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Auditor Observation/Review
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This form is to be used by Interface staff when conducting an auditor observation. It is NOT essential, or expected,
that every part of this form is completed. Only areas where the specific criteria have been observed in application,
and can be evidenced, should be completed. Either Part 1, Part 2 or both parts of the form can be completed.

The purpose of witness assessments/auditor observation is to identify positive areas from observation, so that these
can be passed on to other auditors, and to identify areas where improvement could be made and/or CPD would be
beneficial.

Auditor
Observer
Date
Standard Choose an item.

Type of review Choose an item.

Technical area/EA
code
Notes:

Part 1: Witness Assessment (to be completed for on or off-site Witnessed

Assessment – where the auditor is observed conducting the audit).

Requirements Evidence and notes

Opening meeting

Has the opening meeting met the requirements of section 9.4.2 of ISO
17021-1, and covered all relevant points (confidentiality, objectives,
changes in the scope, etc.)?

If appropriate, did the auditor clarify whether and where taking

photographs was acceptable, and clarify no photographs would be taken
that allows persons to be identified?  

Has the auditor defined the audit process? (Timetable, people to meet,
organization of the day)  

Has the auditor explained the certification process? E.g. collection of

evidence, sampling and its limitations, grading of NCs and there relevant
timescales  

Has the auditor explained roles of the audit team members?  

Initial Activities
Has the auditor checked non compliances from previous years, and closed
these out/proposed further action?  
Document Review

Has the auditor checked and reviewed procedures for accuracy and
completeness?  Describe
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Requirements Evidence and notes

Has the auditor reviewed the Document Management System?  Describe

Has the auditor proactively sampled appropriate documents?  Describe

Staff interviews
Has an appropriate number and selection of employees been interviewed,
at relevant CCPs?  

Did the auditor ask open questions?  

Were interviews conducted remotely from senior personnel?  
Audit Trails
Has the auditor checked and verified critical control points?  

Were audit trails established and followed to audit conclusion?

Did the auditor take effective notes? Did the auditor use any additional
means to record evidence?
Did the auditor link audit findings with evidence and description in the
notes?
Were any findings deemed correct, attributed to the right part of the
Standard, and at the appropriate level (i.e. OFI, minor, major)?
Closing meeting
Has the closing meeting met the requirements of section 9.4.7 of ISO
17021-1 and covered all appropriate points? (e.g. thanks for cooperation,
confirmation of NCs and process, timescales)  
Have findings been identified and Corrective Actions agreed with the
client?  
Time management and organisation

Was the audit plan adhered to/ If there were deviations, were these
acceptable and was this communicated to the client?  

Was the audit timing consistent with the audit plan?

Personal attributes

Is the auditor a good communicator, able to converse confidently with the

auditees and ensure interviewees understand the audit process and
questions?  
Has the auditor acted at all times in a professional and courteous
manner?  

 Has the auditor effective personal attributes allowing for a thorough and
effective audit to have been conducted?
Knowledge and skills
Did the auditor demonstrate a good knowledge of, and capability for, the
audit process?
 
 In particular, comment on knowledge of the ISO
Standard(s), use of applicable procedures/ documents
used as audit criteria; understanding of hierarchy of
reference documents; and application of the reference
documents
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Requirements Evidence and notes

Did the auditor have an adequate knowledge of the applicable legal and
other requirements for the audit?
Was the auditors standard and sector related body of knowledge
adequate for a fully effective audit to be conducted?

Comments, Conclusions, Recommendations

If not, comment on why, and whether the use of the
Was an effective audit conducted? auditor should be halted until
competency/performance issues are addressed.

Include here any  specific comments, particularly focused on any training, support of CPD that would be useful.

Name of Witnessing Auditor Date  

     

Part 2: Post-Audit Review (to be completed for reviewing the audit and audit
report after the auditor has conducted the audit and written the report. The
PAR is based on document review and an auditor interview).

Requirements Evidence and notes

Background Document Review

Is there evidence that the findings in the previous audit report were
addressed and closed out or raised as new findings?
 

Is there evidence that the audit plan in the previous audit report has been
used effectively and adhered to?  

