ISO 19011:2018 Requirements Training Course

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

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

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

• The progression of auditing methodologies
• Novel concepts presented in the 2018 revision
• Integration of risk-based thinking in audits
• Broadened guidance covering:
  • Management of audit programmes
  • Assessment of auditor competence
  • Techniques for remote auditing
  • Auditing of integrated management systems

II. Audit Principles Defined in ISO 19011:2018

1. Grasping the Seven Fundamental Principles of Auditing

• Integrity: the cornerstone of professional conduct
• Fair presentation: ensuring accurate and objective reporting
• Due professional care: exercising diligence and sound judgment
• Maintaining confidentiality and information security
• Upholding independence and impartiality
• Adopting an evidence-based methodology
• Utilizing a risk-based perspective

Practical Exercise:

• Recognizing instances of both exemplary and deficient audit behavior
• Critiquing auditor decisions against ISO 19011 principles

III. Audit Management Systems and Programme Administration

1. Establishing and Overseeing an Audit Programme

• Setting clear audit objectives and defining the scope
• Establishing audit criteria
• Choosing appropriate audit methods and allocating resources
• Scheduling audit frequencies and setting priorities
• Managing risks and opportunities associated with audit programmes

2. Roles and Responsibilities Within the Audit Process

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

Practical Exercise:

• Formulating an audit programme using a specific organizational scenario

IV. Planning and Audit Preparation

1. Initiating the Audit Process

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

2. Preparing Audit Activities

• Clarifying audit scope and objectives
• Formulating the audit plan
• Distributing responsibilities among auditors
• Creating audit checklists and operational documents
• Analyzing documented information

3. Risk-Based Audit Planning

• Analyzing 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 Under ISO 19011:2018

1. The Opening Meeting

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

2. Gathering and Verifying Audit Evidence

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

3. Applying the Process Approach to Auditing

• Understanding processes, inputs, outputs, risks, and controls
• Evaluating process effectiveness and performance
• Connecting processes to organizational goals

4. Remote and Technology-Assisted Auditing

• Leveraging communication technologies during audits
• Benefits and constraints of remote auditing
• Safeguarding audit integrity and confidentiality

Practical Exercises:

• Conducting audit interviews
• Executing 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
• Employing effective audit reporting techniques
• Communicating critical issues

3. Follow-Up Activities

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

Practical Exercise:

• Drafting audit findings based on case studies

VII. Best Practices for Effective Auditing and Case Studies

1. Best Practices for Successful Audits

• Cultivating trust and professional relationships
• Handling challenging audit situations
• Avoiding common auditor errors
• Enhancing overall audit effectiveness

2. The PDCA Cycle and Continual Improvement

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

3. Case Study and Live-Lab Audit Simulation

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

VIII. Final Discussion, Knowledge Review, and Course Summary

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

Enhanced Learning Outcomes By the end of this course, participants will be able to:

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