What is an auditor - tasks, definition & areas of application (2024)

An auditor is a qualified person who is responsible for carrying out internal or external audits in a company or for a certification body. The exact duties of an auditor can vary depending on the type of organization and the type of auditing. The term auditor comes from the Latin wordto hear, which can be translated as “hear, hear, listen”. He or she is therefore a person who checks the respective audit object by questioning, observing and listening.

In the areaQuality management ISO 9001the auditor checks the QM system with regard to its effectiveness and the implementation of the normative requirements. The ISO 9001 QM auditor plays a crucial role in ensuring compliance with the standard and continuous improvement of the company's quality management system. The certification auditor checks whether you receive or retain your certificate.

What are the tasks of an auditor?

An auditor in the area of ​​management systems (e.g. quality management according to ISO 9001) has the task of checking compliance with the requirements of this standard in a company. The audit of a management system is always carried out in accordance with the ISO 19011 standard (Guidelines for auditing management systems).

  • Planning audits: The auditor plans and organizes audits to check the company's management system (e.g. QMS). This includes determining the scope of the audit, the audit objectives and criteria, and creating an audit plan.
  • Conducting audits: He/She carries out internal audits to assess the compliance of the management system with the requirements of the standard. The auditor uses various audit techniques such as document review, interviews with employees and observation of work processes to evaluate effectiveness and effectiveness.
  • Evaluation of processes: Tasks include checking whether the company's business processes are adequately documented, implemented and monitored. He evaluates the processes for their efficiency, their alignment with customer requirements, their compliance with regulations and their continuity.
  • Identification of deviations: Deviations or non-conformities of the management system compared to the normative requirements, such as ISO 9001 for the quality management system, are identified. Results-based deviations, such as incorrect documentation or inadequate training, as well as process-based deviations, such as inefficient processes or lack of control, can be identified.
  • Reporting: The auditor prepares an audit report that records the results of the audit, the deviations identified and recommendations for improvement. This report is shared with management or other relevant parties to take action to resolve the discrepancies.
  • Verification of the effectiveness of corrective actions: The auditor verifies whether the corrective actions taken by the company to resolve nonconformities from previous audits were effective. He evaluates the implementation and effectiveness of the measures to ensure that the company continuously implements improvements in the management system.
  • Carrying out certification audits when working for a certification body
  • Implementation ofSupplier audits

Your training to become an internal auditor

In-person training / virtual classroom training:In ourTraining as an internal auditor according to ISO 9001Learn how to professionally prepare, carry out and document internal QM audits based on ISO 19011 in reports.

E-Learning Course:Alternatively, you can also take this trainingcomplete online as an e-learning course.Save time and learn at your optimal pace. Also take a look at thefree demo course!

What tasks still exist?

Of course, there are also auditors outside the area of ​​management systems; they can, for example, take on the following typical tasks:

  • Financial Records Review: Financial auditors review a company's accounting and financial records to ensure they comply with applicable accounting standards. They check the accuracy of financial information, compliance with legal regulations and the effectiveness of internal control systems.
  • Compliance check: An auditor can also verify compliance with legal regulations, internal guidelines or industry-specific standards. This may include reviewing labor and environmental policies, data protection regulations or other legal requirements.
  • Risk Assessment: An auditor can perform risk assessments to identify potential risks and threats to a company. This includes identifying risk factors, assessing the likelihood of their occurrence and their potential impact. Based on this assessment, suitable risk reduction measures can then be developed.

What is the definition of the term auditor?

An auditor is a qualified person tasked with carrying out independent audits, assessments or reviews. He/She is typically hired by an organization, company, government agency or independent auditing firm to evaluate the accuracy, correctness and reliability of specific information, systems, processes or policies.

The purpose of an audit is to ensure that the items being audited comply with established standards, regulations, laws, or other requirements. An auditor works objectively and unbiasedly to provide a fair and trustworthy judgment on the item being audited.

There are different types of auditors who can specialize in different areas such as finance, compliance, quality assurance, information security, environmental management and much more. An auditor's duties and responsibilities can vary depending on the type of audit and the industry in which they work. In any case, however, an auditor's work is based on audit procedures, document analysis, interviews, observations and other appropriate methods to make an informed assessment and make recommendations to improve or ensure compliance.

What is the difference between internal and external auditors?

Internal and external auditors are usually classified using the terms 1st, 2nd and 3rd party auditor to describe the different roles and relationships. The 1st party auditor is an internal auditor, while 2nd and 3rd party auditors are external auditors.

