Auditing Ethics - Lead Auditor solicited client for training

[DannyK]

I am interested in getting comments and feedback about a situation that occurred this week.

My client was registered to ISO 9001:2000 in December and I learned this week that the lead auditor sollicited from my client during the audit to perform some shop floor training.

I was shocked and I immediately informed the management representative that accepting this auditor's proposal may cast some aspersions about the validity of the certificate. Everyone worked hard and I did not want this type of activity to cheapen the value of the certificate.

As an auditor, I was taught to never sollicit or provide consulting advice.

I got an e-mail from this lead auditor stating that he did not intend on stepping on my toes since he knew that I did not provide these services to customers.

I told him I was not concerned about the services just the ethics of the situation.

I cannot speak to the management of this registrar since the lead auditor is the President as well.

Any comments?

Did anyone experience any similar situations?

Danny

 

[Randy]

That's not kosher by any means. If some of the employees were part of a publicly held training course that would be one thing, but this smacks heavy of a potential conflict of interest.

A potential serious breach and Bozo No-No.

 

[Marc]

I cannot speak to the management of this registrar since the lead auditor is the President as well.

This is the disturbing part...

 

[SilverHawk]

We have heard one story that a TS auditor requested the audited organization to have an inhouse training on process approach auditing conducted by the auditing organization before closing the NCR.

Much later this Japanese organization in Penang received their TS 16949 certification. Maybe the ISO 17024 does not have its bite on the clause 4.2.5... Most importantly, it is the game of "fitness".

 

[Sidney Vianna]

I am interested in getting comments and feedback about a situation that occurred this week.

My client was registered to ISO 9001:2000 in December and I learned this week that the lead auditor sollicited from my client during the audit to perform some shop floor training.

I was shocked and I immediately informed the management representative that accepting this auditor's proposal may cast some aspersions about the validity of the certificate. Everyone worked hard and I did not want this type of activity to cheapen the value of the certificate.

As an auditor, I was taught to never sollicit or provide consulting advice.

I got an e-mail from this lead auditor stating that he did not intend on stepping on my toes since he knew that I did not provide these services to customers.

I told him I was not concerned about the services just the ethics of the situation.

I cannot speak to the management of this registrar since the lead auditor is the President as well.

Any comments?

Did anyone experience any similar situations?

Danny

This is too serious to be ignored. In addition to the Conflict of Interest issue, if this individual has some type of auditor certification (IRCA, RABQSA) he violated their code of conduct.
There are appropriate channels for this to be reported to, assuming the scenario is part on audit conducted under an accreditation Scheme. For example, if your client's certificate was issued under the ANAB Scheme, they have a complaint process https://db.anab.org/rab/nap/HomeComplaints.do
Just make sure there is evidence to be presented to the AB's

This market needs some serious cleaning up.....

 

[Al Dyer]

I have had a somewhat similar situation and ran it through RAB/QSA. Even though I had proof of the situation it was not enough for them to take action. They would not explain what "enough" was.

As Sidney noted, this should be brought to the attention of the accountable body with as much physical confirmation as possible. At the very least you will have a clear concious (sp)

Al...:ca:

 

[DannyK]

Thank-you all for your feedback. I believe I have succeeded in stopping this lead auditor for providing training at the company.

I appreciate your comments.

Danny