ISO 19011 Audit Assessment Tool

If you carry out first or second party audits, this audit tool is for you.

Use our audit assessment tool to improve the overall performance
of your organization's auditing practices, processes, and policies. 

Use our tool if you need to assess and improve how your organization audits
management systems. There are many kinds of management systems. Some of
these are listed below. If you audit any of the following management systems, you
can use our tool to assess and improve your auditing practices and processes:

  • Risk management systems
  • Safety management systems
  • Health management systems
  • Quality management systems
  • Service management systems
  • Records management systems
  • Disaster management systems
  • Document management systems
  • IT security management systems
  • Emergency management systems
  • Food safety management systems
  • Sustainability management systems
  • Environmental management systems
  • Workers' safety management systems
  • Business continuity management systems
  • Information security management systems
  • Transportation safety management systems
  • Supply chain security management systems
  • Organizational resilience management systems
  • Occupational health and safety management systems

Use our audit assessment tool to pinpoint the gaps that exist between ISO's
new auditing standard and your organization's auditing practices and processes.
Once you've filled all the gaps, you can be assured that you not only comply with
the standard but you can also be confident that you've done everything you can
to improve the overall effectiveness of your organization's audit activities.


This page will introduce our assessment tool. It will show you how it is organized
and it will explain how it works. Once you've examined our approach, we hope
you'll consider purchasing our complete ISO 19011 2011 Audit Assessment Tool.

Our ISO 19011 Assessment Tool is 108 pages long and is available in both
pdf and MS doc file formats. It is easy to understand and ready to use.

ISO 19011 2011 AUDIT ASSESSMENT TOOL

TABLE OF CONTENTS (TITLE 11)

 

OVERVIEW AND SUMMARY

 

1

Overview of Our Audit Assessment Tool

3

2

Profile of Your Audit Assessment Project

8

3

Summary of Your Audit Assessment Results

9

 

ASSESSMENT QUESTIONS AND ANSWERS 

 

4

Assess How Well Your Personnel Apply Audit Principles

10

5

Assess the Performance of Your Management Audit Program

14

6

Assess the Performance of Your Management Audit Activities

46

7

Assess the Effectiveness of Your Competence Evaluation Process

SAMPLE

 

MANAGEMENT AUDIT IMPROVEMENT PLANS

 

8

Improve How Well Your Personnel Apply Audit Principles

98

9

Improve the Performance of Your Management Audit Program

99

10

Improve the Performance of Your Management Audit Activities

100

11

Improve the Effectiveness of Your Competence Evaluation Process

101

 

APPENDICES

 

12

Plain English Terms and Definitions

102

13

License Agreement and Contact Information

107

SEP 2012

COPYRIGHT © 2012 BY PRAXIOM RESEARCH GROUP LIMITED 

VER 1.0


Audit Assessment Profile

Before you start your assessment, you will be asked to fill out a one page form
entitled Profile of Your Audit Assessment Project (see Part 2, above). First record
the name of the organization being assessed, its address, and a brief description
of the actual scope or focus of your assessment. Also record the names of your
assessment team members and your start date. Once you’ve completed the
assessment, use the same form to record when the assessment was finished,
who reviewed the assessment and when, and any review comments (if any).


Assessment Questions

ISO 19011 is made up of four sets of auditing guidelines. As a result, our
assessment tool contains four questionnaires. We've taken each guideline
and turned it into a question. Our four questionnaires will allow you to:

4. Assess how well your audit personnel apply audit principles.

5. Assess the performance of your management audit program.

6. Assess the performance of your management audit activities.

7. Assess the effectiveness of your competence evaluation process.

Our assessment questionnaires start with section 4 because the ISO 19011 2011
guidelines start in section 4. We've preserved this numbering system in order to
make it easy to cross-reference the original ISO 19011 standard with our material.
However, at the detailed level we have added a numbering system that you won’t
find in the original standard. We have sequentially numbered all questions within
each of the 4 parts (4 to 7) that make up the core of the standard. We have done
this in order to make it easier for you to work with our questionnaires.

