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Course Outline
1. Purpose, Scope, and Application of ISO 19011:2018
- The role and significance of ISO 19011 in management system auditing
- The relationship between ISO 19011 and other ISO management system standards
- Applicability to internal, supplier, certification, and integrated management system audits
- Key terminology and definitions used in auditing
2. Key Changes from ISO 19011:2011 to ISO 19011:2018
- Evolution of auditing practices
- New concepts introduced in the 2018 edition
- Incorporation of risk-based thinking in auditing
- Expanded guidance for:
- Audit programme management
- Evaluating auditor competence
- Remote auditing techniques
- Integrated management system audits
II. Audit Principles According to ISO 19011:2018
1. Understanding the Seven Principles of Auditing
- Integrity: the foundation of professional auditing
- Fair presentation: reporting findings accurately and objectively
- Due professional care: applying diligence and judgement
- Confidentiality and information security
- Independence and impartiality
- Evidence-based approach
- Risk-based approach
Practical Exercise:
- Identifying examples of good and poor audit behaviour
- Evaluating auditor decisions against ISO 19011 principles
III. Audit Management System and Audit Programme Management
1. Establishing and Managing an Audit Programme
- Defining audit objectives and scope
- Determining audit criteria
- Selecting audit methods and resources
- Planning audit frequency and priorities
- Managing risks and opportunities related to audit programmes
2. Roles and Responsibilities in the Audit Process
- Responsibilities of audit programme managers
- Responsibilities of lead auditors and audit team members
- Role of technical experts and observers
Practical Exercise:
- Developing an audit programme based on an organizational scenario
IV. Planning and Preparing an Audit
1. Initiating the Audit
- Establishing initial contact with the auditee
- Confirming audit feasibility
- Collecting preliminary information
2. Preparing Audit Activities
- Defining audit scope and objectives
- Developing an audit plan
- Assigning auditor responsibilities
- Preparing audit checklists and working documents
- Reviewing documented information
3. Risk-Based Audit Planning
- Understanding organizational context
- Identifying critical processes and areas of concern
- Prioritizing audit activities based on risk
Practical Exercise:
- Preparing an audit plan and checklist
V. Conducting an Audit According to ISO 19011:2018
1. Opening Meeting
- Purpose and objectives
- Confirming audit arrangements
- Establishing communication channels
2. Collecting and Verifying Audit Evidence
- Audit evidence requirements
- Effective interviewing techniques
- Observation methods
- Reviewing documents and records
- Sampling techniques
3. Process Approach to Auditing
- Understanding processes, inputs, outputs, risks, and controls
- Auditing process effectiveness and performance
- Linking processes with organizational objectives
4. Remote and Technology-Assisted Auditing
- Use of 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
- Writing clear and objective audit statements
2. Reporting Audit Results
- Preparing audit conclusions
- Effective audit reporting techniques
- Communicating significant issues
3. Follow-Up Activities
- Corrective action review
- Verification of effectiveness
- Continuous improvement opportunities
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 difficult audit situations
- Avoiding common auditor mistakes
- Improving audit effectiveness
2. PDCA Cycle and Continual Improvement
- Applying PDCA principles during audits
- Evaluating management system maturity
- Supporting organizational improvement
3. Case Study and Live-Lab Audit Simulation
- Planning an audit
- Conducting interviews
- Collecting evidence
- Developing findings
- P presenting audit conclusions
VIII. Final Discussion, Knowledge Review, and Course Summary
- Review of key ISO 19011:2018 requirements
- Discussion of participant experiences and challenges
- 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 of ISO 19011:2018
- Apply audit principles during management system audits
- Plan, conduct, report, and follow up audits effectively
- Use a process-based and risk-based auditing approach
- Collect objective evidence through effective audit techniques
- Prepare professional audit findings and reports
- Apply good practices to improve audit effectiveness
- Conduct audits aligned with internationally recognized principles
Requirements
Audience
- Internal and lead auditors
- Anyone interested in the subject matter
14 Hours
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