ISO 19011:2018 Requirements Training Course

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

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

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

• The evolution of professional auditing practices
• Novel concepts introduced in the 2018 revision
• The integration of risk-based thinking into audit processes
• Enhanced guidance covering:
  • The management of audit programmes
  • The assessment of auditor competence
  • Techniques for remote auditing
  • Auditing of integrated management systems

II. Audit Principles in Accordance with ISO 19011:2018

1. Comprehending 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: The application of diligence and sound judgement
• Maintenance of confidentiality and information security
• Independence and impartiality in the audit process
• Adoption of an evidence-based approach
• Utilisation of a risk-based approach

Practical Exercise:

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

III. Management of Audit Systems and Audit Programmes

1. Establishing and Overseeing an Audit Programme

• Setting clear audit objectives and defining the scope
• Determining appropriate audit criteria
• Selecting suitable audit methods and allocating resources
• Scheduling audit frequency and establishing priorities
• Managing risks and opportunities associated with the audit programme

2. Roles and Responsibilities within the Audit Process

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

Practical Exercise:

• Formulating an audit programme based on a specific organisational scenario

IV. Audit Planning and Preparation

1. Initiating the Audit Process

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

2. Preparing for Audit Activities

• Defining the audit scope and specific objectives
• Creating a detailed audit plan
• Allocating responsibilities among auditors
• Preparing checklists and necessary working documents
• Reviewing relevant documented information

3. Risk-Based Audit Planning

• Understanding the organisational context
• Identifying critical processes and areas of potential concern
• Prioritising audit activities according to risk levels

Practical Exercise:

• Drafting an audit plan and associated checklist

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

1. The Opening Meeting

• Clarifying the purpose and objectives of the meeting
• Confirming logistical audit arrangements
• Establishing clear lines of communication

2. Gathering and Verifying Audit Evidence

• Requirements for valid audit evidence
• Techniques for effective interviewing
• Methods for observational auditing
• Reviewing documents and records systematically
• Applying sampling techniques where appropriate

3. The Process Approach to Auditing

• Analyzing processes, inputs, outputs, risks, and controls
• Evaluating the effectiveness and performance of processes
• Aligning processes with broader organisational objectives

4. Remote and Technology-Assisted Auditing

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

Practical Exercises:

• Conducting simulated audit interviews
• Performing process-oriented audit procedures
• Identifying and validating objective evidence

VI. Audit Findings, Reporting, and Follow-Up

1. Evaluating Collected Audit Evidence

• Determining conformity and identifying nonconformities
• Categorising audit findings appropriately
• Drafting clear, objective audit statements

2. Reporting Audit Outcomes

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

3. Follow-Up Procedures

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

Practical Exercise:

• Writing audit findings based on provided case studies

VII. Effective Auditing Practices and Case Studies

1. Best Practices for Successful Audits

• Fostering trust and professional relationships
• Navigating challenging audit situations
• Recognising and avoiding common auditor errors
• Strategies to enhance audit effectiveness

2. The PDCA Cycle and Continuous Improvement

• Applying Plan-Do-Check-Act principles within audits
• Assessing the maturity of management systems
• Supporting organisational growth and improvement

3. Case Studies and Live-Lab Audit Simulations

• Planning the audit process
• Conducting stakeholder interviews
• Gathering relevant evidence
• Formulating audit findings
• Presentation of final audit conclusions

VIII. Final Discussion, Knowledge Review, and Course Conclusion

• Revisiting key requirements of ISO 19011:2018
• Discussing participant experiences and encountered challenges
• Providing practical recommendations for effective auditing
• Open questions and answers session

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

• Understand the requirements and guidance outlined in ISO 19011:2018
• Apply audit principles effectively during management system audits
• Plan, execute, report, and follow up on audits with proficiency
• Implement process-based and risk-based auditing methodologies
• Gather objective evidence using effective audit techniques
• Prepare professional-grade audit findings and reports
• Apply best practices to elevate audit effectiveness
• Conduct audits that align with internationally recognised principles