If the audit plan was modified between the previous audit and this audit
being reviewed, is it clear why (e.g revised application review) and was
this communicated with the client prior to the audit?  
Is the auditor competent in the technical area/EA code according to the
auditor log?  
Audit Process
Was the audit correct in terms of the cycle identified on a) the application
review and b) the certificate in terms of main assessment, surveillance or
re-certification.  

Were the correct time (number of days) spent on the audit?

Core Document Review
 Describe
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Requirements Evidence and notes

Are the audit notes completed in accordance with the audit plan: are all
sections on the plan completed in the notes, and has the auditor deviated
into areas not on the plan (if so, is this justified through following audit
trails)?
Is it clear from the audit notes what the auditor actually did? Is it clear
who was met, what sites/processes were visited, and what audit trails
were followed?
Are the audit notes adequate, logical and with appropriate levels of detail
and evidence.  Describe
Do the audit notes demonstrate a thorough audit, including addressing
any deviancies from the planned audit to the actual situation (for
example, a new site identified, new process, change in structure or key
personnel)?  Describe

Are findings clearly raised in the audit notes (OFIs, minor, major)
Do the findings in the audit report reflect the findings in the audit notes?
Do findings have enough detail, supporting evidence and clarity to help
the client understand an address them?

Do findings relate to the correct clause in the standard(s)?

Is there an agreed corrective action from the client recorded for non-
conformities?
If Major non-conformities have been raised, have they been dealt with
appropriately?

Is the executive summary clear and appropriate?

Is the audit plan for the next audit adequate, appropriate and clear?
Is information for the administration team correctly completed and
appropriate?
Is the audit report complete, and of a standard that should be sent to the
client?
Auditor interview
Does the auditor appear to have the appropriate technical knowledge for
the client and the TA/EA code?  Describe.

Can the auditor articulate and justify the audit approach in terms of ISO
17021-1 requirements?  Describe
Does the auditor demonstrate adequate self-awareness in terms of how
the audit was conducted and areas of potential improvement?  
Did the auditor check and verify critical control points?  
Were logical and risk-based audit trails identified and followed to
adequate evidence and conclusion?
Did the auditor feel they took effective notes? Did the auditor use any
additional means to record evidence?
Did the auditor feel they had linked audit findings with evidence and
description in the notes?
Is there anything the auditor feels was a weakness of the audit or could
have been improved on?
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Requirements Evidence and notes

If there are any findings or other areas where it is felt improvement could
be made, does the auditor discuss and reflect on these in a positive
manner with the client?
Closing meeting
Has the closing meeting met the requirements of section 9.4.7 of ISO
17021-1 and covered all appropriate points? (e.g. thanks for cooperation,
confirmation of NCs and process, timescales)  
Have findings been identified and Corrective Actions agreed with the
client?  
Time management and organisation

Was the audit plan adhered to/ If there were deviations, were these
acceptable and was this communicated to the client?  

Was the audit timing consistent with the audit plan?

Personal attributes

Is the auditor a good communicator, able to converse confidently with the

auditees and ensure interviewees understand the audit process and
questions?  
Has the auditor acted at all times in a professional and courteous
manner?  

 Has the auditor effective personal attributes allowing for a thorough and
effective audit to have been conducted?  
Knowledge and skills
 In particular, comment on knowledge of the ISO
Standard(s), use of applicable procedures/ documents
used as audit criteria; understanding of hierarchy of
Did the auditor demonstrate a good knowledge of, and capability for, the reference documents; and application of the reference
audit process? documents
Did the auditor have an adequate knowledge of the applicable legal and
other requirements for the audit?
Was the auditors standard and sector related body of knowledge
adequate for a fully effective audit to be conducted?

Comments, Conclusions, Recommendations

If not, comment on why, and whether the use of the
Was an effective audit conducted? auditor should be halted until
competency/performance issues are addressed.

Include here any  specific comments, particularly focused on any training, support of CPD that would be useful.