A1st Party Auditoris also known asinternal auditordesignated. It is an employee or person who works within the organization. This person carries out internal audits to verify compliance with internal policies, procedures, quality standards and normative requirements. The main task of a 1st party auditor is to evaluate the internal processes, uncover deficiencies and suggest improvements within the company.

A2nd Party Auditoris aexternal auditorwho is hired by an organization to conduct audits of its suppliers, contractors or other partners. He checks compliance with the agreed contractual conditions, quality standards and other specific requirements of the organization. The main goal of a 2nd party auditor is to ensure that suppliers or partners meet the agreed standards and deliver high quality products or services.

A3rd Party Auditoris aexternal independent auditor, which is commissioned by an independent certification body, an auditing company or a regulatory authority. This carries out audits of companies to check compliance with external standards, norms and regulations. The goal of a 3rd party auditor is to provide objective and independent assessments and to issue certification, accreditation or confirmation of compliance. Examples include auditors who perform ISO certifications.

The differences between these types of auditors lie in their position and relationship to the organization being audited. While internal (1st party) and external supplier or partner audits (2nd party) aim to meet internal or contractual requirements, an independent (3rd party) auditor carries out audits to verify compliance with external standards and regulations and, if necessary, a To issue certification or confirmation. In any case, extensive knowledge is required.

Areas of application of auditors

As already described, there are auditors in a variety of business areas and industries. In summary, there are the management system auditors (internal & external). These check the compliance of a company management system (e.g. quality management, but also environmental, energy, occupational safety management, etc.) with normative and legal requirements.

A management systems auditor is responsible for reviewing and evaluating various management systems in companies or organizations. He therefore carries out audits to assess the effectiveness of the management system, identify weak points and make recommendations for improvement. The aim is to ensure that the company meets the requirements of the respective management systems and drives continuous improvements.

There are also other areas of application, such as financial audits or compliance. A financial auditor reviews a company's financial records to ensure that they comply with applicable accounting standards. This includes assessing financial reporting, reviewing internal controls and identifying risks related to the company's financial integrity. Compliance auditors check a company's compliance with legal regulations, government regulations and internal policies. They check whether the company complies with applicable rules and regulations and takes measures to minimize risks associated with non-compliance.

What do process and product auditors do?

A process auditor and a product auditor are two specific types of auditors that focus on different aspects of an organization. A process auditor focuses on evaluating and reviewing internal processes, systems, and operations within an organization. The main task of a process auditor is to evaluate the efficiency, effectiveness and effectiveness of the processes. He analyzes and evaluates business processes to identify possible weak points, inefficiencies or risks. This can include, for example, bottlenecks, redundancies or ineffective workflows.

The process auditor checks whether the processes comply with established standards, regulations, internal guidelines or industry-specific requirements. He checks whether the processes are correctly documented, implemented and appropriately controlled. Based on the results of the audit, the process auditor makes recommendations to improve processes and increase efficiency. He can make suggestions for new methods, procedures or technologies to improve process performance.

A product auditor, on the other hand, focuses on evaluating and reviewing an organization's products or services. The main purpose of a product auditor is to ensure that the products or services meet the established standards, specifications or customer expectations. He/She checks whether the products or services meet the established requirements, specifications and quality standards. He can inspect product samples, review technical documentation and evaluate product performance. In addition, samples can be taken from production in order to test whether they meet the quality requirements. This may include laboratory analysis, measurements or functional testing.

Additionally, the product auditor evaluates the internal quality control processes and procedures to ensure that they are adequate to ensure product quality. He can check traceability, batch control or inspection methods.

Your ISO 9001 audit template package

Templates/sample documents:Use ourAudit Package ISO 9001with all the necessary, directly usable audit templates and sample documents and carry out your next internal audit in your company efficiently! With our checklists, forms and guidelines, we provide you with comprehensive support in all areas of action. Immediately usable sample templates, checklists and work aids will help you with all aspects of your internal audit according to ISO 9001.

What earning potential does an auditor have?

An auditor's salary can depend on a variety of factors, including country, experience, qualifications, area of ​​expertise, and employer. It's important to note that salaries can vary greatly by region and company. However, below are some rough guidelines.

For a new professional or an auditor with little experience, the salary in many countries is typically in the range of around 35,000 to 60,000 euros per year. This amount may vary depending on the country and company. Auditors with several years of professional experience and advanced knowledge can expect a higher salary. The salary range for experienced auditors is usually between 60,000 and 100,000 euros per year. However, this depends on various factors, including career development and the position achieved within the company.

Auditors who specialize in specific areas of expertise, such as IT security auditors or environmental auditors, can tend to earn higher salaries due to their specialization. These may vary depending on market demand, complexity of tasks and responsibilities.

