Successful auditing according to (DIN EN) ISO 19011

Audit basics

• What is an audit?
• The audit standard DIN EN ISO 19011
• Terms: Audit program, audit criteria, audit evidence...
• Audit objectives: Conformity assessment and improvement
• Audit methods and audit activities

Audit types

• Internal and external audits (first, second and third party audits)
• Customer and supplier audits

Requirements for auditors

• Professional competence, methodological competence, social competence
• Personal requirements
• Independence, objectivity, responsibility and integrity
• Tasks and roles in audit teams

The audit program

• Resources required
• Annual audit plan
• PDCA cycle

Audit preparation

• Risk-based audit planning
• Preparation of the audit plan
• Document review
• Use of checklists

Interviewing and questioning techniques

• Closed and open questions
• Transactional analysis
• The 7 interview phases

Conducting the audit and audit findings

• Opening discussion - opening the audit correctly
• Audit findings: Praise, recommendation, deviation
• Formulation of deviations and deviation reports
• Closing meeting

Audit report and audit follow-up

• Analysis of the audit information
• Preparation of the audit report
• Audit follow-up measures

Input into the management review

• Preparation of audits for management
• Maneuver critique of the audit process
• Evaluation of the results from internal audits
• Comparison with results from external audits
• Identification of risks and opportunities of the audit process

Special features of external audits

• From the auditors perspective
• From the perspective of auditees
• Special features of remote audits for auditors and auditees