ISO 19011:2018 Requirements Training Course

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

• The significance and function of ISO 19011 in management system audits
• 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 employed in auditing

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

• The progression of auditing methodologies
• Introduction of new concepts in the 2018 revision
• Integration of risk-based thinking into auditing processes
• Broadened guidance covering:
  • Management of audit programmes
  • Assessment of auditor competence
  • Techniques for remote auditing
  • Audits of integrated management systems

II. Audit Principles Based on ISO 19011:2018

1. Grasping the Seven Core Auditing Principles

• Integrity: The cornerstone of professional auditing
• Fair presentation: The accurate and objective reporting of findings
• Due professional care: The application of diligence and sound judgment
• Maintaining confidentiality and information security
• Safeguarding independence and impartiality
• Adopting an evidence-based methodology
• Utilizing a risk-based methodology

Practical Application:

• Recognizing examples of effective and ineffective audit conduct
• Assessing auditor decisions against ISO 19011 principles

III. Audit Management Systems and Programme Oversight

1. Creating and Managing an Audit Programme

• Setting clear audit objectives and scope
• Establishing the relevant audit criteria
• Choosing appropriate audit methods and allocating resources
• Planning audit frequency and determining priorities
• Managing risks and opportunities associated with audit programmes

2. Roles and Responsibilities within the Audit Process

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

Practical Application:

• Formulating 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 data

2. Preparing for Audit Activities

• Defining the audit scope and specific objectives
• Constructing the audit plan
• Distributing responsibilities among auditors
• Preparing audit checklists and working documents
• Reviewing existing documented information

3. Risk-Based Audit Planning

• Comprehending the organizational context
• Identifying critical processes and key areas of concern
• Prioritizing audit tasks based on risk assessment

Practical Application:

• Drafting an audit plan and corresponding checklist

V. Executing the Audit per ISO 19011:2018

1. The Opening Meeting

• Stating the purpose and objectives
• Confirming audit logistics and arrangements
• Setting up communication channels

2. Gathering and Validating Audit Evidence

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

3. Applying the Process Approach to Auditing

• Analyzing processes, inputs, outputs, risks, and controls
• Evaluating process effectiveness and performance
• Aligning processes with organizational goals

4. Remote and Technology-Facilitated Auditing

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

Practical Exercises:

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

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

1. Assessing Audit Evidence

• Determining conformity and nonconformity
• Categorizing audit findings
• Composing clear and objective audit statements

2. Reporting Audit Outcomes

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

3. Follow-Up Activities

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

Practical Application:

• Drafting audit findings based on specific case studies

VII. Best Practices in Auditing and Case Studies

1. Best Practices for Successful Audits

• Building trust and professional rapport
• Handling difficult audit scenarios
• Avoiding common errors made by auditors
• Enhancing overall audit effectiveness

2. The PDCA Cycle and Continual Improvement

• Applying PDCA principles during audits
• Assessing the maturity of the management system
• Supporting organizational development

3. Case Study and Live-Lab Audit Simulation

• Planning the audit
• Conducting interviews
• Gathering evidence
• Formulating findings
• Presenting audit conclusions

VIII. Final Discussion, Knowledge Review, and Course Summary

• Reviewing key ISO 19011:2018 requirements
• Discussing participant experiences and encountered challenges
• Providing practical advice for effective auditing
• Holding a question and answer session

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

• Understand the requirements and guidance outlined in ISO 19011:2018
• Apply audit principles during management system audits
• Plan, execute, report, and follow up on audits effectively
• Utilize a process-based and risk-based auditing approach
• Gather objective evidence using effective audit techniques
• Prepare professional audit findings and reports
• Apply best practices to enhance audit effectiveness
• Conduct audits aligned with internationally recognized principles