Audit Findings

This page provides a short overview of ISO 19011 2011 Annex B.8.

B.8.1 Preparing Findings

When you prepare your audit findings:

1. Consider previous audit records and conclusions.

2. Consider your audit client's expectations and requirements.

3. Consider how you're going to categorize your findings.

4. Consider your current audit findings and conclusions.

4.1. Consider opportunities for improvement.

4.2. Consider above average practices and achievements.

5. Consider your sample size and sampling methods.

B.8.2 Recording Conformities

When you record conformities:

1. Identify the audit criteria used to identify conformity.

2. Describe the evidence you have that supports conformity.

3. Prepare a formal declaration of conformity (if applicable).

B.8.3 Recording Nonconformities

When you record nonconformities:

1. Describe or refer to the audit criteria that was used.

2. Describe the audit evidence you have collected.

3. Prepare a formal declaration of nonconformity.

4. Summarize related audit findings (if applicable).

B.8.4 Dealing with Multiple Criteria

Sometimes auditors are expected to audit more than
one management system at a time. This is usually called a
combined audit. Whenever you're conducting a combined
audit and you have a finding that is linked to one set of audit
criteria you should consider the impact it could possibly
have on the other sets of audit criteria. Depending on the
arrangements you have with your audit client, you may:

1. Prepare separate findings for each set of criteria, or

2. Prepare a single set of findings for the combined audit.

2.1. Combine your references to multiple audit criteria.

If your audit arrangements allow you to do so, you may
wish to show the auditee how to respond to your findings.

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OTHER ANNEX B PAGES

Annex B.1: Applying Audit Methods

Annex B.2: Doing Document Reviews

Annex B.3: Carrying Out Audit Sampling

Annex B.4: Preparing Working Documents

Annex B.5: Selecting Information Sources

Annex B.6: Visiting Auditee's Location

Annex B.7: Doing Audit Interviews

OTHER ISO 19011 PAGES

Introduction to Auditing Standard

Plain English Auditing Definitions

Brief Overview of Auditing Standard

ISO 19011 2011 Audit Assessment Tool

ISO 19011 2011 Translated into Plain English

Annex A: Knowledge and Skills Auditors Should Have

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 Updated on July 12, 2014. First published on May 24, 2012.

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