Internal Audit without a person as auditee

[somashekar]

This may be a strange question, but is it OK to audit the legal requirements by an internal auditor, by the review / scrutiny of all available / provided legal documents and records connected to EMS, and then make records of the audit and NC based upon the evidences found. There is no person as auditee in the entire audit process. No oral questions asked and no person answering?.
Please also note that auditor as defined in ISO9000:2005 is a person, while auditee is the organization / area being audited.

 

[Jen Kirley]

I've done it, and called it a desk audit.

 

[AMIT BALLAL]

Re: Internal audit without a person as auditee.

I think, this can be done. ISO 19011 (Standard for Guidelines of auditing management systems) states different auditing methods & this is one of the methods that can be used (Remote audit with no human interaction) .

Attached herewith the snapshot of the auditing methods mentioned in ISO19011 standard.

Looking forward for comments of other cove experts.


Thanks,
Amit

 

[AndyN]

Someone has to be involved, if you think about an action becoming necessary as a result of the audit. To simply look at documents (of any type) is not going to reveal much, and, in any case, suppose you DO find something? Who are you going to discuss what you find and then agree upon an action?

Simply looking at documents is a desk audit in preparation for an audit assignment - a process or something similar. If for no other reason than someone HAS to be responsible for researching, obtaining, implementing/compliance etc. these regs...

 

[AndyN]

Re: Internal audit without a person as auditee.

I think, this can be done. ISO 19011 (Standard for Guidelines of auditing management systems) states different auditing methods & this is one of the methods that can be used (Remote audit with no human interaction) .

Attached herewith the snapshot of the auditing methods mentioned in ISO19011 standard.

Looking forward for comments of other cove experts.


Thanks,
Amit

Remote means the relative location of the auditor compared to the activity being audited - as in another city/state/country. It doesn't mean no human interaction...

 

[Dr. L. Ramakrishnan]

I would agree with AndyN's assessment/view

 

[Colin]

I think you would be performing more of an inspection of documents rather than an audit. For me, an audit has to have interaction with people as well as evidence to look at.