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Internal EMS Auditor Competency Assessment
Things have been very busy for me over the summer months and some thoughts have emerged during the last few visits to companies relating specifically to internal auditor competency. The first consideration I have is that there is little in the text of ISO 14001;2004 that clearly addresses this issue.
The relevant clause (4.5.5.) states that the ‘selection of auditors and conduct of audits shall ensure objectivity and the impartiality of the audit process’. This seems to go unnoticed by some environmental managers who are responsible for developing audit programmes that the issue of demonstrating competency of the auditor should stand up to some kind of objective scrutiny. So when auditing this clause of the standard the first question that I could ask is ‘how can you demonstrate auditor competency?’ I also realise that there could be difficulties in issuing an objective non-conformance related to this mainly due to the absence of any real requirement within the standard. The ideal answer to this sort of question would be that the person attended a 3-day approved-IEMA internal auditor course and passed the assessment and examination. The same person then would hopefully have worked with an established EMS audit team during the experience-gathering phase before registering as an EMS auditor.
In my sample of companies visited this year I have not ever been given that answer and I then have to scrutinise examples of audit reports myself and interview the internal auditor to ascertain whether their understanding of the process indicates an appropriate and reasonable degree of competency. Do they really understand what issues to investigate during an audit? Are they able to audit within areas of potential high risk and importance? Do they use the aspects register to identify these areas? Are the techniques used to ask questions and follow audit trails of a suitable standard? And so on.
Sometimes, the audit reports are excellent and it is clear that the audits are very useful. Other times, it is obvious that the auditors really do not add any value at all as they simply use a tick list. Which brings me round to the point of this article. In the next revision to ISO 14001:2004, why not include a requirement for internal EMS auditors to have attend and passed an approved, recognised training course on the subject?
I also audit OHSAS 18001:2007 and the clause relating to internal OHSMS audits is almost identical except here the word ‘competencies’ is included within the text which reads ;-
‘audit procedures shall be established, implemented and maintained that address the responsibilities, competencies and requirements for planning and conducting audits’.
At least the various bodies responsible for setting standards are slowly recognising the need for demonstrating auditor competency. It would help the external auditor working at the coal-face of EMS certification to clearly spell out the requirement for a properly trained internal EMS auditor. Although the internal audit reports would still need examination, I would probably be much more impressed by the outcome than at present!
John Marsden (FIEMA)
info@marsden-international.com
John is an independent management system auditor who works for a number of international certification bodies.
