ISO 19011:2018 Requirements Training Course

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

• The role and significance of ISO 19011 in the auditing of management systems
• How ISO 19011 relates to other ISO management system standards
• Applicability across internal, supplier, certification, and integrated management system audits
• Essential terminology and definitions relevant to auditing

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

• The evolution of auditing methodologies and practices
• Introduction of new concepts in the 2018 revision
• Integration of risk-based thinking into audit processes
• Expanded guidance on key areas including:
  • Management of audit programmes
  • Assessment of auditor competence
  • Techniques for remote auditing
  • Auditing integrated management systems

II. Audit Principles According to ISO 19011:2018

1. Grasping the Seven Principles of Auditing

• Integrity: The cornerstone of professional auditing conduct
• Fair presentation: Ensuring accurate and objective reporting of findings
• Due professional care: Exercising diligence and sound judgement
• Maintaining confidentiality and information security
• Ensuring independence and impartiality
• Adopting an evidence-based approach
• Applying a risk-based approach

Practical Exercise:

• Recognising examples of effective and ineffective audit behaviours
• Critiquing auditor decisions against the principles outlined in ISO 19011

III. Audit Management System and Audit Programme Management

1. Establishing and Managing an Audit Programme

• Setting clear audit objectives and defining the scope
• Establishing appropriate audit criteria
• Selecting suitable audit methods and allocating resources
• Determining audit frequency and prioritising activities
• Managing risks and opportunities associated with audit programmes

2. Roles and Responsibilities in the Audit Process

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

Practical Exercise:

• Formulating an audit programme based on a specific organisational scenario

IV. Planning and Preparing an Audit

1. Initiating the Audit

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

2. Preparing Audit Activities

• Refining audit scope and objectives
• Developing a detailed audit plan
• Allocating responsibilities among auditors
• Preparing checklists and essential working documents
• Reviewing relevant documented information

3. Risk-Based Audit Planning

• Understanding the organisational context
• Identifying critical processes and areas of concern
• Prioritising 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. Opening Meeting

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

2. Collecting and Verifying Audit Evidence

• Requirements for valid audit evidence
• Techniques for effective interviewing
• Methods for on-site observation
• Reviewing documents and records
• Application of sampling techniques

3. Process Approach to Auditing

• Understanding processes, inputs, outputs, associated risks, and controls
• Evaluating the effectiveness and performance of processes
• Connecting processes to broader organisational objectives

4. Remote and Technology-Assisted Auditing

• Leveraging communication technologies during audits
• Understanding the benefits and constraints of remote auditing
• Safeguarding audit integrity and confidentiality

Practical Exercises:

• Performing audit interviews
• Executing process-based audits
• Identifying and validating objective evidence

VI. Audit Findings, Reporting, and Follow-Up

1. Evaluating Audit Evidence

• Determining conformity and identifying nonconformities
• Categorising audit findings appropriately
• Drafting clear, objective audit statements

2. Reporting Audit Results

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

3. Follow-Up Activities

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

Practical Exercise:

• Drafting audit findings based on provided case studies

VII. Effective Auditing Practices and Case Studies

1. Best Practices for Successful Audits

• Fostering trust and professional relationships
• Managing challenging audit situations
• Mitigating common auditor errors
• Enhancing overall audit effectiveness

2. PDCA Cycle and Continual Improvement

• Applying Plan-Do-Check-Act principles during audits
• Assessing the maturity of management systems
• Supporting organisational development and improvement

3. Case Study and Live-Lab Audit Simulation

• Planning the audit process
• Conducting structured interviews
• Gathering and verifying evidence
• Formulating audit findings
• Presenting audit conclusions and results

VIII. Final Discussion, Knowledge Review, and Course Summary

• Review of critical ISO 19011:2018 requirements
• Discussion on participant experiences and encountered challenges
• Practical recommendations for effective auditing
• Q&A 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
• Apply auditing principles within management system audits
• Effectively plan, execute, report, and follow up on audits
• Utilise process-based and risk-based auditing approaches
• Gather objective evidence using effective audit techniques
• Prepare professional audit findings and comprehensive reports
• Implement best practices to enhance audit effectiveness
• Conduct audits that align with internationally recognised principles