ISO 19011:2018 Requirements Training Course

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

• The role and significance of ISO 19011 in auditing management systems
• The interplay between ISO 19011 and other ISO management system standards
• Applicability across internal, supplier, certification, and integrated management system audits
• Essential terminology and definitions utilized in auditing

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

• The evolution of auditing practices over time
• Introduction of new concepts in the 2018 edition
• Integration of risk-based thinking into the audit process
• Expanded guidance covering:
  • Audit programme management
  • Evaluation of auditor competence
  • Techniques for remote auditing
  • Integrated management system audits

II. Audit Principles as Defined by ISO 19011:2018

1. Comprehending the Seven Principles of Auditing

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

Practical Exercise:

• Identifying instances of exemplary and suboptimal audit behavior
• Assessing auditor decisions against the principles of ISO 19011

III. Audit Management System and Programme Administration

1. Establishing and Managing an Audit Programme

• Defining clear audit objectives and scope
• Establishing appropriate audit criteria
• Selecting suitable audit methods and allocating resources
• Scheduling audit frequency and prioritizing areas
• Managing risks and opportunities associated with audit programmes

2. Roles and Responsibilities within the Audit Process

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

Practical Exercise:

• Formulating an audit programme based on a specific organizational scenario

IV. Audit Planning and Preparation

1. Initiation of the Audit

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

2. Preparing Audit Activities

• Refining audit scope and objectives
• Developing a detailed audit plan
• Assigning responsibilities to auditors
• Preparing audit checklists and working documents
• Reviewing existing documented information

3. Risk-Based Audit Planning

• Understanding the organizational context
• Identifying critical processes and areas of concern
• Prioritizing audit activities according to risk levels

Practical Exercise:

• Drafting an audit plan and accompanying checklist

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

1. The Opening Meeting

• Clarifying purpose and objectives
• Confirming logistical audit arrangements
• Establishing clear communication channels

2. Gathering and Verifying Audit Evidence

• Requirements for valid audit evidence
• Effective interviewing techniques
• Methods of observation
• Reviewing documents and records
• Applying sampling techniques

3. 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
• Assessing the benefits and limitations of remote auditing
• Safeguarding 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
• Classifying audit findings appropriately
• Drafting clear and objective audit statements

2. Reporting Audit Results

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

3. Follow-Up Activities

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

Practical Exercise:

• Writing audit findings based on real-world case studies

VII. Best Practices in Auditing 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. The PDCA Cycle and Continual Improvement

• Applying PDCA principles within the audit context
• Evaluating the maturity of management systems
• Supporting organizational growth and improvement

3. Case Study and Live-Lab Audit Simulation

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

VIII. Final Discussion, Knowledge Review, and Course Summary

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

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

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