ISO 19011:2018 Requirements Training Course

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

• The significance and role of ISO 19011 in management system auditing
• The 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 over time
• New concepts introduced in the 2018 edition
• Integration of risk-based thinking in auditing
• Expanded guidance on:
  • Audit programme management
  • Evaluation of auditor competence
  • Remote auditing techniques
  • Integrated management system audits

II. Audit Principles Based on ISO 19011:2018

1. Understanding the Seven Principles of Auditing

• Integrity: The cornerstone of professional auditing
• Fair presentation: Ensuring accurate and objective reporting of findings
• Due professional care: Exercising diligence and sound judgement
• Confidentiality and information security
• Independence and impartiality
• Evidence-based approach
• Risk-based approach

Practical Exercise:

• Identifying examples of effective and ineffective audit behaviors
• 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
• Determining relevant audit criteria
• Selecting appropriate audit methods and resources
• Planning audit frequency and prioritizing activities
• 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:

• Developing an audit programme tailored to a specific organizational scenario

IV. Planning and Preparing an Audit

1. Initiating the Audit

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

2. Preparing Audit Activities

• Defining the audit scope and objectives
• Developing a comprehensive audit plan
• Assigning 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 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
• Effective interviewing techniques
• Methods of observation
• Reviewing documents and records
• Sampling techniques

3. Process Approach to Auditing

• Understanding processes, inputs, outputs, risks, and controls
• Auditing the effectiveness and performance of processes
• Linking processes to organizational objectives

4. Remote and Technology-Assisted Auditing

• Utilizing communication technologies during audits
• Benefits and limitations of remote auditing
• Maintaining 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
• Drafting clear and objective audit statements

2. Reporting Audit Results

• Formulating audit conclusions
• Applying effective audit reporting techniques
• Communicating significant issues

3. Follow-Up Activities

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

Practical Exercise:

• Writing audit findings based on case studies

VII. Effective Auditing Practices and Case Studies

1. Good Practices for Successful Audits

• Building trust and professional relationships
• Managing challenging audit situations
• Avoiding common auditor mistakes
• Enhancing overall audit effectiveness

2. PDCA Cycle and Continual Improvement

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

3. Case Study and Live-Lab Audit Simulation

• Planning an audit
• Conducting interviews
• Collecting evidence
• Developing findings
• Presenting audit conclusions

VIII. Final Discussion, Knowledge Review, and Course Summary

• Review of key ISO 19011:2018 requirements
• Discussion of participant experiences and challenges faced
• Practical recommendations for effective auditing
• Questions and answers session

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

• Understand the requirements and guidance provided by ISO 19011:2018
• Apply audit principles during management system audits
• Plan, conduct, report, and follow up on audits effectively
• Utilize a process-based and risk-based auditing approach
• Collect objective evidence using effective audit techniques
• Prepare professional audit findings and reports
• Apply best practices to enhance audit effectiveness
• Conduct audits in alignment with internationally recognized principles