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
• Interconnection between ISO 19011 and other ISO management system standards
• Relevance to internal, supplier, certification, and integrated management system audits
• Essential terminology and definitions within the auditing domain

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

• Advancements in auditing practices
• Novel concepts introduced in the 2018 edition
• Integration of risk-based thinking into auditing processes
• Enhanced guidance on:
  • Management of audit programmes
  • Assessment of auditor competence
  • Techniques for remote auditing
  • Integrated management system audits

II. Audit Principles According to ISO 19011:2018

1. Mastering 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:

• Recognising examples of effective and ineffective audit conduct
• Assessing auditor decisions against ISO 19011 principles

III. Audit Management System and Audit Programme Management

1. Establishing and Overseeing an Audit Programme

• Setting clear audit objectives and defining scope
• Establishing audit criteria
• Selecting appropriate audit methods and resources
• Scheduling audit frequency and establishing priorities
• Addressing risks and opportunities associated with audit programmes

2. Roles and Responsibilities within the Audit Process

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

Practical Exercise:

• Formulating an audit programme based on a specific organizational scenario

IV. Planning and Preparing an Audit

1. Initiating the Audit Process

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

2. Preparing Audit Activities

• Defining the audit scope and specific objectives
• Constructing the audit plan
• Distributing responsibilities among auditors
• Preparing audit checklists and working documents
• Reviewing relevant documented information

3. Risk-Based Audit Planning

• Analyzing the organizational context
• Identifying critical processes and areas requiring attention
• Prioritizing audit activities according to risk levels

Practical Exercise:

• Drafting an audit plan and corresponding checklist

V. Conducting an Audit According to ISO 19011:2018

1. The Opening Meeting

• Clarifying purpose and objectives
• Confirming audit arrangements
• Setting up communication channels

2. Gathering and Verifying Audit Evidence

• Requirements for valid audit evidence
• Techniques for effective interviewing
• Methods of observation
• Reviewing documentation and records
• Application of sampling techniques

3. Process Approach to Auditing

• Understanding processes, inputs, outputs, risks, and controls
• Evaluating process effectiveness and performance
• 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 Exercises:

• Conducting structured audit interviews
• Performing audits using a process-based approach
• Identifying and verifying objective evidence

VI. Audit Findings, Reporting, and Follow-Up

1. Assessing Audit Evidence

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

2. Reporting Audit Results

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

3. Follow-Up Activities

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

Practical Exercise:

• Drafting audit findings based on realistic case studies

VII. Effective Auditing Practices and Case Studies

1. Best Practices for Successful Audits

• Building trust and professional rapport
• Managing challenging audit situations
• Mitigating common auditor errors
• Enhancing overall audit effectiveness

2. PDCA Cycle and Continual Improvement

• Applying PDCA principles within audits
• Assessing the maturity of management systems
• Facilitating organizational improvement

3. Case Study and Live-Lab Audit Simulation

• Planning the audit process
• Conducting interviews
• Gathering evidence
• Formulating findings
• Presenting audit conclusions

VIII. Final Discussion, Knowledge Review, and Course Summary

• Recap of key ISO 19011:2018 requirements
• Discussion of participant insights and challenges
• Strategic recommendations for effective auditing
• Questions and answers session

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

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