In addition, we have used paragraph indents to distinguish between general
questions and specific questions. This approach makes it easy to see how our
questionnaires are structured. In most cases, a general question is immediately
followed by several specific questions which usually help clarify what the general
question means. If you’re not sure what a general question is asking, just keep
reading. In most cases, the more detailed questions will clarify what the general
questions are trying to ask. But, if you’re still not sure about what a question or
word means, perhaps our Plain English Terms and Definitions section will help
(see Part 12, above).


Methodology

For each question, three answers are possible: YES, NO, or N/A. A YES answer
means you’re in compliance with the standard, a NO answer means you’re not in
compliance, while an N/A answer means that this question is not applicable in your
situation. NO answers reveal gaps that exist between the ISO 19011 standard and
your organization's audit practices and processes.

Answer each question by recording one of these three answers in the cell to the
right of each question. To the right of these answers you will also find a column
that can be used to record comments and observations.

Once all four sets of questions have been completed, study the NO answers and
use the associated questions to formulate remedial actions. Use the forms at the
end of this audit assessment process (Parts 8 to 11) to record remedial actions
and to create management audit improvement plans.

Once you've done this for all gaps, you would have four detailed plans which,
taken together, would make up a complete management audit improvement plan.
And once all plans have been implemented and all remedial actions have been
taken, you will have improved the overall effectiveness of your organization's
audit practices, processes, policies, procedures, and programs.

The following example will show you what our
ISO 19011 Audit Assessment Tool looks like.

SAMPLE AUDIT QUESTIONS

ISO 19011 2011 AUDIT ASSESSMENT TOOL

7. ASSESS THE EFFECTIVENESS OF COMPETENCE EVALUATION PROCESS

7.1 ESTABLISH YOUR AUDITOR EVALUATION PROCESS

1

Has your audit program manager developed a process
to evaluate your organization's audit team members?

 

 

 

2

 

Does your personnel evaluation process
consider audit program requirements?

 

 

 

3

   

Does your personnel evaluation process
consider audit program objectives?

 

 

 

4

   

Does your personnel evaluation process
consider audit program procedures?

 

 

 

5

   

Does your personnel evaluation process
consider audit program expectations?

 

 

 

6

   

Is your evaluation process fair and objective?

 

 

 

7

   

Is your evaluation process reliable and consistent?

 

 

 

8

 

Does your personnel evaluation process
consider personnel competence requirements?

 

 

 

9

 

Does your personnel evaluation process
consider personal behavioral requirements?

 

 

 

10

 

Does your personnel evaluation process
consider knowledge and skill requirements?

 

 

 

11

 

Does your evaluation process consider the
generic knowledge and skill that auditors
and audit team leaders should have?

 

 

 

12

 

Does your evaluation process consider the
specialized knowledge and skill that auditors
and team leaders should have?

 

 

 

13

 


Does your evaluation process consider the
specialized knowledge and skill that is needed
within each management system discipline?

 

 

 

14

 

Does your personnel evaluation process
consider educational requirements?

 

 

 

15



Does your personnel evaluation process
consider training requirements?


 

 

16

   

Does your personnel evaluation process
consider experience requirements?

 

 

 

17

   

Does evaluation process consider
audit experience requirements?

 

 

 

18

   

Does evaluation process consider
work experience requirements?

 

 

 

19

Does your audit program manager plan
the evaluation of audit team members?

 

 

 

20

 

Does your audit manager define audit
team member competence requirements?

 

 

 

21

 

Does your audit manager establish
audit team member evaluation criteria?

 

 

 

22

 

Does your audit manager select audit
team member evaluation methods?

 

 

 

23

Does your audit program manager evaluate
the competence of audit team members?

 

 

 

24


Does your audit manager evaluate the behavior
of your organization's audit personnel?

 

 

 

25


Does your audit manager evaluate the
knowledge and skill of each team member?

 

 

 

26



Does your audit manager evaluate each team
member's ability to apply the knowledge and
skill that they have acquired?

 

 

 

27




Does your audit manager evaluate whether
or not your audit team as a whole is capable
of achieving audit objectives?

 

 

 

28


Does your audit manager document
all personnel competence evaluations?

     

29



Does your audit manager document
auditor competence evaluations?

 

 

 

30

   

Does your audit manager document
team leader competence evaluations?

 

 

 

31

 

Does your audit manager use evaluation
outcomes to control competence?

 

 

 

32

   

Does your audit manager use evaluation outcomes to
select audit team members for each individual audit?

