevertheless, the managing director had decided that certification was the right path to take.
He then went on to explain how my co-auditor had been positively rude to his staff. On one occasion he had turned to someone and told him most impolitely to ‘Shut-up!’ Naturally, that did not go down well. Whether the auditor might have been provoked in some way is irrelevant, since one of the golden rules of auditing is that you must never lose your temper when interviewing someone. How could a so-called experienced auditor act in such a way? The managing director said that the auditor’s outrageous behaviour had put him back six months as far as convincing his staff of the value of the certificate.
In the end, I did make a recommendation that the organization be awarded a certificate. I apologized profusely for my colleague’s behaviour and said that the managing director should decide whether or not to make a complaint to the certification body. I never found out if he did.
I believe that all certification bodies should encourage their customers to comment on the professionalism of their auditors. All auditors, including those who regard themselves as first-class auditors, can learn from the sincere comments of others. In cases of gross incompetence and lack of professionalism, such as that referred to here, the feedback should result in the auditor undergoing re-training or a termination of his contract with the certification body.
About the author
Dr Dennis Green is an international consultant and principal auditor on ISO 9001. He is author of five books on quality management systems. Three of his most recent books have been published by BSI: Quality Patient Care in Hospitals, Quality of Care in Residential Homes for the Elderly and Medical Devices: ISO 13485 and ISO 9001.
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