ISO 19011:2018 Requirements Training Course

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

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

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

• The evolution of auditing methodologies
• Introduction of new concepts in the 2018 revision
• Integration of risk-based thinking into audit processes
• Expanded guidance covering:
  • Management of audit programmes
  • Assessment of auditor competence
  • Techniques for remote auditing
  • Conducting integrated management system audits

II. Audit Principles Defined by ISO 19011:2018

1. Interpreting the Seven Core Principles of Auditing

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

Practical Exercise:

• Identifying instances of effective and ineffective audit behavior
• Assessing auditor decisions against the principles of ISO 19011

III. Management Systems and Audit Programme Oversight

1. Establishing and Governing an Audit Programme

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

2. Defining Roles and Responsibilities in the Audit Cycle

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

Practical Exercise:

• Designing an audit programme based on a specific organizational scenario

IV. Planning and Preparation for Audits

1. Initiating the Audit Process

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

2. Preparing for Audit Activities

• Clarifying audit scope and objectives
• Formulating a detailed audit plan
• Distributing responsibilities among auditors
• Creating audit checklists and supporting documentation
• Reviewing existing documented information

3. Implementing Risk-Based Audit Planning

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

Practical Exercise:

• Drafting an audit plan and corresponding checklist

V. Executing Audits in Accordance with ISO 19011:2018

1. The Opening Meeting

• Clarifying the purpose and objectives
• Verifying audit arrangements
• Establishing effective communication channels

2. Gathering and Verifying Audit Evidence

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

3. Applying the Process Approach to Auditing

• Analyzing processes, inputs, outputs, risks, and controls
• Evaluating the effectiveness and performance of processes
• Aligning processes with organizational goals

4. Remote and Technology-Facilitated Auditing

• Leveraging communication technologies during audits
• Assessing the benefits and constraints of remote audits
• Safeguarding audit integrity and confidentiality

Practical Exercises:

• Conducting audit interviews
• Performing audits based on process flows
• Identifying and documenting objective evidence

VI. Audit Findings, Reporting, and Follow-Up Procedures

1. Assessing Audit Evidence

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

2. Reporting Audit Outcomes

• Drafting audit conclusions
• Utilizing effective reporting techniques
• Communicating critical issues effectively

3. Managing Follow-Up Activities

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

Practical Exercise:

• Formulating audit findings based on detailed case studies

VII. Best Practices in Auditing and Case Studies

1. Best Practices for Successful Audits

• Fostering trust and professional relationships
• Navigating challenging audit situations
• Preventing common auditor errors
• Enhancing overall audit effectiveness

2. The PDCA Cycle and Continual Improvement

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

3. Case Studies and Live-Lab Audit Simulations

• Planning the audit workflow
• Executing interviews
• Gathering evidence
• Developing audit findings
• Presenting final conclusions

VIII. Final Review, Knowledge Check, and Course Conclusion

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

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

• Comprehend the requirements and guidance outlined in ISO 19011:2018
• Apply core audit principles during management system audits
• Effectively plan, execute, report, and follow up on audits
• Utilize process-based and risk-based auditing methodologies
• Collect objective evidence using advanced audit techniques
• Prepare professional-grade audit findings and reports
• Implement best practices to enhance audit quality
• Conduct audits that align with globally recognized principles