ISO 19011:2018 Requirements Training Course

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

• The significance and role of ISO 19011 within management system auditing
• The connection between ISO 19011 and other ISO management system standards
• Relevance to internal, supplier, certification, and integrated management system audits
• Essential terminology and definitions utilized in the auditing process

2. Key Differences Between ISO 19011:2011 and ISO 19011:2018

• The progression of auditing practices over time
• Novel concepts introduced in the 2018 revision
• The integration of risk-based thinking into auditing
• Broadened guidance covering:
  • Management of audit programmes
  • Assessment of auditor competence
  • Techniques for remote auditing
  • Auditing of integrated management systems

II. Audit Principles as Defined by ISO 19011:2018

1. Grasping the Seven Auditing Principles

• Integrity: The cornerstone of professional auditing conduct
• Fair presentation: The accurate and objective reporting of findings
• Due professional care: The application of diligence and sound judgement
• Maintaining confidentiality and information security
• Ensuring independence and impartiality
• Adopting an evidence-based approach
• Applying a risk-based approach

Practical Exercise:

• Recognizing instances of effective and ineffective audit behavior
• Critiquing auditor decisions against the principles of ISO 19011

III. Management of Audit Systems and Audit Programmes

1. Creating and Managing an Audit Programme

• Setting clear audit objectives and defining the scope
• Establishing audit criteria
• Choosing appropriate audit methods and allocating resources
• Scheduling audit frequency and determining priorities
• Addressing risks and opportunities associated with the audit programme

2. Roles and Responsibilities Within the Audit Framework

• Duties of the audit programme manager
• Responsibilities of lead auditors and team members
• The functions of technical experts and observers

Practical Exercise:

• Designing an audit programme tailored to a specific organizational scenario

IV. Audit Planning and Preparation

1. Starting the Audit Process

• Initiating contact with the auditee
• Verifying the feasibility of the audit
• Gathering preliminary information

2. Preparing Audit Activities

• Clarifying the audit scope and objectives
• Drafting the audit plan
• Distributing responsibilities among auditors
• Creating audit checklists and supporting documentation
• Reviewing existing documented information

3. Risk-Based Audit Planning

• Comprehending the organizational context
• Pinpointing critical processes and areas of potential concern
• Ordering audit activities by level of risk

Practical Exercise:

• Drafting an audit plan and accompanying checklist

V. Executing the Audit in Accordance with ISO 19011:2018

1. The Opening Meeting

• Clarifying purpose and objectives
• Confirming audit logistics and arrangements
• Setting up communication channels

2. Gathering and Verifying Audit Evidence

• Requirements for valid audit evidence
• Effective interviewing strategies
• Observation methodologies
• Examination of documents and records
• Application of sampling techniques

3. Applying a Process Approach to Auditing

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

4. Remote and Technology-Assisted Auditing

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

Practical Exercises:

• Conducting audit interviews
• Performing audits focused on specific processes
• Identifying and collecting objective evidence

VI. Audit Findings, Reporting, and Follow-Up

1. Assessing Audit Evidence

• Determining conformity and identifying nonconformities
• Categorizing audit findings
• Drafting clear and objective audit statements

2. Reporting Audit Outcomes

• Formulating audit conclusions
• Techniques for effective audit reporting
• Communicating significant issues to stakeholders

3. Follow-Up Procedures

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

Practical Exercise:

• Drafting audit findings based on provided case studies

VII. Effective Auditing Practices and Case Studies

1. Best Practices for Successful Audits

• Cultivating trust and professional relationships
• Navigating difficult audit situations
• Avoiding common errors made by auditors
• Enhancing overall audit effectiveness

2. The PDCA Cycle and Continual Improvement

• Integrating PDCA principles into the audit process
• Assessing the maturity of the management system
• Supporting ongoing organizational development

3. Case Study and Live-Lab Audit Simulation

• Planning the audit
• Conducting interviews
• Collecting evidence
• Formulating findings
• Presenting audit conclusions

VIII. Final Discussion, Knowledge Review, and Course Conclusion

• Recap of key requirements from ISO 19011:2018
• Discussion on participant experiences and encountered challenges
• Practical advice for effective auditing
• Q&A session

Enhanced Learning Outcomes Upon completion of this course, participants will be able to:

• Comprehend the requirements and guidance provided by ISO 19011:2018
• Apply auditing principles during management system audits
• Effectively plan, conduct, report on, and follow up on audits
• Utilize a process-based and risk-based auditing methodology
• Gather objective evidence using effective audit techniques
• Draft professional audit findings and reports
• Implement best practices to enhance audit effectiveness
• Conduct audits in alignment with internationally recognized principles