ISO 19011:2018 Requirements Training Course

1. Overview, Scope, and Applicability of ISO 19011:2018

• The significance and role of ISO 19011 in auditing management systems.
• The relationship between ISO 19011 and other ISO management system standards.
• Relevance to internal, supplier, certification, and integrated management system audits.
• Essential terminology and definitions used in the audit context.

2. Key Updates from ISO 19011:2011 to the 2018 Edition

• The evolution of auditing methodologies.
• Introducing new concepts featured in the 2018 standard.
• Incorporating risk-based thinking into audit processes.
• Broadened guidance covering:
  • Audit programme management.
  • Assessment of auditor competence.
  • Techniques for remote auditing.
  • Auditing integrated management systems.

II. Core Audit Principles in ISO 19011:2018

1. Interpreting the Seven Auditing Principles

• Integrity: The cornerstone of professional conduct.
• Fair Presentation: Ensuring accurate and objective reporting.
• Due Professional Care: Exercising diligence and sound judgement.
• Confidentiality and Information Security.
• Independence and Impartiality.
• Adopting an evidence-based methodology.
• Applying a risk-based perspective.

Practical Application:

• Recognizing instances of effective and ineffective audit conduct.
• Assessing auditor decisions against ISO 19011 principles.

III. Managing the Audit System and Audit Programmes

1. Establishing and Governing an Audit Programme

• Setting clear audit objectives and scope.
• Defining appropriate audit criteria.
• Choosing suitable audit methods and resources.
• Scheduling audit frequency and determining priorities.
• Addressing risks and opportunities associated with audit programmes.

2. Defined Roles and Responsibilities in Auditing

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

Practical Application:

• Designing an audit programme based on a specific organizational scenario.

IV. Strategic Planning and Audit Preparation

1. Commencing the Audit Process

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

2. Preparing Audit Activities

• Clarifying the audit scope and goals.
• Formulating a detailed audit plan.
• Distributing responsibilities among auditors.
• Drafting checklists and supporting documents.
• Reviewing existing documented information.

3. Risk-Based Planning Strategy

• Analyzing the organizational context.
• Identifying critical processes and potential areas of concern.
• Prioritizing activities according to risk levels.

Practical Application:

• Drafting a comprehensive audit plan and checklist.

V. Executing the Audit per ISO 19011:2018

1. The Opening Meeting

• Defining purpose and objectives.
• Confirming logistical arrangements.
• Setting up communication channels.

2. Gathering and Verifying Evidence

• Requirements for valid audit evidence.
• Techniques for effective interviewing.
• Methods of observation.
• Review of documentation and records.
• Application of sampling techniques.

3. Process-Oriented Auditing

• Analyzing processes, inputs, outputs, risks, and controls.
• Assessing process effectiveness and performance.
• Aligning processes with organizational goals.

4. Remote and Technology-Facilitated Audits

• Leveraging communication technologies during audits.
• Understanding the benefits and constraints of remote auditing.
• Safeguarding audit integrity and confidentiality.

Practical Applications:

• Conducting audit interviews.
• Executing process-based audits.
• Identifying and verifying objective evidence.

VI. Analyzing Findings, Reporting, and Follow-Up

1. Assessing Audit Evidence

• Distinguishing between conformity and nonconformity.
• Categorizing audit findings.
• Composing clear, objective audit statements.

2. Documenting Audit Results

• Formulating audit conclusions.
• Utilizing effective reporting techniques.
• Communicating critical issues.

3. Post-Audit Follow-Up

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

Practical Application:

• Drafting audit findings based on real-world case studies.

VII. Best Practices in Auditing and Case Studies

1. Standards for Successful Audits

• Fostering trust and professional relationships.
• Navigating challenging audit situations.
• Preventing common audit errors.
• Enhancing overall audit effectiveness.

2. The PDCA Cycle and Continuous Improvement

• Integrating PDCA principles into the audit process.
• Evaluating the maturity of the management system.
• Facilitating organizational enhancement.

3. Case Study and Live-Lab Simulation

• Planning the audit engagement.
• Performing interviews.
• Gathering supporting evidence.
• Formulating findings.
• Presenting final conclusions.

VIII. Final Review, Knowledge Assessment, and Summary

• Recap of key ISO 19011:2018 requirements.
• Discussion of participant experiences and encountered challenges.
• Strategic recommendations for effective auditing.
• Open Q&A session.

Advanced Learning Outcomes Upon completing this course, participants will be capable of:

• Comprehending the requirements and guidance provided by ISO 19011:2018.
• Applying audit principles during management system evaluations.
• Efficiently planning, executing, reporting, and following up on audits.
• Utilizing a process-based and risk-focused auditing methodology.
• Collecting objective evidence using effective audit techniques.
• Drafting professional audit findings and reports.
• Implementing best practices to enhance audit quality.
• Conducting audits that align with globally recognized principles.