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  Internal auditor independence

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Author Topic:   Internal auditor independence
Pamela Tenney
Lurker (<10 Posts)

Posts: 2
From:Menlo Park, Ca., USA
Registered: Jan 2000

posted 31 January 2000 04:29 PM     Click Here to See the Profile for Pamela Tenney   Click Here to Email Pamela Tenney     Edit/Delete Message   Reply w/Quote

My company recently underwent a preassessment audit. One of the elements we were written up on concerned auditor independence. I am the Quality Manager and Management Rep./Lead Auditor. The auditors I am using are my Receiving Inspector and the Document Control Specialist. I was told that since Document Control was under my jurisdiction, I could not have him audit quality/inspection.
4.17 states "audits shall be carried out by personnel independent of those having direct responsibility for the activity being audited." Although Document Control is my responsibility, D/C is not directly responisble for quality areas such as inspection (receiving through shipping), calibration, etc. I think it should be OK for him to audit these areas. Are there any thoughts on this issue? We are a company of approximately 60 people and finding those qualified, able and having time is limited.

What could I do to solve this problem?


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Marc Smith
Cheech Wizard

Posts: 4119
From:West Chester, OH, USA

posted 01 February 2000 03:54 AM     Click Here to See the Profile for Marc Smith   Click Here to Email Marc Smith     Edit/Delete Message   Reply w/Quote
The auditor is off base. If you use that logic everyone is under the company president so they're biased.

As I understand it, it's the independence of the specific auditor, not the auditor's boss. I see no reason why you can't audit your boss.

You cannot audit things you do. You can audit things others do that you do not do.

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Laura M
Forum Contributor

Posts: 299
From:Rochester, NY US
Registered: Aug 1999

posted 01 February 2000 07:42 AM     Click Here to See the Profile for Laura M   Click Here to Email Laura M     Edit/Delete Message   Reply w/Quote
I agree with Marc. I was Management Rep. I had 3 internal auditors working for me. A trained internal auditor from another area performed the audit of the Internal audit program, my collection of data for mgmt. review, and document control area (which was under the resp. of the Lead auditor.) Funny this should come up. I "inherited" an old school auditor that refused to work for me because she said it was not a unbiased situation....she thought I would give a "bad" performance review if she found N/C's with "my" quality system. We agreed to disagree for about 6 months, and she moved to another department. In the grand scheme of things, who better to audit than those most familiar with the program. As long as N/C's are objective, I think you have a good set up.


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Marc Smith
Cheech Wizard

Posts: 4119
From:West Chester, OH, USA

posted 05 February 2000 08:48 PM     Click Here to See the Profile for Marc Smith   Click Here to Email Marc Smith     Edit/Delete Message   Reply w/Quote

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barb butrym
Forum Contributor

Posts: 637
From:South Central Massachusetts

posted 07 February 2000 10:45 AM     Click Here to See the Profile for barb butrym   Click Here to Email barb butrym     Edit/Delete Message   Reply w/Quote
Where did this come from all of a sudden? It seems to be the question of the week...list servs and all. Something must have pushed it out from under a bush....

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