ISO 19011:2018 Requirements Training Course

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

• The strategic role and significance of ISO 19011 in auditing management systems.
• Interconnections between ISO 19011 and other ISO management system standards.
• Applicability across internal, supplier, certification, and integrated management system audits.
• Essential terminology and definitions employed in the auditing discipline.

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

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

II. Audit Principles Defined by ISO 19011:2018

1. Interpreting the Seven Principles of Auditing

• Integrity: The cornerstone of professional auditing conduct.
• Fair presentation: Ensuring findings are reported with accuracy and objectivity.
• Due professional care: Demonstrating diligence and sound judgement.
• Maintenance of confidentiality and information security.
• Upholding independence and impartiality.
• Adoption of an evidence-based methodology.
• Implementation of a risk-based approach.

Practical Exercise:

• Recognition of positive and negative auditing behaviours in practice.
• Assessment of auditor decision-making against ISO 19011 principles.

III. Audit Management Systems and Programme Governance

1. Establishment and Management of an Audit Programme

• Setting clear audit objectives and defining the scope.
• Determining the applicable audit criteria.
• Selection of appropriate audit methods and required resources.
• Scheduling audit frequency and establishing priorities.
• Mitigation of risks and exploitation of opportunities within audit programmes.

2. Roles and Responsibilities in the Audit Workflow

• Accountabilities of audit programme managers.
• Duties of lead auditors and audit team members.
• The function of technical experts and observers.

Practical Exercise:

• Designing an audit programme based on a specific organizational scenario.

IV. Audit Planning and Preparation

1. Initiating the Audit Process

• Establishing initial communication with the auditee.
• Verifying the feasibility of the audit.
• Gathering preliminary context and information.

2. Preparing Audit Activities

• Refining audit scope and objectives.
• Formulating a detailed audit plan.
• Distribution of responsibilities among auditors.
• Preparation of audit checklists and working documentation.
• Review of relevant documented information.

3. Risk-Based Audit Planning

• Analyzing the organizational context.
• Identification of critical processes and high-risk areas.
• Prioritization of audit activities driven by risk assessment.

Practical Exercise:

• Drafting an audit plan and corresponding checklist.

V. Execution of Audits per ISO 19011:2018

1. The Opening Meeting

• Clarifying the purpose and objectives.
• Confirmation of logistical audit arrangements.
• Establishment of effective communication channels.

2. Gathering and Verifying Audit Evidence

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

3. Process-Based Auditing Approach

• Analysis of processes, inputs, outputs, risks, and controls.
• Evaluation of process effectiveness and performance.
• Alignment of processes with organizational goals.

4. Remote and Technology-Facilitated Auditing

• Leveraging communication technologies during audit activities.
• Advantages and constraints of remote auditing.
• Safeguarding audit integrity and confidentiality in virtual settings.

Practical Exercises:

• Simulating audit interviews.
• Executing process-based audit tasks.
• Identification and verification of objective evidence.

VI. Audit Findings, Reporting, and Follow-Up

1. Assessment of Audit Evidence

• Determination of conformity versus nonconformity.
• Categorization of audit findings.
• Drafting clear and objective audit statements.

2. Reporting Audit Results

• Formulation of audit conclusions.
• Application of effective audit reporting techniques.
• Communication of critical issues and insights.

3. Follow-Up Activities

• Review of corrective actions.
• Verification of the effectiveness of implemented changes.
• Identification of opportunities for continuous improvement.

Practical Exercise:

• Composition of audit findings based on specific case studies.

VII. Best Practices in Auditing and Case Studies

1. Best Practices for Audit Success

• Cultivating trust and professional rapport.
• Management of challenging audit situations.
• Mitigation of common auditor errors.
• Strategies for enhancing audit effectiveness.

2. The PDCA Cycle and Continuous Improvement

• Integration of PDCA principles within auditing processes.
• Assessment of management system maturity.
• Fostering organizational improvement initiatives.

3. Case Study and Live-Lab Audit Simulation

• Audit planning phase.
• Conducting interviews.
• Evidence collection.
• Development of findings.
• Presentation of audit conclusions.

VIII. Closing Discussion, Knowledge Recap, and Course Summary

• Recap of key ISO 19011:2018 requirements.
• Discussion of participant experiences and encountered challenges.
• Practical recommendations for effective auditing practices.
• Q&A session.

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

• Comprehend the requirements and guidance outlined in ISO 19011:2018.
• Apply audit principles within management system audits.
• Effectively plan, execute, report, and follow up on audits.
• Utilize process-based and risk-based auditing approaches.
• Collect objective evidence using effective auditing techniques.
• Draft professional audit findings and reports.
• Implement best practices to elevate audit effectiveness.
• Conduct audits in alignment with internationally recognized principles.