 

 

 

33

   

Does your audit manager use evaluation outcomes to
help improve the competence of your organization's
audit team members?

 

 

 

34

   

Does your audit manager use evaluation
outcomes to identify training needs?

 

 

 

35

   

Does your audit manager use evaluation
outcomes to monitor the performance history
of your organization's audit personnel?

 

 

 

36

Does your audit program manager try to maintain
the competence of all audit team members?

 

 

 

37

 

Does your audit manager ensure that audit
personnel participate in audits on a regular basis?

 

 

 

38

Does your audit program manager try to improve
the overall competence of audit team members?

 

 

 

39

 

Does your audit manager encourage audit personnel
to continue their ongoing professional development?

 

 

 

40

 

Does your audit manager encourage audit
personnel to gain additional work experience?

 

 

 

7.2 DEFINE AUDITOR COMPETENCE REQUIREMENTS

7.2.1 CONSIDER THE WORK THAT AUDITORS NEED TO DO

41

Does your audit program manager consider the work
auditors are expected to do when he (or she) thinks
about the knowledge and skill they should have?

 

 

 

42


Does your audit manager consider the nature
of your organization's unique audit program?

 

 

 

43

   

Does your manager consider the extent
of your organization's audit program?

 

 

 

44

   

Does your manager consider the objectives
of your organization's audit program?

 

 

 

45

   

Does your manager consider the uncertainty
auditors tend to face as they try to achieve
their audit objectives?

 

 

 

46

 

Does your audit manager consider
the organizations to be audited?

 

 

 

47

   

Does your manager consider
the size of these organizations?

 

 

 

48

   

Does your manager consider the
nature of these organizations?

 

 

 

49

   

Does your manager consider the
complexity of these organizations?

 

 

 

50

 

Does your audit manager consider the
management systems to be audited?

 

 

 

51

   

Does your manager consider the size and complexity
of the particular management systems to be audited?

 

 

 

52

   

Does your manager consider the role that your audit
process plays in the auditee's management systems?

 

 

 

53

   

Does your manager consider the academic disciplines
or fields of study needed by each management system?

 

 

 

54

 

Does your audit manager consider
the requirements that must be met?

 

 

 

55

   

Does your manager consider the requirements and
demands imposed by all relevant external agencies?

 

 

 

7.2.2 BE A PROFESSIONAL AND HAVE GOOD CHARACTER

56

Do your auditors behave in a professional manner whenever
they're acting as auditors (do they exhibit good character)?

 

 

 

57


Are they ethical (are they truthful and honest)?

 

 

 

58



Are they fair (are they impartial and do they avoid bias)?

 

 

 

59



Are they sincere (are they genuine and free of deceit)?

 

 

 

60


Are they open-minded (are they willing to explore alternatives)?

 

 

 

61



Are they willing to consider other points of view?

 

 

 

62



Are they willing to consider alternative ideas?

 

 

 

63


Are they versatile (are they adaptable and flexible)?

 

 

 

64



Are they able to adjust to new or different situations?

 

 

 

65


Are they receptive (are they willing to learn and improve)?

 

 

 

66



Are they willing to learn from events and situations?

 

 

 

67


Are they perceptive (are they attentive and watchful)?

 

 

 

68



Are they aware of situations and activities?

 

 

 

69

 

Are they observant (are they aware of their surroundings)?

 

 

 

70

 

Are they collaborative (are they able to work with others)?

 

 

 

71

 

Are they able to work effectively with auditee personnel?

 

 

 

72

 

Are they able to work effectively with team members?

 

 

 

73

 

Are they decisive (can they draw timely conclusions)?

 

 

 

74

 

Are they able to analyze information and use logical
reasoning to reach reasonable conclusions?

 

 

 

75

 

Are they tenacious (are they persistent and focused)?

 

 

 

76  

Are they willing to work until objectives are achieved?

 

 

 

77

 

Are they willing to strive for better audit results?

 

 

 

78

 

Are they courageous (are they intrepid)?

 

 

 

79

   

Are they willing to act ethically and responsibly even
though their actions may make them unpopular?

 

 

 

80

   

Are they willing to act ethically and responsibly even
though their actions may result in confrontation or
cause disagreement?

