Norma ISO 9001:2015. Auditorias Internas 9.2. Primera Parte. ISO 9000:2015

[Auditoría Interna según la Norma ISO 19011 ]

In this section, the focus is on internal auditing based on ISO 19011:2018. The discussion delves into the importance of internal audits in evaluating the effectiveness of a quality management system.

Understanding Auditing Terminology

• The term "auditoría" is defined as a systematic, independent, and documented process to obtain objective evidence and evaluate it objectively to determine compliance with audit criteria.

• Three types of audits are highlighted: first-party audits conducted by the organization itself, second-party audits by an external party like a supplier or contractor, and third-party audits for certification purposes.

Objectives and Planning of Internal Audits

• The primary objectives of internal audits include verifying compliance with organizational and ISO 9001 requirements and ensuring effective implementation and maintenance of the system.

• Additional audit objectives may involve identifying improvement opportunities, assessing the contribution to organizational mission fulfillment, and integration with other standards like ISO 14001 or ISO 45001.

Key Terms in Audit Planning

• Scope: Defines the physical and virtual aspects covered by an audit.

• Audit Criteria: Set of requirements used as reference for comparing objective evidence during audits.

Elements of Audit Programs

• Four essential documents form part of audit planning: Audit program, Audit plan, Checklist, and Audit report.

• The Audit Program schedules all planned audits within specific timeframes for different types (first, second, third-party).

Roles and Responsibilities in Auditing

• Audit Team: Comprises one or more auditors responsible for conducting the audit along with technical experts if needed.

• Client Auditor: Refers to the organization requesting an audit; distinct from the audited organization.

Auditing Plan and Internal Auditor Role

In this section, the importance of an auditing plan led by the internal auditor is discussed, emphasizing the role of the lead internal auditor in establishing and confirming these plans. Additionally, key principles guiding the internal auditor's role under ISO 9001 are outlined.

Internal Auditor Responsibilities

• The internal auditor plays a crucial role guided by principles such as integrity, impartiality, professional care, confidentiality, independence, and evidence-based approach.

• Integrity: Refers to ethical conduct, honesty, and responsibility in accepting assignments.

• Impartial Presentation: Emphasizes reporting findings accurately for continuous improvement and objectivity in professional judgments.

Professional Conduct

• Professional Care: Auditors must exercise due care considering task importance and stakeholder trust.

• Confidentiality: Requires appropriate use of information without misuse for personal or client benefit.

Audit Process Principles

• Independence: Auditors must maintain impartiality throughout audits and ensure objectivity in conclusions.

• Evidence-Based Approach: Findings should be reliable, reproducible, verifiable with a focus on risk-based control to safeguard audit objectives.