ISO 19011 Auditing Group

Application of the evaluation process for an audit team undertaking

an internal audit of a Fictional Chocolate Factory’s
quality management system
Example of the evaluation of competence for internal auditors undertaking an audit of a
quality management system.

This example can be used as a template for individuals and/or organizations to complete
their own. The intention is to add more examples.

Areas of Personal behaviours and skills Evaluation criteria Evaluation method

competence
Personnel Ethical, open-minded, diplomatic, Satisfactory Performance
behaviours observant, perceptive, adaptable, performance in the evaluation.
tenacious, decisive, self-reliant, workplace.
acting with fortitude, well
organized, open to improvement,
culturally sensitive, team player.
Generic knowledge and skills
Audit principle, Conduct an audit according to in- Successfully Review of training
procedures, house procedures, completed an in-house record.
processes and communicating with known auditor training course
techniques workplace colleagues. or a certification as an Observation.
auditor based on Peer review.
ISO/IEC 17024.
Performed
satisfactorily in X
audits as a member of
an internal audit team.
Management Apply the relevant parts of the Read and understood Review of training
systems and quality management system procedures relevant to records.
other reference manual and related procedures. the audit objectives, Testing.
documents scope and criteria. Interview.
Organizational Describe the auditee’s local Worked for the auditee Review of
situations structure and culture and any for at least XX period employment records.
demarcation issues. at supervisor or
managerial level.
Legal and other Identify and understand the Successfully Review of training
requirements application of the relevant laws completed a training (academic) records.
and regulations related to process course on the laws
and product quality. relevant to the
activities, process
and/or products and
services the subject of
this audit.
Alternatively,
Hold recognised

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 certificate, diploma or
degree in jurisdictional
law.
Risk assessment Identify and understand the Completed a training Review of training
application of the risk assessment course on risk records.
process to the auditee’s activities. assessment or Interview.
conducted risk Review of
assessments as part employment records.
of a work related
activity.
Industry (sector) specific skills
Terminology Knowledge and understanding of Worked for a Review of training
chocolate manufacturing chocolate record.
terminology. manufacturing or
related food sector for
minimum of XX years.
Process Knowledge of chocolate and food Worked as food Verification of
manufacturing processes such as technologist within professional
ingredient acquisition, storage, relevant food qualification
food preparation and handling, manufacturing sector Review of
food safety, and packaging. for not less than XX employment records
years.
Technology Knowledge of sterilization Worked as in a Employment record.
equipment, cooking, critical technical capacity as a
control points, calibration, production supervisor
packaging, quality control, and or similar for at least
food storage technologies. XX years.
Organization specific skills
Terminology Knowledge and understanding of Worked for at least XX Employment record.
specific terminology usage related months within the
to the organization’s technical organization.
processes and equipment.
Process Knowledge of organization Worked for at least XX Employment record.
specific, modified, custom-built years within the
and proprietary equipment, as organization. Review of training
well as organization process record.
control.
Technology Knowledge of the application Worked for at least XX Employment record.
temperature measurement and years in a related food
calibration, chilling and sector. Review of training
refrigeration, sterilization and record.
cleaning, and processing and
packaging technologies.
Statistical Analytical ability to apply CPK Completed training Employment record.
techniques techniques or statistical quality course in sustainable
control tools. process control. Review of training
record.
Products/services Knowledge of, raw material quality Completed XX months Employment record.
and sources, chocolate types, and working in the
recipes. Procurement, Sales
and Marketing
department.
Internal training or
apprenticeship.
Professional

2
 recognition or
certification gained
through study or
registration by an
accredited body.
Risk Knowledge and understanding of Worked for at XX Employment record.
food safety, traceability, process, years in a role in a
product handling and packaging. related food sector.
Review of training
Awareness of environmental risks Undertaken a risk record.
associated with discharges and management-training
processes. course.
Awareness of safety and health Professional
risks. recognition or
Awareness of the risk from food certification gained
allergies and intolerance. through study or
Awareness of food, physical, and registration by an
information security. accredited body.
Awareness of reputational risks.
Interested parties Customers, competitors, supply Experience interfacing Observation
chain partners, and employees. with procurement,
Regulators and food inspectors. sales and human
resource staff.
Previous liaison with
regulator or food
inspector.
Management system specific skills (quality)
Terminology Quality control, assurance, CPK, Completed an ISO/IEC Employment record.
measurement. 17024 accredited
quality management Review of training
system auditor training (academic) record.
course.

Academic or
apprenticeship training
in relevant food
industry
Worked for at least XX
years in a related food
sector.
Process Application of auditee’s processes Worked for at least XX Employment record.
applied in different management years in supervisory
stages. role in a related food Review of training
industry sector. record.
Technology Quality control and assurance. Worked for at least XX Employment record.
years in supervisory
role in a related food Review of training
industry sector record.
Undertaken courses or
training in quality
control or quality
assurance tools.
Undertaken 3 prior
audits of a
manufacturing facility.

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Statistical Analytical ability to interpret
techniques statistical results.
Risk Understand the auditee’s risk
assessment processes.
Training course in Employment or
statistical analysis. training record.
Undertaken a risk Employment record.
management training
course. Assisted in the
preparation Failure Review of training
Modes and Effects record.
Analysis studies.

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