ISO 19011:2018 Requirements Training Course

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

• The role and significance of ISO 19011 in management system auditing
• The interrelation between ISO 19011 and other ISO management system standards
• Relevance to internal, supplier, certification, and integrated management system audits
• Essential terminology and definitions employed in auditing

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

• Development of auditing methodologies
• New concepts introduced in the 2018 revision
• Integration of risk-based thinking in audits
• Enhanced guidance on:
  • Management of audit programmes
  • Assessment of auditor competence
  • Techniques for remote auditing
  • Audits of integrated management systems

II. Auditing Principles Defined in ISO 19011:2018

1. Grasping the Seven Principles of Auditing

• Integrity: The cornerstone of professional audit conduct
• Fair presentation: Accurate and objective reporting of findings
• Due professional care: Application of diligence and sound judgement
• Confidentiality and information security
• Independence and impartiality
• Evidence-based approach
• Risk-based approach

Practical Exercise:

• Recognizing examples of effective and ineffective audit behavior
• Assessing auditor decisions against the principles of ISO 19011

III. Audit Management Systems and Programme Administration

1. Creating and Managing an Audit Programme

• Setting audit goals and defining scope
• Establishing audit criteria
• Selecting appropriate audit methods and resources
• Planning audit frequency and setting priorities
• Managing risks and opportunities associated with audit programmes

2. Duties and Responsibilities Within the Audit Process

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

Practical Exercise:

• Formulating an audit programme based on a specific organizational scenario

IV. Planning and Preparation for an Audit

1. Initiation of the Audit

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

2. Preparing for Audit Activities

• Defining the audit scope and objectives
• Creating the audit plan
• Assigning responsibilities to auditors
• Preparing checklists and working documents
• Reviewing documented information

3. Risk-Based Audit Planning

• Comprehending the organizational context
• Identifying critical processes and areas of concern
• Prioritizing audit activities based on risk levels

Practical Exercise:

• Drafting an audit plan and corresponding checklist

V. Executing an Audit in Accordance 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 interviewing techniques
• Observation methods
• Reviewing documents and records
• Sampling techniques

3. Process Approach to Auditing

• Understanding processes, inputs, outputs, risks, and controls
• Auditing process effectiveness and performance
• Connecting processes with organizational goals

4. Remote and Technology-Assisted Auditing

• Utilization of communication technologies during audits
• Advantages and constraints of remote auditing
• Maintaining audit integrity and confidentiality

Practical Exercises:

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

VI. Audit Findings, Reporting, and Follow-Up

1. Assessing Audit Evidence

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

2. Reporting Audit Outcomes

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

3. Follow-Up Procedures

• Review of corrective actions
• Verification of effectiveness
• Opportunities for continuous improvement

Practical Exercise:

• Writing audit findings based on case studies

VII. Effective Auditing Practices and Case Studies

1. Best Practices for Successful Audits

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

2. PDCA Cycle and Continual Improvement

• Applying PDCA principles within audits
• Assessing the maturity of the management system
• Supporting organizational improvement efforts

3. Case Study and Live-Lab Audit Simulation

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

VIII. Final Discussion, Knowledge Review, and Course Summary

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

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

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