Name of Witnessing Auditor Date  

     
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Annex Areas for Competency Assessment

1. The following key areas should be considered during competency assessment for Witnessed Audits and Post
Audit Reviews. They are extracted from the following normative documents that should be consulted for further
information if required:
 ISO 17021: 2015 Conformity assessment — Requirements for bodies providing audit and certification of
management systems — Part 1: Requirements
 ISO 17021-2: 2016 Conformity assessment Part 2: Competence requirements for auditing and certification of
environmental management systems
 ISO 17021-3: 2017 Conformity assessment Part 3: Competence requirements for auditing and certification of
quality management systems
 ISO 17021-10: 2018 Conformity assessment Part 10: Competence requirements for auditing and certification
of occupational health and safety management systems
 ISO 19011: 2018 Guidelines for auditing management systems

Criteria Assessed knowledge/behaviour

General Auditor Competency – all management systems

Personal Attributes Ethical; open minded; diplomatic; observant; perceptive; adaptable; tenacious;
decisive; Self-reliant; acting with fortitude; well organized; open to improvement;
culturally sensitive; team player
Knowledge & Skills: planning and organisation; time management; focus; effective information collection;
Audit principles, sampling techniques for auditing; verification and triangulation; generating evidence
procedures, and base; assess reliability of findings/conclusions; note taking and report writing;
techniques confidentiality and security of information; effective communication; risks associated
with auditing; remote auditing techniques; Interface system and procedures
Knowledge & Skills: application (MD5, MD11); components/ interaction; specific standards, applicable
management system procedures/ documents used as audit criteria; hierarchy of reference documents;
and reference application of the reference documents; control and protection of information;
documents organizational types, governance, size, structure, functions, and relationships;
organizational context; SWOT, PESTLE and Stakeholder Analysis; risks and
opportunities in planning; general business and management concepts; cultural and
social aspects
Knowledge & Skills: laws and regulations; basic legal terminology; contract and liability
applicable legal and
other requirements
Knowledge & Skills: balance audit team; develop harmonious team; manage audit process; planning the
leadership audit and making effective use of resources; managing the uncertainty of achieving
audit objectives; protecting the safety and health of the audit team members;
organizing and directing the audit team members; providing direction and guidance to
auditors-in-training; preventing and resolving conflicts; represent the audit team in
communications with the audit client and auditee; understand and respect the
experts’ opinion; lead the audit team to reach the audit conclusions; prepare and
complete effective audit report

Quality Management System Competency Criteria

QMS principles and QMS principles; QMS application; Management system requirements for the quality
their application standard being audited against (ISO9001:2015)
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Criteria Assessed knowledge/behaviour

Legal and other Relating to quality and conformity assessment; Sector-specific requirements; Product
requirements safety, labelling, prohibited substances, product life cycle; Acceptable work
relevant to quality environment; Industry and trade association best practices documents; Guidance
from regulatory bodies; Customer agreements
Application of quality Process control (e.g. statistical process control); Risk techniques for determining risk
techniques Process improvement (e.g. Six Sigma, TQM etc); Root cause analysis
Body of knowledge Quality terminology; Measurement science and monitoring techniques; Statistics;
General characteristics of processes and products, including services

Environmental Management Systems Competency Criteria

EMS principles and EMS principles; EMS application; Management system requirements for the
their application environmental standard being audited against (ISO14001:2015)
Legal and other Legal and other requirements dealing with the environment; Environmental Permits;
requirements Process-specific dealing with environmental protection, pollution prevention and
relevant to resource efficiency; Labelling, use of hazardous substances, Product life cycle, product
Environment/EMS stewardship; Industry and trade association best practices documents; Guidance from
regulatory bodies; Customer and interested parties’ agreements
Application of Environmental Controls; Risk techniques; Environmental Assessment; Life Cycle
Environmental Analysis; Environmental Gap Analysis; Environmental Aspects; Initial Environmental
Techniques Review
Body of Knowledge Environmental terminology; Measurement science and monitoring techniques;
Life Cycle Thinking; Circular Economy; Sustainability / Corporate Social Responsibility;
Statistics; Best Available Techniques (BAT); Critical load; Precautionary principle;
Polluter pays principle; Pollution; Waste

Health & Safety Management System Competency Criteria

HSMS principles and HSMS principles; HSMS application; Management system requirements for the
their application standard being audited against (ISO45001)
Legal and other Relating to H&S and conformity assessment; Sector-specific requirements; Knowledge
requirements of key ACTs and Laws relating to H&S; Knowledge of HSE & Other Governing Bodies
relevant to H&S guidance for H&S
Body of knowledge H&S Terminology; H&S related Products and Equipment; Hazard and Risk
Identification and Control; Communication of H&S Aspects