Consultant and Auditor Code of Conduct

This Code of Conduct sets out what should be expected of consultants and auditors working in the management system certification field. It exists to achieve the best possible outcome for the mutual client, the organisation seeking certification, by putting ethical behaviour, professionalism and integrity at the centre of both the consulting and the auditing role.

It is written to be adopted. If you are a consultant or an auditor, our hope is that you read it, agree with it, and put your name to it as a reminder of what the roles are and how they should be carried out.

Expectations of consultants

System development. Assist the client in developing a customised management system that provides a robust framework for operations and continual improvement.
Conformity. Ensure the management system fulfils the requirements documented in the reference standards, as applicable.
Alignment. Develop the management system to align with the organisation’s operational processes.
Audit support. Support the client as required to address any non-conformities or improvement opportunities identified by the auditor.

Expectations of auditors

Objective assessment. The auditor must make an objective, not subjective, assessment of the management system against the specific requirements documented in the relevant standards. Objective means an unbiased, balanced observation based on facts that can be verified. Subjective means making assumptions or interpretations based on personal opinion (for example, how the auditor might have structured the system had they been the consultant), or reaching a view without verifiable facts.
Independence. Maintain independence and objectivity in assessments and recommendations.
Conflicts. Avoid any conflicts of interest, preconceptions, requirements that are not mandated by the standards, or biases that could compromise an objective assessment.
Value-add. The primary role of the auditor is to assess conformity against a specified requirement. Where the auditor believes they can add value, those recommendations must be recorded as improvement opportunities in the audit report. They must not be offered verbally as comments, which can cause ambiguity, nor raised as non-conformities.
Non-conformities. A non-conformity should be raised where there is a failure to address the requirements of the standard. It should refer to the associated clause and explain what element was deficient in the management system.
Representation. An auditor who also works as a consultant refrains from representing their services in a consulting capacity while auditing.
Differing systems. Management system standards specify what needs to be done, not how it needs to be done. Systems may differ by size, scope and technological capability and still meet the requirements of the standards.

Expectations of both consultants and auditors

Professional competence. Stay current with the latest knowledge, standards and practices in your field, and keep developing your skills to deliver high-quality work.
Confidentiality. Treat all client information as confidential and respect the privacy of individuals and organisations. Obtain the necessary permissions before disclosing anything sensitive.
Professionalism. Conduct yourself professionally, showing respect, courtesy and fairness to clients, colleagues and other stakeholders. Uphold the reputation of the consulting and auditing profession, and refrain from criticism of other consultants and auditors.
Transparency and integrity. Be transparent in your communication and actions. Provide accurate, truthful and unbiased information, without misrepresentation or misleading statements.
Compliance with laws and regulations. Comply with the laws, regulations and professional standards relevant to your field, and keep your practices aligned with legal and ethical requirements.
Conflict resolution. Handle conflicts and disputes with professionalism and fairness, working towards mutually acceptable resolutions and keeping communication open.
Continuous improvement. Commit to ongoing professional development. Seek feedback, learn from experience, and keep raising the quality of your work.

Understanding and adhering to this Code is what keeps consultants and auditors acting in the best interests of clients and protects the integrity of the profession as a whole. It underpins how Streamline delivers ISO consulting and independent internal audits, and it is the standard we hold ourselves to.

Want to put your name to it? If you are a consultant or auditor who believes the profession is better served by objectivity, independence and integrity than by noise, get in touch and add your name to the Code.