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
• Interrelationship between ISO 19011 and other ISO management system standards
• Applicability across internal, supplier, certification, and integrated management system audits
• Essential terminology and definitions utilized in auditing

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

• The evolution of auditing practices
• Novel concepts introduced in the 2018 edition
• Application of risk-based thinking in auditing
• Expanded guidance covering:
  • Audit program management
  • Evaluation of auditor competence
  • Techniques for remote auditing
  • Audits of integrated management systems

II. Audit Principles in Accordance with ISO 19011:2018

1. Exploring the Seven Principles of Auditing

• Integrity: The cornerstone of professional auditing
• Fair presentation: Accurate and objective reporting of findings
• Due professional care: Application of diligence and sound judgment
• Confidentiality and information security
• Independence and impartiality
• Adopting an evidence-based approach
• Implementing a risk-based approach

Practical Activity:

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

III. Audit Management Systems and Program Administration

1. Establishing and Governing an Audit Program

• Defining audit objectives and scope
• Establishing audit criteria
• Selecting appropriate audit methods and resources
• Scheduling audit frequency and prioritization
• Managing risks and opportunities associated with audit programs

2. Roles and Responsibilities Within the Audit Process

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

Practical Activity:

• Formulating an audit program based on a specific organizational scenario

IV. Planning and Preparation for Audits

1. Initiation of the Audit

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

2. Preparation of Audit Activities

• Clarifying audit scope and objectives
• Developing the audit plan
• Distributing responsibilities among auditors
• Preparing audit checklists and working documents
• Reviewing 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 Activity:

• Drafting an audit plan and accompanying checklist

V. Execution of Audits Per ISO 19011:2018

1. Opening Meeting

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

2. Collection and Verification of Audit Evidence

• Requirements for audit evidence
• Effective interviewing techniques
• Methods of observation
• Review of documents and records
• Sampling methodologies

3. Process-Based Auditing Approach

• 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
• Advantages and constraints of remote auditing
• Safeguarding audit integrity and confidentiality

Practical Activities:

• Conducting audit interviews
• Performing process-oriented audits
• Identifying objective evidence

VI. Audit Findings, Reporting, and Follow-Up

1. Assessment of Audit Evidence

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

2. Reporting Audit Results

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

3. Follow-Up Procedures

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

Practical Activity:

• Documenting audit findings based on case studies

VII. Best Practices and Case Studies in Auditing

1. Best Practices for Successful Audits

• Fostering trust and professional relationships
• Managing challenging audit situations
• Avoiding common errors made by auditors
• Enhancing overall audit effectiveness

2. The PDCA Cycle and Continuous Improvement

• Applying PDCA principles during the audit process
• Assessing the maturity of management systems
• Supporting organizational development

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 Wrap-Up

• Review of key requirements in ISO 19011:2018
• Discussion of participant experiences and challenges
• Practical recommendations for effective auditing
• Q&A session

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

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