ISO 19011:2018 Requirements Training Course

1. Intent, Scope, and Utility of ISO 19011:2018

• The significance of ISO 19011 within management system auditing.
• Interconnections between ISO 19011 and other ISO management system standards.
• Suitability for internal, supplier, certification, and integrated management system audits.
• Essential terminology and definitions relevant to auditing.

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

• The progression of auditing methodologies.
• Novel concepts introduced in the 2018 revision.
• Integration of risk-based thinking into audit processes.
• Broadened guidance on:
  • Management of audit programmes.
  • Assessment of auditor competence.
  • Techniques for remote auditing.
  • Auditing of integrated management systems.

II. Audit Principles Defined by ISO 19011:2018

1. Grasp of the Seven Fundamental Auditing Principles

• Integrity: The cornerstone of professional auditing.
• Fair presentation: Ensuring accurate and objective reporting of findings.
• Due professional care: The application of diligence and sound judgement.
• Confidentiality and information security protocols.
• Maintaining independence and impartiality.
• An evidence-based methodology.
• A risk-based methodology.

Practical Exercise:

• Recognizing instances of exemplary versus suboptimal audit conduct.
• Assessing auditor decisions against the principles of ISO 19011.

III. Management of Audit Systems and Audit Programmes

1. Formulation and Administration of an Audit Programme

• Setting clear audit objectives and defining scope.
• Establishing audit criteria.
• Choosing appropriate audit methods and allocating resources.
• Scheduling audit frequency and establishing priorities.
• Managing risks and opportunities associated with audit programmes.

2. Duties and Accountabilities Within the Audit Process

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

Practical Exercise:

• Formulating an audit programme using a specific organizational scenario.

IV. Audit Planning and Preparation

1. Commencing the Audit

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

2. Preparation of Audit Activities

• Defining the audit scope and objectives.
• Drafting 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 Exercise:

• Drafting an audit plan and accompanying checklist.

V. Execution of Audits per ISO 19011:2018

1. Opening Meeting

• Clarifying purpose and objectives.
• Confirming audit arrangements.
• Establishing communication channels.

2. Collection and Verification of Audit Evidence

• Requirements for audit evidence.
• Effective interviewing techniques.
• Observation methods.
• Review of documents and records.
• Sampling techniques.

3. Process Approach to Auditing

• 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

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

Practical Exercises:

• Conducting audit interviews.
• Executing process-based audits.
• Identifying objective evidence.

VI. Audit Findings, Reporting, and Follow-Up

1. Assessment of Audit Evidence

• Determining conformity and nonconformity.
• Categorizing audit findings.
• Drafting clear and objective audit statements.

2. Reporting Audit Outcomes

• Formulating audit conclusions.
• Effective techniques for audit reporting.
• Communicating significant issues.

3. Follow-Up Actions

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

Practical Exercise:

• Drafting audit findings based on case studies.

VII. Best Practices in Auditing and Case Studies

1. Best Practices for Successful Audits

• Building trust and maintaining professional relationships.
• Managing challenging audit situations.
• Preventing common auditor errors.
• Enhancing audit effectiveness.

2. PDCA Cycle and Continuous Improvement

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

3. Case Study and Live-Lab Audit Simulation

• Planning the audit.
• Conducting interviews.
• Collecting evidence.
• Formulating findings.
• Presenting audit conclusions.

VIII. Final Discussion, Knowledge Review, and Course Wrap-Up

• Review of core ISO 19011:2018 requirements.
• Discussion on participant experiences and encountered challenges.
• Practical recommendations for effective auditing.
• Question and answer session.

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

• Comprehend the requirements and guidance provided by ISO 19011:2018.
• Implement audit principles during management system audits.
• Efficiently plan, conduct, report, and follow up on audits.
• 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.