ISO Internal Auditor vs. ISO Lead Auditor

What is the difference between an Internal Auditor and a Lead (External) Auditor?

In management systems based on ISO standards and other management standards, auditors play a key role, conducting checks on the compliance of processes with the requirements of the standards. There are two basic types of auditors: internal auditor and lead (external) auditor. Each of them has a different function, different rights and scope of responsibility.

ISO Internal Auditor

An internal auditor is a person who assesses the compliance of processes within an organization with the requirements of ISO standards and internal procedures. This may be an employee of the company or an independent consultant hired to conduct audits aimed at assessing and improving processes, internal control and risk management. Their main task is to identify non-conformities, indicate areas for improvement and ensure the effective functioning of the management system.

Internal audit is conducted regularly, often once a year, although some organizations decide to conduct more frequent audits depending on the needs. An important aspect of this role is that the internal auditor cannot evaluate the processes for which he or she is responsible. This is to maintain impartiality and objectivity in assessing the functioning of the management system.

After completing the audit, the internal auditor presents a report that includes the audit results, recommendations for improvement, and any nonconformities. The report is addressed to the organization’s management, which makes decisions on the implementation of corrective and improvement actions.

Lead auditor (external)

A lead auditor, also known as an external auditor, is a specialist working for a certification body or other external entity. He is an independent expert who conducts external audits. His main task is to assess whether the organization meets the requirements of the ISO standard and to decide whether to grant, maintain or withdraw a certificate.

An ISO lead auditor conducts various types of audits, including certification, surveillance, and recertification audits. A certification audit is conducted to grant an organization an ISO certificate. Once certified, the company is subject to surveillance audits to verify that it is maintaining compliance with the standard. Every three years, a recertification audit is conducted to re-verify compliance and possibly renew the certificate.

The lead auditor is a person independent of the organization, which ensures their impartiality and objectivity in the assessment. They can lead the team of auditors, overseeing the entire audit process and issuing final recommendations regarding certification. Unlike the internal auditor, the lead auditor does not focus on indicating potential areas for improvement, but on confirming the organization’s compliance with the requirements of the standard.

How to Become ISO Auditor?
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Basic differences between an Internal Auditor and a Lead Auditor

The main difference between an internal auditor and a lead auditor is their status in the organization and the purpose of the audits conducted. An internal auditor works for a company or is employed by it to monitor the effectiveness of the implemented management system. Their activities are aimed at identifying non-compliances and improving processes and risk management. In turn, a lead auditor is an independent expert acting on behalf of a certification body or other external entity and has the authority to issue recommendations regarding certification.

The internal auditor focuses not only on compliance with the ISO standard, but also on the company’s internal procedures. He or she can recommend changes that contribute to improving the organization’s functioning. The lead auditor only assesses compliance with the standard and does not engage in management system improvement processes.

Impartiality is an important aspect that distinguishes the two roles. The lead auditor is independent and objective because he or she has no ties to the audited company. The internal auditor, on the other hand, although acting in accordance with the principle of avoiding conflicts of interest, remains part of the organization, which may affect his or her perspective.

What do an Internal Auditor and a Lead Auditor have in common?

Despite their many differences, internal and lead auditors share several key aspects. First of all, both roles require in-depth knowledge of ISO standards and analytical skills to effectively assess compliance with the requirements of the standards. Both auditors must adhere to the principles of audit ethics, such as integrity, objectivity, and confidentiality.

In addition, both the internal auditor and the lead auditor conduct audits to identify compliance or non-compliance and provide management information. Their work influences the improvement of the management system, although to a different extent. Both also use similar work methods, such as document analysis, interviews with employees and observation of processes.

Which ISO standards address auditor requirements?

ISO standards, such as ISO 19011, define requirements for auditors’ competences and principles of conducting audits. Auditors must meet specific criteria regarding qualifications, experience and continuous professional development. These standards also define principles for planning, conducting and documenting audits, which is common to both internal and lead auditors. Additionally, standards concerning the requirements for management systems themselves are important, such as the very popular standards:

• ISO/IEC 17021-1 – specifies requirements for management system certification bodies, including the competences of auditors conducting certification audits,
• ISO/IEC 17024 – specifies requirements for the certification of persons, including auditors,
• ISO 9001 – contains requirements for internal audits of quality management systems,
• ISO 14001 – for auditors assessing environmental management systems,
• ISO 45001 – for auditors assessing occupational health and safety management systems,
• ISO/IEC 27001 – for audits performed in information security management systems.

Both types of auditors play a key role in the management system. Internal auditors help organizations improve processes and prepare for certification audits, while lead auditors assess compliance with the standard and decide whether to grant a certificate. Both functions complement each other, ensuring the effective functioning of management systems in organizations.