Characteristics of good auditors

Audit skills can be acquired with a little effort and dedication. However, some core skills are more difficult to attain unless fundamental “building blocks” exist within the auditor’s personality. The two that come to mind are interpersonal traits and, believe it or not,  physical and mental stamina .

Good interpersonal skills go a long way in conducting quality HSEQ audits. In fact, of all the core skills required, these are clearly the most important. Such skills include being able to interview people effectively, having a high degree of curiosity, adjusting smoothly to changes in schedule, responding professionally to challenges to your verbal and written statements, working well under pressure, and generally keeping a cool head when everybody around you is panicking. The bottom line is that an auditor must be both a good communicator and an excellent listener. This takes sincerity, patience, and, at times, a great sense of humor.

While these skills can certainly be learned through experience, many individuals will never attain them to a sufficient level to work effectively as an HSEQ auditor. Remember that audits, unlike regulatory-agency inspections, are meant to be a supportive function; therefore, individuals who are inherently brusque, volatile, argumentative, and overly egocentric will not be successful. And when we say successful, we mean that their personal attributes contribute to the success of, and the perception of, success of the entire audit process.

How do these skills and attributes contribute to or hinder the quality of an audit? As an audit team leader or program manager, what should you be looking for, or watching out for, in an auditor. Examples of the worst and best behaviors are discussed below.

The worst attributes

No auditor is perfect. However, certain characteristics and behaviors should be avoided:

• Insufficient records review: Too many auditors want to do a field inspection immediately upon beginning an audit. Records must be reviewed first to determine the applicable requirements. This problem often results from a lack of familiarity or comfort with the regulations or corporate standards. An auditor should take the time early to determine the requirements.
• Excessive records review: This often occurs when auditors are intimidated by the size or complexity of the site and just do not know where to begin. They will bury themselves in the records and never come up for air. A better approach would be to first take a “windshield” tour of the facility, then cut off small chunks of the operation and visit appropriate locations in a modular fashion.
• Captivity to checklists: A very common problem arises when the auditor becomes too dependent on the checklist: he or she focuses on symptoms instead of causes. This might also be the problem caused by an external audit organization only concerned with their own audit protocol. Auditors add value when they address underlying or root causes. They should take some time to think through what really might be happening at the site to cause the identified problems. Answer the why as well as the what question. Compliance and conformance are fine. . .adding value to the business and their related processes is even better.
• Jumping to conclusions: This is the opposite of the problem discussed above. Some auditors tend to draw broad conclusions before all the evidence is in. Auditors can sometimes let their egos get in the way of doing a thorough analysis and verifying their findings. They have seen it all before, and they simply “know” what is causing the problem. This results in statements such as, “The hazardous waste management system or the fall protection program or the objective setting process at the site is deficient,” which is not a very articulate or helpful finding. Auditors need to take a step back and make sure that there is evidence to support their conclusions. What do you mean by "deficient". Deficient "how"?
• Poor time management: There are auditors who never seem to finish on time. This often occurs when they are given more than one compliance area to cover and spend 90 percent of their time in the area where they feel the most comfortable. Make sure that auditors attack compliance areas in parallel, not in series. It is risky to leave one area for the last day of the audit. Learning how to pace yourself and place adequate emphasis on all assigned topics is an important characteristic of a good auditor. And a characteristic of good planning. We execute well what we plan well.
• “In my experience” syndrome: Nothing annoys site staff more than having auditors preach to them about how things are done in their "experience" or at their location. Auditors should research the appropriate site-specific regulations for the site and audit the site against those regulations. They should, of course, tactfully report on what is being done at their site if it might be a helpful suggestion for improving performance.
• Being too easy/too tough: Auditors must strike a balance between being supportive and providing an honest assessment of the site’s performance. Over the years, auditing programs sometimes do tend to swing back and forth between “good cop/bad cop” scenarios. When the facilities scream that the program is becoming punitive, then the “white hats” go on, and the reports become so vague that management cannot tell if there is a problem or not. There is no easy solution here—nor should there be. Auditors should not, however, pull any punches at the closing conference or report, if they have objective evidence upon which to base their conclusions. Site and facility managers need to understand all the ramifications of their actions.

The best attributes

What makes an individual a good auditor? Communication skills certainly count, but other characteristics contribute as well:

• An even disposition: People with volatile personalities do not make good auditors. This very stressful occupation requires a level head and an ability to adjust to new people and surroundings and constant change. People (auditees) can be fickle.
• Flexibility: Audits never go as planned. An auditor needs to be flexible to adjust to changing dates, schedules, situations, and the like.
• Natural curiosity: Mentioned previously, this is an important trait. Some would say that the better descriptor would be “healthy skepticism.” In either case, natural inquisitiveness is important.
• High energy level: There is no time to relax on an audit. Days typically start for many site audits at 7:00 a.m. with a breakfast meeting and end at 9:00 p.m. or later with a discussion of findings. This can be very taxing, and an auditor must enter into the process understanding that.
• Grace under fire: Site staff constantly challenge auditors during an audit. It is simply the nature of the process. Auditors must be able to handle this with tact and professionalism. This is especially true during the closing conference when those doing the challenges are more likely to be senior staff. And sometimes they may, and do,  take things personally.
• Under-control ego: A healthy ego is probably an asset for an auditor who must present their findings confidently, but a “know-it-all” attitude is not helpful.

Full disclosure. . . I always need to work on that one. Sometime all my experience can be a liability if it gets better of my perception of what’s best for the client or the auditee. But I’m still learning. Confessions are good for the soul and as we say in the auditing world, always accept a confession (buy verify through objective evidence).