 

 

 

81

 

Are they self-reliant (are they able to act independently)?

 

 

 

82

   

Are they able to function independently
while interacting effectively with other people?

 

 

 

83

 

Are they diplomatic (are they tactful and discreet)?

 

 

 

84

 

Are they respectful (are they sensitive to
the auditee organization's unique culture)?

 

 

 

7.2.3 POSSESS APPROPRIATE KNOWLEDGE AND SKILLS

7.2.3.1 POSSESS KNOWLEDGE NEEDED TO ACHIEVE RESULTS

85

Do your auditors possess the knowledge and skill they
need in order to be able to achieve intended audit results?

 

 

 

86


Do they possess the generic knowledge and skill that
they need in order to be able to carry out assigned
audits and achieve intended results?

 

 

 

87


Do they possess the specialized knowledge and skill
that they need in order to be able to carry out assigned
audits and achieve intended results?

 

 

 

88



Do they possess the specialized knowledge and skill
that is needed in order to be able to carry out assigned
audits and achieve intended results within specific
management system disciplines?

 

 

 

89



Do they possess the specialized knowledge and skill
that they need in order to be able to carry out sector
specific audits and achieve intended results?

 

 

 

90

Do your audit team leaders possess the knowledge
and skill that they need in order to be able to provide
leadership to their audit teams?

 

 

 

7.2.3.2 POSSESS NECESSARY GENERIC KNOWLEDGE AND SKILLS

91

Do your auditors possess the knowledge and skill they
need in order to ensure that audits are conducted in a
systematic and consistent manner?

 

 

 

92


Are they able to understand and use auditing knowledge?

 

 

 

93



Are they able to understand and use audit principles?

 

 

 

94



Are they able to understand and use audit procedures?

 

 

 

95



Are they able to understand and use audit methods?

 

 

 

96



Are they able to understand and use audit techniques?

 

 

 

97

 



Are they able to understand and use audit sampling?

 

 

 

98





Are they able to evaluate the appropriateness
of possible sampling proposals and plans?

 

 

 

99





Are they able to consider possible consequences
when specific sampling plans are chosen?

 

 

 

100


Are they able to plan audits and organize the work?

 

 

 

101


Are they able to stay on schedule and finish on time?

 

 

 

102


Are they able to give priority to significant matters?

 

 

 

103


Are they able to collect appropriate information?

 

 

 

104



Are they able to conduct effective interviews?

 

 

 

105

 



Are they able to listen attentively to interviewees?

 

 

 

106



Are they able to review relevant information?

 

 

 

107

 



Are they able to review relevant documents?

 

 

 

108

 



Are they able to review relevant records?

 

 

 

109

 



Are they able to review relevant data?

 

 

 

110



Are they able to observe and interpret behavior?

 

 

 

111


Are they able to understand and consider expert opinion?

 

 

 

112


Are they able to verify the accuracy of information collected?

 

 

 

113



Are they able to verify the relevance of information?

 

 

 

114


Are they able to use working papers
(i.e., work documents) to record activities?

 

 

 

115


Are they able to evaluate the adequacy of audit evidence?

 

 

 

116



Are they able to verify that sufficient evidence has
been collected and to confirm that it is appropriate?


 

 

117

 



Are they able to establish that audit evidence
supports audit findings and conclusions?

 

 

 

118

Etcetera ...

 

 

 


Attention

Now that you know what our tool looks like, please consider
purchasing our Title 11: ISO 19011 2011 Audit Assessment Tool.

If you purchase our ISO 19011 Assessment Tool, you'll find
that it's integrated, detailed, exhaustive, and easy to understand.
You'll find that we've worked hard to create a high quality product.
In fact, we
guarantee the quality of our ISO audit assessment tool.
Title 11 is 108 pages long and comes in pdf and doc file formats.

Place an Order 

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MORE ISO 19011 PAGES

Introduction to Auditing Standard

Plain English Auditing Definitions

Brief Overview of Auditing Standard

ISO 19011 2011 Translated into Plain English

Annex A: Knowledge and Skills Auditors Should Have

Annex B: Planning and Performing Management System Audits

ALSO SEE OUR OTHER PLAIN ENGLISH AUDIT TOOLS AND PROGRAMS


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Updated on February 12, 2017. First published on September 26, 2012.

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