KEY RESPONSIBILITIES OF AUDIT TEAM MEMBERS
An audit team exists whenever there is an audit in an organization. They are composed of a lead auditor, auditor, trainee auditor, technical expert, observer, guide, and client. For an internal audit, you may not need all these members, but a few persons may take the role of some members.
WHAT IS AN AUDIT?
According to guidelines for auditing management systems 19011:2018, An audit is a systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria are fulfilled.
In every audit, there will always be an audit team to see to the success of that audit, though we have many types of audits like internal audits, Second-party audits and third-party audits.
WHO IS A LEAD AUDITOR?
A lead auditor is a responsible person for all the phases of an audit. He conducts an audit and is equally the main driver of the audit.
A lot is required from the lead auditor because the final decisions of the audit rest on his table. However, the lead auditor must have management capabilities and experience in the audit process.
RESPONSIBILITIES OF A LEAD AUDITOR.
- The lead auditor prepares an audit plan.
- Before the audit, the lead auditor selects audit team members.
- The lead auditor leads his team members.
- The lead auditor sets the requirement for the audit’s success, for example, the qualification of the team members.
- The lead auditor complies with all other requirements of an audit.
- Determines all non-conformance.
- After the audit, the lead auditor submits audit reports to the management.
- If there are other follow up, the lead auditor coordinates them effectively.
WHO IS AN AUDITOR?
An auditor conducts an audit but not as the lead auditor. The lead auditor takes complete control of the audit while the other auditors assist the Lead auditor. They have similar responsibilities to that of a lead auditor.
RESPONSIBILITIES OF AN AUDITOR.
- An auditor understands the objectives, scope and criteria of an audit.
- Plans adequately before the audit.
- Prepares an audit checklist using audit criteria.
- Expects to conduct an audit professionally.
- An auditor records all audit findings with employees throughout the audits.
- An auditor complies with organization audit rules and guidance.
WHO IS A TRAINEE AUDITOR?
A trainee auditor is an auditor that is still learning on the job. Not an expert because the trainee auditor is still under the guidance of a lead auditor or an auditor perfecting the skills.
RESPONSIBILITIES OF A TRAINEE AUDITOR.
A trainee auditor must conduct an audit under the supervision of a competent auditor or a lead auditor. While at that, the trainee auditor performs the following responsibilities.
- Observes the audit and provide feedback to the audit organization.
- Establish good relations with the employees during the audit.
- Ensure compliance with the audit organization’s audit rules and guidelines.
WHO IS A TECHNICAL EXPERT?
Some audits will require the assistance of a technical expert when the auditors do not have the full knowledge of the environment or the facility they are auditing. The technical expert knows the technical aspect of the job.
RESPONSIBILITIES OF A TECHNICAL EXPERT.
- A technical expert takes notes during the audit.
- Must conduct an audit under a competent auditor or lead auditor supervision.
- The technical expert ensures compliance with the audit rules and guidelines about the organization undergoing an audit.
WHO IS AN OBSERVER?
An observer only observes the audit. Most times, to Observe the audit and provide feedback to the client on the learning experience. An observer has no right to influence or interfere with the audit activity.
WHO IS A GUIDE?
A guide mainly assists the auditors during the audit activity by doing the following for them.
- A Guide leads the audit team from one area to another.
- A guide Introduces employees and key personnel to the auditors.
- Can provide classification to the auditor when needed.
- Ensures everyone abides by the safety rules and security procedures.
- The guide can provide additional support documentation when asked.
WHO IS THE CLIENT?
A client owns the facility or environment that the audit team wants to audit. The client ensures the right environment for the audit to take place.
RESPONSIBILITIES OF A CLIENT TOWARDS THE AUDIT.
- Ensure that all employees are aware of the audit
- The client offers support for the audit activity.
- Offers support to the agreed audit plan
- Provide access to the auditor on any data or records required.
- Ensures that the audit team gets the needed open cooperation throughout the audit.
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