The role of the auditor
Tasks and practical experience: a summary of the key requirements
Auditors play a crucial role in ensuring quality and in improving the performance of companies. They perform various types of audits to ensure compliance with the applicable standards. As key stakeholders, they identify potential for improvement, ensuring that companies are able to achieve their goals efficiently and effectively.
The key tasks at a glance
- Performance of audits: assessment of business processes and systems
- Identification of potential for improvements: uncovering optimization potential
- Creation of audit reports: documentation of findings and recommendations
- Monitoring of corrective actions: checking the implementation and effectiveness
- Assessing risks: identification of potential risks and development of strategies
Frequently asked questions
In the following we have collected and answered the most important questions for you.
An audit assesses whether processes, requirements or guidelines fulfill the required standards. An audit procedure of this kind often takes place within the scope of a management system. The audits are carried out by specially trained auditors.
An external audit is carried out by certified auditors who are either employed directly by a certification company or who carry out audits on behalf of such a company. An internal audit (also known as a “1st-party audit”) is a special form of audit in the field of management systems. In an internal audit, the employees of the organization itself assess the internal processes.
1st-party audit:
Also see question 2. A 1st-party audit is usually carried out by employees trained for this purpose.
2nd-party audit:
Audits of this kind don’t only involve the organization itself, but also another company. The audit is often carried out by a quality management officer. The quality management officer checks whether another company is suitable as a supplier, for example.
3rd-party audit:
Audits that can only be carried out by external auditors from an independent certification company are known as 3rd-party audits. Colloquially, these audits are also referred to as “certification audits.”To be able to carry out audits of this kind, the certification company that carries out the audit is required to have the appropriate accreditation.
Internal auditors do not required an official qualification. Internal auditors need to know the processes that are to be audited understand them, and have the appropriate competencies for the respective area of work. To be allowed to carry the title of “Certification Auditor,” a large number of requirements must be fulfilled which are specified by the German Accreditation Authority (DAkkS). Information on the basic requirements are provided in our separate PDF.
Detailed information on the basic requirements for admission as an auditor is available in the separate PDF document “basic requirements for admission as an auditor” and in the “requirements” section.
The auditors who “organize” the audit team, i.e. the ones who prepare the documents and do the coordination work with the organization, are known as lead auditors. Such auditors already have the corresponding qualifications. An auditor who does not yet have the sufficient experience is initially appointed as a “co-auditor.”To obtain the status of an “auditor,” however, it is necessary to first carry out trainee audits.These audits are intended to show the prospective auditor the optimal way to perform an audit. The “trainee” also has the opportunity to familiarize themselves with the certification company’s documentation.