Example questionnaire audit
Auditing, how should it be done? A questionnaire during an audit is a useful tool. A good questionnaire makes better audit outcomes possible. Be careful not to have an 'audit checklist'. The essence is that after an audit you have insight into the control and identify any shortcomings. More open questions that touch the essence, than yes/no questions.
The questions you want to ask (or have to ask because of standard requirements) depend strongly on the activity and the frame of reference. Often the standard, such as ISO 9001 for quality.
Still, it's useful to have some examples, if only to help you on your way.
Example audit questions per activity
As an example, some audit questions have been developed for 4 activities. With the ISO 9001 standard for quality as an example.
Many types of questions are possible: in terms of process, in terms of standard, in terms of professionalism of the organization, etc. We rely on our business partner meta-audit.nl. They have more examples. which are also in the test system.
| Management |
- What does the policy look like in general terms and how do you ensure that this policy remains up to date?
- What are the measuring points (KPIs) to assess that the organization is functioning well? Show me this one from the last few months.
- How are the tasks and responsibilities within the organization arranged?
- How do you deal with deviations (examples?) and how do you realize improvements?
|
| Sale |
- How do you determine what customers and other stakeholders want?
- How do you 'translate' these requirements or wishes into concrete products or services? And how do you know (do you measure ... ) whether this is successful?
- Who should assess whether the specifications are correct and complete? Can it be seen that this has happened?
|
| Purchase |
- How do you know if your suppliers are delivering good products or services? Is this demonstrable?
- What are the high-risk suppliers. Do you do something extra for this and then what?
- What problems have there been and how did you deal with them?
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| HR |
- What competencies are needed within the organization?
- Is there a so-called HR cycle? What does it look like? I would like to do a few random checks to see that the implementation in the last year is satisfactory.
- How are new employees assessed? By whom. Is this demonstrable from the last 3 new employees?
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Example audit questions per standard item
An alternative approach is to elaborate the audit questions per standard item.
As an example, some audit questions have been developed for 3 activities. Using the ISO 9001 standard for quality again as an example, the first few chapters have been worked out. This supporting information for the auditors can also be processed directly in an audit report, as the screenshots below or this demo (Audits tab) show.
More substantive (example) information can be found at our business partner meta-audit.nl, in the test system. Or mail for the (free) sample audit questions.
| Chapter 4 - Context of the organization |
- Have all (relevant) stakeholders been identified?
- What are their expectations?
- Has the scope been established?
- Are the important (primary + supporting) processes described?
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| Chapter 5 - Leadership |
- Do management show clear commitment? Requirements, legislation, risks, opportunities, customer satisfaction?
- Has policy been established?
- Is everyone aware of the policy (function relevant)?
- Is there an organization chart? Are roles, responsibilities, powers known?
|
| Chapter 6 - Planning |
- Have risks (and opportunities) been identified?
- Are there measures against undesirable risks?
- Have goals been set? Are actions planned?
- Are (major) changes being tackled in a planned manner?
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| Chapter ......... see demo (tab Audits) |
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Audit process
An audit is an activity that identifies the risks or shortcomings in a process or activity . Does a process or activity meet the frame of reference, for example the ISO 9001 quality standard? The extent to which the existing control measures sufficiently cover the risks is examined.
The auditor who carries out the audit must be independent. An important requirement. It is important that the auditor does not assess processes for which he is responsible and therefore has no interest in the results of the audit. The method of an audit can differ from time to time. It is therefore useful to have several questionnaires.
In general, it consists of the following process steps:
- Preparation
An agenda is drawn up for the specific audit on the basis of a previously drawn up audit programme. What is covered and what is not. The management system or parts of it are reviewed and the results of the previous audits are examined. Have all improvements been implemented effectively?
- Execution
During the audit, the auditor examines whether the organization or process meets the requirements of a standard based on evidence. To this end, the auditor collects information such as documents and registrations and assesses operational (monitoring) systems. In addition, information can be obtained through auditor observations and interviews with employees. The auditor checks and assesses the information. Can it be shown that the auditee says what he does, and that he does what you say?
- Report
All findings, deviations from the standard or suggestions for improvement are collected and recorded in an audit report. Discussed topics, points of attention and shortcomings are described in this and these are discussed with the auditee. Corrective actions are also recorded. There should be no ambiguity about the facts.
- Succession
If corrective actions have been proposed in the audit report, the auditee must implement them. In a subsequent audit, for example a repeat audit, it can then be assessed whether these corrective measures have actually been implemented.
A very specific process. For the implementation, we also rely on our business partners from meta-audit.nl.
Audit tooling
On the IT side, developments are moving fast. An interactive audit report that can also be used on mobile devices. Multiple auditors can perform an audit together and the results are centrally transparent.
Take a look at this overview of 'standard' functionalities of a digital management system, set up for audits.
Planning
Audit frame work |
- Schedule audits in advance
- Timely alerting
- Insight and overview
- Check for completeness of standard requirements
- Monitoring
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| Workflow control |
- Clear process steps
- Audit trail
- Overview of current status
- Flexible workflows
- Dual workflows (audit cycle and follow-up of shortcomings)
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| Preparation |
- Clear audit agenda
- Interactive explanation per standard item
- Previous Shortcomings Lookup
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| Execution |
- To be set up per audit type
- One framework, multiple standards
- Also for mobile devices
- Short lead times
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| Monitoring |
- Dashboard
- Multisite
- Details and overall picture
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For those who are still 'fighting' with loose documents, long lead times or unclear progress ....
Prepare our cloud solution Infoware in 60 seconds, workflow-driven audit reports within a management system. And spot the differences...
[The image links to the audit form/report, fill in and start. Results can be found in the demo environment]
[Click here for instructions and more examples]