It's important to note that these are general guidelines and actual salaries will depend on many factors. It is advisable to research the specific salary structures in your country and industry for accurate and up-to-date information.

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Tel.:07231 92 23 91 - 0E-Mail:kschaefer@vorest-ag.de

Selbstvorstellung als Experte

Als Experte auf dem Gebiet des Qualitätsmanagements und der Auditierung verfüge ich über fundierte Kenntnisse und Erfahrungen in der Durchführung interner und externer Audits, insbesondere im Kontext von Managementsystemen wie ISO 9001. Meine Expertise basiert auf umfassendem Fachwissen, praktischer Erfahrung und einer tiefen Vertrautheit mit den Anforderungen und Verfahren im Bereich der Auditierung.

Definition des Begriffs "Auditor"

Ein Auditor ist eine qualifizierte Person, die unabhängige Prüfungen, Bewertungen oder Überprüfungen durchführt, um die Genauigkeit, Richtigkeit und Zuverlässigkeit bestimmter Informationen, Systeme, Prozesse oder Richtlinien zu bewerten. Die Aufgaben eines Auditors umfassen die Planung und Durchführung von Audits, die Bewertung von Prozessen, die Identifizierung von Abweichungen, die Berichterstattung über Audit-Ergebnisse und die Überprüfung der Wirksamkeit von Korrekturmaßnahmen.

Ein Auditor kann sich auf verschiedene Bereiche spezialisieren, wie Finanzen, Compliance, Qualitätssicherung, Informationssicherheit, Umweltmanagement und mehr. Die Unterschiede zwischen internen und externen Auditoren liegen in ihrer Position und Beziehung zur auditierten Organisation.

Aufgaben eines Auditors

Ein Auditor im Bereich Managementsysteme (z.B. Qualitätsmanagement nach ISO 9001) hat die Aufgabe, die Einhaltung der Anforderungen dieser Norm in einem Unternehmen zu überprüfen. Dies umfasst die Planung und Durchführung von Audits, die Bewertung von Prozessen, die Identifizierung von Abweichungen, die Berichterstattung über Audit-Ergebnisse und die Überprüfung der Wirksamkeit von Korrekturmaßnahmen.

Darüber hinaus können Auditoren auch andere Aufgaben übernehmen, wie die Überprüfung von Finanzunterlagen, Compliance-Prüfungen und Risikobewertungen.

Unterschied zwischen internen und externen Auditoren

Interne Auditoren (1st Party) sind Mitarbeiter oder Personen, die innerhalb der Organisation arbeiten und interne Audits durchführen, um die Einhaltung von internen Richtlinien, Verfahren und Qualitätsstandards zu überprüfen. Externe Auditoren (2nd und 3rd Party) werden von Organisationen beauftragt, um Audits bei Lieferanten, Auftragnehmern oder anderen Partnern durchzuführen, oder von unabhängigen Zertifizierungsstellen, Prüfgesellschaften oder Regulierungsbehörden, um die Einhaltung externer Standards und Vorschriften zu überprüfen.

Einsatzgebiete von Auditoren

Auditoren sind in einer Vielzahl von Unternehmensbereichen und Branchen tätig. Neben Managementsystemen können sie in den Bereichen Finanzaudit, Compliance, Risikobewertung, Prozess- und Produktaudit sowie in spezialisierten Fachgebieten wie IT-Sicherheitsaudit oder Umweltaudit tätig sein.

Verdienstmöglichkeiten eines Auditors

Das Gehalt eines Auditors hängt von verschiedenen Faktoren ab, einschließlich des Landes, der Erfahrung, der Qualifikationen, des Fachgebiets und des Arbeitgebers. Berufsanfänger können typischerweise mit einem Gehalt von etwa 35.000 bis 60.000 Euro pro Jahr rechnen, während erfahrene Auditoren in der Regel zwischen 60.000 und 100.000 Euro pro Jahr verdienen. Spezialisierte Auditoren können tendenziell höhere Gehälter erwarten.

Es ist wichtig anzumerken, dass Gehälter je nach Region und Unternehmen stark variieren können.

Weitere Informationen

Neben den genannten Aufgaben und Verdienstmöglichkeiten gibt es auch spezifische Schulungs- und Ausbildungsmöglichkeiten für angehende Auditoren, die ihnen helfen, ihre Fähigkeiten und Kenntnisse zu erweitern.

Für detaillierte Informationen zu spezifischen Themen wie ISO 19011, konfliktfreier Kommunikation im Audit, Einsatzgebieten von Auditoren und weiteren Aspekten des Auditwesens stehe ich gerne zur Verfügung.

What is an auditor - tasks, definition & areas of application (2024)

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