Question: Are auditors and compliance assessors trained, competent, and independent for their assigned scope?
Why This Matters
Audit credibility depends on independence and skill. Trained auditors ensure findings are accurate and trusted by management.
Maturity
0 — Unaware
No qualification requirements for auditors.
No qualification requirements for auditors.
1 — Ad Hoc
Audits performed by available staff without training.
Audits performed by available staff without training.
2 — Defined
Competency matrix established; basic audit training provided.
Competency matrix established; basic audit training provided.
3 — Managed
Auditors certified (ISO 27001 LA / internal audit training).
Auditors certified (ISO 27001 LA / internal audit training).
4 — Integrated
Rotation policy and independence criteria enforced.
Rotation policy and independence criteria enforced.
5 — Optimized
Continuous learning and cross-framework certifications maintained.
Continuous learning and cross-framework certifications maintained.
How to Level Up
| From → To | Actions |
|---|---|
| 0 → 1 | Identify staff performing audits. |
| 1 → 2 | Create competency matrix and training plan. |
| 2 → 3 | Sponsor formal auditor training and certifications. |
| 3 → 4 | Apply independence and rotation policy. |
| 4 → 5 | Track learning hours and multi-framework skills. |
Enablers
- People: Compliance Head, HR Training, Audit Lead
- Process: Plan → Train → Assign → Review
- Technology: LMS, certification tracker
Evidence
- Competency matrix
- Certificates and training records
- Auditor assignment log
KPIs
- Number of trained auditors
- Percentage with valid certifications
- Average training hours per auditor
Low-Cost / Open-Source Options (MSME)
| Purpose | Tool | Notes |
|---|---|---|
| Training | Moodle / Google Classroom | Self-paced modules |
| Tracking | Airtable / Odoo | Competency register |
| Certificates | Accredible / OpenBadges | Digital credentials |
Common Pitfalls
- Unqualified auditors leading reviews
- No independence between auditee and auditor
- Training records not retained
Compliance Mapping
| Standard | Clauses / Notes |
|---|---|
| ISO/IEC 27001 | 7.2 (Competence) / 9.2 (Internal Audit) |
| DPDP Act 2023 | Sec 10 (Accountability and Training) |
| NIST CSF 2.0 | GV.PO / GV.MA |
| NIRMATA Mapping | CA-Q06 assures auditor competence and independence. |