ISO 19011:2018 Requirements Training Course

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

• The role and significance of ISO 19011 within management system auditing
• The interplay between ISO 19011 and other ISO management system standards
• Relevance to internal, supplier, certification, and integrated management system audits
• Essential terminology and definitions applied in auditing contexts

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

• The evolution of auditing methodologies and practices
• Introduction of new concepts in the 2018 edition
• The integration of risk-based thinking into auditing processes
• Broader guidance provided for:
• Audit program management
• Evaluation of auditor competence
• Remote auditing techniques
• Integrated management system audits

II. Audit Principles as Defined by ISO 19011:2018

1. Comprehending the Seven Core Auditing Principles

• Integrity: The cornerstone of professional auditing
• Fair presentation: Ensuring accurate and objective reporting of findings
• Due professional care: Applying diligent judgement
• Confidentiality and information security protocols
• Maintaining independence and impartiality
• Utilizing an evidence-based methodology
• Adopting a risk-based methodology

Practical Exercise:

• Distinguishing between exemplary and deficient audit behaviors
• Assessing auditor decisions against ISO 19011 principles

III. Management System Auditing and Audit Program Administration

1. Establishing and Overseeing an Audit Program

• Defining clear audit objectives and scope
• Determining relevant audit criteria
• Selecting appropriate audit methods and allocating resources
• Planning audit frequency and establishing priorities
• Managing risks and opportunities associated with audit programs

2. Roles and Responsibilities in the Audit Cycle

• Duties of audit program managers
• Responsibilities of lead auditors and team members
• The function of technical experts and observers

Practical Exercise:

• Designing an audit program using a specific organizational scenario

IV. Audit Planning and Preparation

1. Initiation of the Audit

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

2. Preparing Audit Activities

• Defining the audit scope and objectives
• Developing a structured audit plan
• Assigning responsibilities to auditors
• Preparing audit checklists and working documentation
• Reviewing existing documented information

3. Risk-Based Audit Planning

• Understanding the organizational context
• Identifying critical processes and potential areas of concern
• Prioritizing audit activities based on risk assessment

Practical Exercise:

• Drafting an audit plan and corresponding checklist

V. Executing an Audit in Line with ISO 19011:2018

1. The Opening Meeting

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

2. Gathering and Verifying Audit Evidence

• Requirements for audit evidence
• Techniques for effective interviewing
• Methods of observation
• Reviewing documents and records
• Application of 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

• Leveraging communication technologies during audits
• Benefits and limitations of remote auditing
• Safeguarding audit integrity and confidentiality

Practical Exercises:

• Conducting audit interviews
• Performing process-based audits
• Identifying objective evidence

VI. Audit Findings, Reporting, and Follow-Up Procedures

1. Assessing Audit Evidence

• Determining conformity and nonconformity
• Classifying audit findings
• Formulating clear and objective audit statements

2. Reporting Audit Results

• Drafting audit conclusions
• Techniques for effective audit reporting
• Communicating significant issues

3. Follow-Up Activities

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

Practical Exercise:

• Writing audit findings based on real-world case studies

VII. Effective Auditing Practices and Case Studies

1. Best Practices for Successful Audits

• Building trust and professional relationships
• Managing difficult audit situations
• Avoiding common auditor pitfalls
• Enhancing overall audit effectiveness

2. The PDCA Cycle and Continual Improvement

• Applying PDCA principles during the audit process
• Evaluating the maturity of the management system
• Supporting organizational improvement initiatives

3. Case Study and Live-Lab Audit Simulation

• Planning the 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 By the end of this course, participants will be able to:

• Comprehend the requirements and guidance outlined in ISO 19011:2018
• Apply 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 through effective audit techniques
• Prepare professional audit findings and reports
• Implement best practices to enhance audit effectiveness
• Conduct audits aligned with internationally recognized principles