Interview Questionnaire Free Template (Auditees)

Introduction

Internal audits are not only checklists and paperwork. They also cover the human side of things. This is perhaps most evident in the interviewing phase, whereby auditors speak with team members to understand how processes really work on the ground. Hence the need for a structured Interview Questionnaire Template for Auditees. A well-structured interview questionnaire template (for auditees) ensures that the interviews given are consistent, effective and in line with your internal audit framework; subsequently making your evidence collection stronger and audit results more reliable.

Aligning With Internal Audit Framework

Quality and consistency will be maintained if interview questions can be linked back to the Internal Audit Framework. Such alignment makes interviews targeted and risk-directed.

a. Link to Audit Objectives

If the audit is about data privacy, you might also consider questions like:

• What is your procedure for handling customer PII?
• Are you aware of your responsibility concerning sensitive data?

b. Risk-based Approach

Prioritize interviews in high-risk areas or those which have historical findings. Ask questions that will probe into previous non-conformities or newly implemented controls.

c. Standardize Yet Customize 

The template will contain core questions that can be used across all audits as well as blank fields for questions specific to that department - such that the interview can be adaptive and scalable.

d. Supporting Evidence Gathering 

The interview should serve as supplementary evidence rather than as a replacement for evidence that may otherwise be collected. Ensure that questions relate to document references or system walkthroughs:

• "Really? Can you show me how that's recorded?"
• "Where is that approval documented?"

 

Core Sections Of The Interview Questionnaire Template

Typically, a good Interview Questionnaire Template (Auditees) contains:

1. Context & Instructions

Keep it simple:

• Name, scope and objectives of the audit
• Role of the interviewee
• Purpose of the interview (e.g. validating control implementation)
• Confidentiality clause and clarification on how notes will be used

2. Warm-Up-Tinto

Start with some easy, open questions to put the interviewer at ease:

• "Could you describe the duties associated with your role?"
• "What kind of interface does your team have with information security processes?"

3. Control-Specific Questions

These must be customized depending on areas under audit. For example, categories could be:

Access Controls (Clause A.9)

• "How are user access rights reviewed and revoked when someone changes roles?"
• "Who approves access requests? How is approval documented?"

Incident Management (Clause A.16)

• "Have you been involved in a security incident or near-miss in the past year? Can you walk me through how it was handled?"
• "How are incidents reported and escalated?"

Patch Management (Clause A.12.6)

• "What is the average frequency of your critical patches being applied to the systems under your responsibility?"
• "What happens if a patch can't be deployed at the right moment?" 

Evidence & Documentation Verification 

Finally, questions confirming the existence of actual documents are:

• "Can you show me where the access control policy and recent reviews are documented?"
• "Where do you document the completed incident actions or root cause documentation?" 

5. Closing Summaries & Interview Feedback 

Close by:

• Summarizing main responses with the interviewee ("So you have confirmed that access reviews happen quarterly, right?")
• Asking if anything relevant was omitted 
• Thanking the interviewee and explaining next steps in follow-up or reporting 

Best Practices For Using This Template 

• Make it optional, not a script: Auditors should rely on it as guidance but not read from it word-for-word. Natural conversations often provide the best detail.
• Adapt it to the audit scope: Control-specific field sections relevant to the audit (i.e. vendor controls, remote access, telework) 
• Be prepared to pivot: If the auditee mentions unexpected issues, dive into it. The questionnaire helps you also ask follow-ups. 
• Open and closed questions should be used prudently: Closed questions confirm facts, while open questions gather context or explanation.
• Declare summary confirmations: At the end of each section, ensure you confirm with the interviewee that you accurately captured their response-it is an ISO requirement. 

Effective Tips For Conducting Interview Sessions With Auditees 

Apart from the right questions, the other determinant is how you conduct the interview. 

a. Setting the Mood

Most likely, the auditee is a little bit on edge when audits are mentioned because most equate audits with blame. You need to mention: 

• This is not a personal evaluation but a process check.
• An improvement process, not punishment.
• Their input is considered important but confidential. 

b. Neutral and Open-Ended

Ask open-ended :

• "Can you walk me through the steps you follow…?" 
• "What challenges do you face while performing this task?" 

And not accusatory phrases, such as :

• "Why didn't you..." 
• "Don't you know this is against policy?" 

c. Silence for the Strategic Advantage 

Give people time to fill in the silence with information beyond what they would normally provide. They're often processing some sort of issue that they haven't uncovered or some type of a missed control. 

d. Document, Don't Rely on Memory 

You make use of the template to take systematic notes in real time. You can set up a digital form in advance and have dropdowns already created for yes/no answers, evidence links, and categorization tags. 

Final Thoughts 

The Interview Questionnaire Template for Auditees is an important element of effective internal audit. This would enable auditors in the context of audit to capture the meaningful firsthand insights on how processes really function on a daily basis. When aligned to the Internal Audit Framework, questionnaires like these point to real world gaps between policy and practice. A good interview doesn't just show problems-it also shows opportunities. And with the right template, structure, and approach, audit interviews become a catalyst for continuous improvement and transparency.