Audit Program Survey

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Purpose: Use this survey to evaluate the level of maturity of your audit program and the extent to which
it is realizing all of its potential benefits. You can also use it to gauge how well your management team
supports and believes in the audit program.
Instructions: The survey should be completed by the Audit Program Manager. Other auditors may be
questioned, to the extent needed.
1.0

Survey Topic: To what extent are auditees made to feel that they are respected and part
of the audit team?
Yes

No

Specific Question/Practice

1.a

Process owners/managers are requested to participate in the determining

the audit scope (areas to be reviewed) prior to the audit.

1.b

Process owners/managers are asked to identify their primary challenges or

concerns relating to the process being evaluated during the initial
interview. Any areas so offered are then given special attention by the
audit team.

1.c

Auditees are informed that they are part of the audit team during
introductions prior to starting an interview.

1.d

Auditees are asked if they have any suggestions or opinions about the
process or procedures being reviewed.

1.e

Auditors use the words we and our instead of you and yours wherever
possible during interviews.

1.f

Auditees are asked if there are any areas that the audit team overlooked.

1.g

Auditees are informed of any findings prior to terminating the interview.

2.0

Survey Topic: To what extent is the audit process seen as value-added by management?
Yes

No

Specific Question/Benchmarks

2.a

Process owners/managers willingly provide auditors to the audit program.

2.b

Process owners/managers allow auditors under their control sufficient

time to plan and conduct assigned audits.

2.c

Process owners/managers make themselves and their people available

during the audit.

2.d

Process owners/managers will on occasion request an audit be conducted

on their areas/processes independent of in addition to those already
assigned on the audit schedule.

2.e

Process owners/managers are generally supportive and appreciative of the

audit findings, and react appropriately and in a timely manner.

3.0

Survey Topic: To what extent does the audit program promote a spirit of continual
improvement and a focus on performance?
Yes

No

Specific Question/Practice

3.a

Audit findings frequently (over 30%) focus on performance/effectiveness

issues, and not just compliance or conformance.

3.b

Process owners/managers are usually willing to volunteer information on

process weaknesses and problems with the audit team.

3.c

Auditees are usually willing to volunteer information on process

weaknesses and problems with the audit team.

3.d

Process owners/managers are generally willing to accept findings relating

to performance when accompanied by objective evidence indicating the
need for improvement.

3.e

Process owners/managers are generally willing to accept findings relating

to known, but previously undocumented and hidden weaknesses when
found by the audit team.

3.f

Employees at all levels are free of fear of the audit process. When
weaknesses are found, management focuses on fixing the system, and not
punishing the individual.

4.0

Survey Topic: To what extent are audit skills seen as desirable beyond the audit process
itself?
Yes

No

Specific Question/Benchmarks

4.a

More employees volunteer to be auditors than there are auditor slots to

fill.

4.b

Managers often volunteer to be auditors.

4.c

Audit skill attainment is reflected in the organizations performance and

recognition system.

4.d

At least 25% of the organizations supervisors and mid-level managers

have at some point in their career functioned as internal auditors.

4.e

Managerial and leadership training courses as a minimum provide an

overview of the process approach to management and how to evaluate
process performance.

5.0

Survey Topic: To what extent do our internal audits focus on systems of related
processes, as opposed to stand-alone activities?
Yes

No

Specific Question/Benchmarks

5.a

The organization has identified its primary value streams, generically

and/or by specific customer or product segments.

5.b

Inputs, outputs and interrelationships between processes within the value

streams have been identified and mapped.

5.c

The audit schedule reflects at least one audit annually of each type of
primary value stream.

5.d

Auditors are provided sufficient time to understand, plan and conduct

audits of an entire value stream.

6.0

Survey Topic: To what extent does our internal audit program support our lean
initiatives and value stream management?
Yes

No

Specific Question/Benchmarks

6.a

The pool of auditors reflects all components of our primary value streams.

6.b

Auditors are provided training in value stream mapping and are often used
to support process teams during value stream analysis.

6.c

Audit checklists contain elements for evaluating the use of lean

operations, including areas such as 5S, Total Productive Maintenance, and
waste reduction.

7.0

Survey Topic: To what extent does our internal audit program support the execution of
the organizations strategic plan?
Yes

No

Specific Questions/Benchmarks

7.a

The organization has developed a balanced scorecard and has mapped the
scorecard indicators to the internal business processes that support them.

7.b

Internal auditors are aware of the organizations scorecard, strategy maps,

and strategic goals.

7.c

Internal auditors routinely examine the alignment between internal

business processes and their related metrics and the organizations
strategic goals and indicators as represented by the scorecard.

7.d

Internal auditors routinely examine the performance of key internal

business processes towards achievement of the organizations strategic
goals.