On Auditing Internal Audit Process - How Independence can be Established

romelnar

Registered Visitor
#1
Hi. Good day! I wish to ask for your views on this issue. Here in our country CB auditors are asking from the company being audited the records that they (the company) had audited their internal audit activity.
When I attended Lead Auditor Course for OHSAS 18001 and ISO 14001, I got the chance to have a foreign tutor. When he learned that we do it here, he said it is "fascinating." He pointed out on how independence cannot be established there. He said that it is for the 3rd party audit to confirm the effectiveness of the internal audit. I see his point.
But I think most of CB auditors here points to the statement in the standards which says "all requirements must be audited." How do you see this requirement? Need your inputs, please. Thanks a lot
 
Elsmar Forum Sponsor
#2
The instructor is incorrect and has not understood that certification isn't a requirement. An effective management system to ISO 9001, will still need an audit of the internal audit arrangements.The CB audit is there to confirm all requirements are implemented and audited.

The auditor is also misunderstanding "independence". The requirement is for objectivity and impartiality.
 

Randy

Super Moderator
#3
18001 & 14001 do not state nor require independence....they require impartiality and objectivity

Independence isn't about not being involved with something, it's about being free from bias and conflict of interest
 

Jen Kirley

Quality and Auditing Expert
Staff member
Admin
#4
Hi. Good day! I wish to ask for your views on this issue. <snip>
The confusion about the term "independent" may be due to language issues. I agree the instructor was not correct.

Where standards say "Auditors shall not audit their own work" there is no directive to leave out the audit process from system audits. The typical understanding is: if I do audits along with a colleague and I maked the schedule, I can audit his work and he can audit my audits plus the scheduling.
 
I

immaya08

#5
I agree with AndyN's reply; ISO 19011:2011 identified Independence as one of the Six Important Principles; further the guideline states that: Auditors should be independent of the activity being audited wherever practicable, and should in all
cases act in a manner that is free from bias and conflict of interest. but you cannot fully guarantee independence in small organizations (perhaps even in bigger organizations) due to the relationships (human and processes) that exist within the organisation. and this is not to say, that CB auditors are responsible for auditing the internal audit process as internal auditors ought to do it.
 
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