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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 relevant to auditing.
2. Key Changes from ISO 19011:2011 to ISO 19011:2018
- Evolutions in auditing practices.
- New concepts introduced in the 2018 edition.
- Incorporation of risk-based thinking in auditing.
- Expanded guidance for:
- Audit programme management.
- Evaluation of auditor competence.
- Remote auditing techniques.
- Integrated management system audits.
II. Audit Principles as per ISO 19011:2018
1. Understanding the Seven Principles of Auditing
- Integrity: the bedrock of professional auditing.
- Fair presentation: reporting findings accurately and objectively.
- Due professional care: applying 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 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 appropriate audit methods and resources.
- Planning audit frequency and priorities.
- Managing risks and opportunities associated with audit programmes.
2. Roles and Responsibilities in the Audit Process
- Responsibilities 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 based on a organisational scenario.
IV. Planning and Preparing an Audit
1. Initiating the Audit
- Establishing initial contact with the auditee.
- Confirming audit feasibility.
- Gathering 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 the organisational context.
- Identifying critical processes and areas of concern.
- Prioritising 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 of the meeting.
- Confirming audit arrangements.
- Establishing communication channels.
2. Collecting and Verifying Audit Evidence
- Requirements for audit evidence.
- 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 organisational 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
- Review of corrective actions.
- Verification of effectiveness.
- Identifying opportunities for continuous improvement.
Practical Exercise:
- Writing audit findings based on case studies.
VII. Effective Auditing Practices and Case Studies
1. Best Practices for Successful Audits
- Building trust and professional relationships.
- Managing challenging 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 organisational improvement.
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.
- Practical recommendations for effective auditing.
- Questions and answers session.
Enhanced Learning Outcomes Upon completion of this course, participants will be able to:
- Understand the requirements and guidance provided in ISO 19011:2018.
- Apply audit principles during management system audits.
- Plan, conduct, report, and follow up on audits effectively.
- Utilise a process-based and risk-based auditing approach.
- Collect objective evidence through effective audit techniques.
- Prepare professional audit findings and reports.
- Apply best practices to enhance audit effectiveness.
- Conduct audits aligned with internationally recognised principles.
Requirements
Target Audience
- Internal and lead auditors.
- Individuals with an interest in the subject matter.
14 Hours
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