AUDIT SESI 2

ISO 19011:2018 Audit Stages
📌 The audit process under ISO 19011 is divided into four core stages: Preparation, Performance, Reporting, and Follow-up.
📝 Preparation involves appointing a Lead Auditor, establishing the audit scope and criteria, determining audit feasibility, setting up the team, and making initial contact to confirm the schedule.
🔎 Document review during preparation aims to assess the sufficiency of management system records relevant to the audit scope before fieldwork begins.

Audit Performance Stage Activities
🗣️ The performance stage begins with the auditor leading an opening meeting to introduce the team, clarify the scope, and confirm the schedule with the auditee.
📊 Auditors must collect and verify documented information (evidence) and outline audit findings, which can include conformities or non-conformities.
🚪 The stage concludes with a closing meeting where the Lead Auditor communicates verification results, positive aspects, and areas for improvement to the auditee.

Information Gathering and Documentation
❓ Auditors primarily gather documented information through three methods: Questioning (asking what they do), Checking (reviewing documentation/records), and Observation (seeing what they do in practice).
📋 Using an audit checklist helps achieve audit objectives, control the process, and provides objective evidence of the audit having been conducted.
📝 When documenting non-conformities, auditors must record the Problem, Location, Objective Evidence, and the Reference standard or procedure being violated.

Challenges and Tips During Audit Execution
😬 Common challenges include auditees steering answers toward prepared items, attempting to pressure the auditor, showing defensiveness, or pleading amnesia regarding documentation.
👂 To counter resistance, auditors should use open-ended questions (e.g., "Can you explain the process?") to elicit detailed, unscripted information.
🤝 Key success factors include using polite language ("Please show me"), remaining flexible and professional, avoiding arguments, and ensuring cooperation between the audit team and the auditee regarding scheduling.

Key Points & Insights
➡️ The Closing Meeting is crucial for communicating all findings (positive and negative) and discussing necessary improvement actions and timelines with management.
➡️ Auditors must adhere to the principle of positive thinking and never assume a situation based on conjecture; all findings require objective evidence.
➡️ For documenting non-conformities, use the structure: Problem, Location, Objective Evidence, and Reference to ensure clarity and completeness in the audit report.

📸 Video summarized with SummaryTube.com on Feb 10, 2026, 04:49 UTC