ISO 19011:2018 Requirements Training Course

1. Purpose, Scope, and Application of ISO 19011:2018

• The critical role of ISO 19011 in management system auditing
• The interplay between ISO 19011 and other ISO management system standards
• Relevance to internal, supplier, certification, and integrated management system audits
• Essential terminology and definitions within the auditing field

2. Major Shifts from ISO 19011:2011 to ISO 19011:2018

• Evolution in auditing practices
• Novel concepts introduced in the 2018 edition
• Integration of risk-based thinking into audits
• Broadened guidance covering:
  • Management of audit programmes
  • Assessment of auditor competence
  • Methodologies for remote auditing
  • Auditing integrated management systems

II. Audit Principles Defined by ISO 19011:2018

1. Grasping the Seven Auditing Principles

• Integrity: The cornerstone of professional auditing
• Fair presentation: Ensuring accurate and objective reporting of findings
• Due professional care: Exercising diligence and sound judgement
• Confidentiality and information security
• Independence and impartiality
• Evidence-based approach
• Risk-based approach

Practical Exercise:

• Distinguishing between exemplary and substandard audit behaviors
• Assessing auditor decisions against ISO 19011 principles

III. Audit Management Systems and Audit Programme Management

1. Creating and Managing an Audit Programme

• Setting clear audit objectives and scope
• Establishing audit criteria
• Choosing appropriate audit methods and allocating resources
• Scheduling audit frequency and determining priorities
• Mitigating risks and leveraging opportunities within audit programmes

2. Roles and Responsibilities in the Audit Process

• Duties of audit programme managers
• Accountabilities of lead auditors and team members
• The function of technical experts and observers

Practical Exercise:

• Designing an audit programme based on a specific organizational scenario

IV. Audit Planning and Preparation

1. Commencing the Audit

• Establishing initial communication with the auditee
• Verifying the feasibility of the audit
• Gathering preliminary data

2. Preparing Audit Activities

• Defining the scope and objectives of the audit
• Formulating a comprehensive audit plan
• Distributing responsibilities among auditors
• Drafting audit checklists and working documents
• Reviewing relevant documented information

3. Risk-Based Audit Planning

• Analyzing the organizational context
• Identifying critical processes and areas requiring attention
• Prioritizing audit activities according to risk levels

Practical Exercise:

• Drafting an audit plan and corresponding checklist

V. Executing an Audit in Line with ISO 19011:2018

1. Opening Meeting

• Clarifying purpose and objectives
• Confirming logistical arrangements
• Setting up communication channels

2. Gathering and Verifying Audit Evidence

• Requirements for audit evidence
• Effective interview techniques
• Methods of observation
• Reviewing documents and records
• Sampling techniques

3. Applying the Process Approach to Auditing

• Analyzing processes, inputs, outputs, risks, and controls
• Auditing the effectiveness and performance of processes
• Aligning processes with organizational objectives

4. Remote and Technology-Assisted Auditing

• Leveraging communication technologies during audits
• Advantages and constraints of remote auditing
• Preserving audit integrity and confidentiality

Practical Exercises:

• Conducting audit interviews
• Performing process-based audits
• Identifying objective evidence

VI. Audit Findings, Reporting, and Follow-Up

1. Evaluating Audit Evidence

• Determining conformity and nonconformity
• Categorizing audit findings
• Drafting clear and objective audit statements

2. Reporting Audit Results

• Formulating audit conclusions
• Employing effective audit reporting techniques
• Communicating significant issues

3. Follow-Up Activities

• Reviewing corrective actions
• Verifying the effectiveness of actions taken
• Identifying opportunities for continuous improvement

Practical Exercise:

• Drafting audit findings based on case studies

VII. Effective Auditing Practices and Case Studies

1. Best Practices for Successful Audits

• Fostering trust and professional relationships
• Managing challenging audit situations
• Preventing common auditor errors
• Enhancing overall audit effectiveness

2. The PDCA Cycle and Continual Improvement

• Applying PDCA principles during audits
• Assessing the maturity of management systems
• Facilitating organizational improvement

3. Case Study and Live-Lab Audit Simulation

• Planning an audit
• Conducting interviews
• Collecting evidence
• Developing findings
• Presenting audit conclusions

VIII. Final Discussion, Knowledge Review, and Course Summary

• Review of key requirements in ISO 19011:2018
• Discussion of participant experiences and challenges
• Practical recommendations for effective auditing
• Question and answer session

Enhanced Learning Outcomes: By the completion of this course, participants will be equipped to:

• Comprehend the requirements and guidance outlined in ISO 19011:2018
• Apply auditing principles during management system audits
• Effectively plan, execute, report, and follow up on audits
• Utilize a process-based and risk-based auditing approach
• Gather objective evidence through effective auditing techniques
• Prepare professional audit findings and reports
• Implement best practices to enhance audit effectiveness
• Conduct audits that align with internationally recognized principles