AUDIT SESI 1

ISO 19011:2018 Audit Guidance Overview
📌 ISO 19011:2018 provides guidance for auditing management systems, applicable to both internal organizational audits and certification body audits.
🔎 An audit is defined as a systematic and independent examination to determine if management system activities conform to planned arrangements and are implemented effectively.
🚫 Audits must be systematic (covering planning, implementation, and reporting) and independent (auditors cannot audit their own activities).

Objectives and Scope of Auditing
🎯 Key objectives include assessing conformity to management system requirements and evaluating the effectiveness of the implemented system.
📅 Internal audits are a mandatory requirement under ISO management systems (e.g., Clause 9.2), requiring execution at least once per year.
🛠️ Audits serve as a vital tool for investigating problems, monitoring system performance, and providing a means for management system improvement.

Types of Audits and Auditor Responsibilities
1. First-Party Audit (Internal): Conducted by the organization itself.
2. Second-Party Audit: Conducted by a customer or other interested party (e.g., auditing a supplier).
3. Third-Party Audit: Conducted by an independent organization, usually for registration or certification.
📈 Management must establish an internal audit structure, appointing a Lead Auditor and supporting auditors based on organizational needs and certification scope.

Lead Auditor Duties Across Audit Phases
📝 Planning: The Lead Auditor prepares the long-term audit program (annual scope) and derives detailed audit schedules (specifying what, who, and when).
🤝 Preparation: Confirmation of the schedule with the Auditee is mandatory to establish agreement before the audit execution begins.
⏱️ Organization: Determining the duration of the audit and the number of team members must align with the audit program and operational conditions.
📢 Control: Leading the opening and closing meetings and resolving any conflicts or problems encountered during the audit process.

Auditor Tasks and Evidence Handling
📋 Verification: Auditors must define the aspects to be verified and prepare audit checklists as a reference guide.
🔬 Evidence-Based Findings: Conformity checks must be based on documentation derived from standard requirements, ensuring evidence is objective (avoiding subjective judgment or personal bias).
⚠️ Findings Categorization: Audit findings are divided into Conformities and Nonconformities (NCs); NCs are categorized as Major (requirement entirely absent or unimplemented) or Minor (inconsistency in parts of an otherwise functioning system).
✅ Follow-up: A critical final task is verifying corrective actions taken by the Auditee in response to issued nonconformities.

Essential Auditor Personality Traits
🧠 Auditors must be systematic, flexible yet adhere to standards, and thorough (jeli) in observing the environment and processes.
🗣️ They must be objective and friendly (ramah); being overly strict can negatively affect the cooperation and quality of information received during the audit.
⚖️ Fairness and firmness are essential; auditors must actively avoid the practice of fault-finding (using the audit to target specific individuals).

Key Points & Insights
➡️ Audits must strictly be systematic and independent; any deviation invalidates the systematic nature of the process.
➡️ Major Nonconformity implies a requirement was not prepared or implemented at all, whereas Minor Nonconformity typically indicates inconsistency in an otherwise applied system.
➡️ Auditors must trust the explanation provided by the Auditee if objective evidence supports it, even if the documentation appears freshly printed (the objective evidence prevails over suspicion).
➡️ All internal auditors must have received training aligned with the ISO 19011:2018 guidance, as it governs the audit methodology itself.

📸 Video summarized with SummaryTube.com on Feb 10, 2026, 04:46 UTC