ISO 19011:2018 Requirements Training Course

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

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

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

• The evolution of auditing methodologies
• New concepts introduced in the 2018 edition
• Integration of risk-based thinking into auditing processes
• Broadened guidance on:
  • Audit programme management
  • Evaluation of auditor competence
  • Techniques for remote auditing
  • Audits of integrated management systems

II. Audit Principles According to ISO 19011:2018

1. Grasping the Seven Principles of Auditing

• Integrity: The cornerstone of professional auditing
• Fair presentation: Ensuring accurate and objective reporting of findings
• Due professional care: Applying diligence and sound judgement
• Confidentiality and information security
• Independence and impartiality
• Approach based on evidence
• Approach based on risk

Practical Exercise:

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

III. Audit Management System and Audit Programme Management

1. Establishing and Managing an Audit Programme

• Defining clear audit objectives and scope
• Setting audit criteria
• Selecting appropriate audit methods and resources
• Planning audit frequency and priorities
• Managing risks and opportunities associated with audit programmes

2. Roles and Responsibilities in the Audit Process

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

Practical Exercise:

• Formulating an audit programme based on a specific organizational scenario

IV. Planning and Preparing an Audit

1. Initiating the Audit

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

2. Preparing Audit Activities

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

3. Risk-Based Audit Planning

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

Practical Exercise:

• Drafting an audit plan and corresponding checklist

V. Conducting an Audit According to ISO 19011:2018

1. Opening Meeting

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

2. Collecting and Verifying Audit Evidence

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

3. Process Approach to Auditing

• Understanding 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
• Benefits and limitations of remote auditing
• Preserving 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
• Writing clear and objective audit statements

2. Reporting Audit Results

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

3. Follow-Up Activities

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

Practical Exercise:

• Drafting 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
• Avoiding common auditor errors
• Enhancing audit effectiveness

2. PDCA Cycle and Continual Improvement

• Applying PDCA principles within audits
• Evaluating the maturity of management systems
• Supporting organizational improvement efforts

3. Case Study and Live-Lab Audit Simulation

• Planning an audit
• Conducting interviews
• Gathering 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 challenges
• Practical recommendations for effective auditing
• Questions and answers session

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

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