ISO 19011:2018 Requirements Training Course

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

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

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

• The evolution of auditing methodologies
• Novel concepts introduced in the 2018 revision
• Integration of risk-based thinking in audit processes
• Enhanced guidance on:
  • Audit programme management
  • Assessment of auditor competence
  • Techniques for remote auditing
  • Integrated management system audits

II. Core Auditing Principles Defined in ISO 19011:2018

1. Exploring the Seven Principles of Auditing

• Integrity: The cornerstone of professional audit conduct
• Fair presentation: Accurate and objective reporting of findings
• Due professional care: Demonstrating diligence and sound judgement
• Maintenance of confidentiality and information security
• Independence and impartiality
• An evidence-based approach to auditing
• A risk-based approach to audit activities

Practical Application:

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

III. Audit Management Systems and Programme Administration

1. Establishment and Administration of an Audit Programme

• Setting audit objectives and defining scope
• Establishing audit criteria
• Selection of appropriate audit methods and resources
• Scheduling audit frequency and setting priorities
• Managing risks and opportunities associated with audit programmes

2. Roles and Duties Within the Audit Framework

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

Practical Application:

• Formulating an audit programme based on a specific organizational scenario

IV. Planning and Preparation for Audits

1. Audit Initiation

• Establishing initial communication with the auditee
• Verifying the feasibility of the audit
• Gathering preliminary information and documentation

2. Preparation of Audit Activities

• Defining the scope and objectives of the audit
• Formulating a detailed audit plan
• Assigning responsibilities to audit team members
• Preparing audit checklists and working documents
• Reviewing relevant documented information

3. Risk-Based Audit Planning

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

Practical Application:

• Drafting an audit plan and corresponding checklist

V. Execution of Audits in Accordance with ISO 19011:2018

1. Opening Meeting

• Clarifying purpose and objectives
• Confirming audit arrangements and logistics
• 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. Process Approach in Auditing

• Analyzing processes, inputs, outputs, risks, and controls
• Evaluating process effectiveness and performance
• Aligning processes with organizational objectives

4. Remote and Technology-Facilitated Auditing

• Utilizing communication technologies during audits
• Advantages and constraints of remote auditing
• Safeguarding audit integrity and confidentiality

Practical Applications:

• Conducting audit interviews
• Executing process-based audit procedures
• Identifying and documenting objective evidence

VI. Audit Findings, Reporting, and Follow-up

1. Assessment of Audit Evidence

• Determining conformity and nonconformity
• Categorizing audit findings
• Formulating clear and objective audit statements

2. Reporting Audit Outcomes

• Drawing audit conclusions
• Techniques for effective audit reporting
• Communicating significant issues and concerns

3. Post-Audit Follow-up

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

Practical Application:

• Formulating audit findings based on case study analysis

VII. Best Practices and Case Study Analysis

1. Best Practices for Effective Auditing

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

2. The PDCA Cycle and Continuous Improvement

• Integrating PDCA principles into audit activities
• Assessing the maturity of the management system
• Facilitating organizational improvement efforts

3. Case Studies and Live-Lab Audit Simulation

• Planning the audit process
• Conducting interviews and interactions
• Gathering and verifying evidence
• Formulating audit findings
• Presentation of audit conclusions

VIII. Conclusion, Knowledge Consolidation, and Course Recap

• Review of core ISO 19011:2018 requirements
• Discussion of participant experiences and encountered challenges
• Actionable recommendations for effective auditing
• Open forum for questions and answers

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

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