Section 10 - ISO 19011

Auditing Techniques - Section 10 - ISO 19011

Auditing techniques include:

    * Observation of evidence and operations
    * Interviewing auditee personnel
    * Verifying the audit finding, and
    * Recording the findings and nonconformances
    * Tell me/show me:

This technique is one of the most effective in conducting audits. The auditor simply requests the auditee to explain or walk him/her through the activity or operation being audited. Questions need to be open-ended and precise. Open-ended questions are seen as less adversarial than closed-ended questions such as: “Why do you do the job this way?” or worse “Is this the way you suppose to be doing this job?”

The better audit questions are:

	Tell me how you conduct this operation.
	Tell me how you make sure that this operation is effective.
	Tell me what the inputs to the process are
	Tell me what the process outputs are.
	Tell me how the outputs link to other operations/processes.
	Tell me what the objectives of the operation are.

In addition, to closed-ended questions being somewhat adversarial, they don't include the opportunity for the interviewee to answer beyond yes or no. Therefore, they don't inherently contain the opportunity for the auditor to learn anything about the operation except yes or no. It's also common for companies to have instructed their people to "answer the auditor's question and then shut up". So, when you ask a closed-ended question don't be surprised if you get a closed-ended answer.

The next step is to compare the information gathered with procedures, instructions, standards, forms, checklists, computer system entries, and/or actual operation. Examples of auditing questions are:

• Show me the workmanship standard or procedure you use for this job.
• Show me how you monitor/measure the operation.
• Show me how your objectives/requirements are defined.

The next step is to verify the processes are operated consistently by looking at objective evidence of compliance such as records, employee knowledge, compliant product handling. 

Section 1. ISO 19011 Scope reference and definitions

    Section 2. ISO 19011 Principles of auditing

    Section 3. ISO 19011 Managing an audit program

    Section 4. ISO 19011 Audit program implementation

    Section 5. ISO 19011 Audit activities

    Section 6. ISO 19011 Preparing for onsite activities

    Section 7. ISO 19011 Conducting onsite activities

    Section 8. ISO 19011 What the auditor is looking for

    Section 9  ISO 19011 Audit reporting

    Section 10. ISO 19011 Audit techniques

    Section 11. ISO 19011 Audit path

    Section 12. ISO 19011 Effective communications

    Section 13. ISO 19011 Sampling

    Section 14. ISO 19011 Audit completion and follow-up

    Section 15. ISO 19011 Competence and evaluation of auditors

This represents a summary of the section in ISO 19011:2002. It's suggested that you obtain an copy of "ISO 19011 Explanations and Definitions".