ISO 19011:2018 Requirements Training Course

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

• The critical role of ISO 19011 in management system auditing
• Interconnections between ISO 19011 and other ISO management system standards
• Relevance to internal, supplier, certification, and integrated management system audits
• Essential terminology and definitions in the auditing context

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

• The progression of auditing practices over time
• Introduction of new concepts in the 2018 edition
• Integration of risk-based thinking into audit processes
• Expanded guidance covering:
  • Audit program management
  • Evaluation of auditor competence
  • Techniques for remote auditing
  • Auditing integrated management systems

II. Audit Principles Under ISO 19011:2018

1. Mastery of the Seven Auditing Principles

• Integrity: The bedrock of professional auditing
• Fair presentation: Accurate and objective reporting of findings
• Due professional care: Demonstrating diligence and sound judgment
• Confidentiality and information security
• Maintaining independence and impartiality
• Adopting an evidence-based methodology
• Implementing a risk-based approach

Practical Exercise:

• Recognizing examples of exemplary versus deficient audit behavior
• Assessing auditor decisions against the principles of ISO 19011

III. Audit Management Systems and Program Administration

1. Establishment and Administration of an Audit Program

• Setting clear audit objectives and defining scope
• Determining appropriate audit criteria
• Selecting suitable methods and allocating resources
• Scheduling audit frequency and establishing priorities
• Managing associated risks and opportunities within the audit program

2. Roles and Responsibilities in the Audit Process

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

Practical Exercise:

• Designing an audit program tailored to a specific organizational scenario

IV. Audit Planning and Preparation

1. Initiating the Audit Process

• Establishing initial communication with the auditee
• Validating the feasibility of the audit
• Gathering preliminary information

2. Preparation of Audit Activities

• Clarifying audit scope and objectives
• Formulating a detailed audit plan
• Distributing responsibilities among auditors
• Creating checklists and working documents
• Reviewing relevant documented information

3. Risk-Based Audit Planning

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

Practical Exercise:

• Drafting an audit plan and accompanying checklist

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

1. The Opening Meeting

• Clarifying purpose and objectives
• Confirming logistical arrangements
• Setting up communication channels

2. Gathering and Verifying Audit Evidence

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

3. Process-Oriented Auditing

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

4. Remote and Technology-Assisted Audits

• Leveraging communication technologies during audits
• Advantages and constraints of remote auditing
• Safeguarding audit integrity and confidentiality

Practical Exercises:

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

VI. Audit Findings, Reporting, and Follow-Up

1. Assessment of Audit Evidence

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

2. Communication of Audit Results

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

3. Follow-Up Procedures

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

Practical Exercise:

• Drafting audit findings based on case studies

VII. Best Practices in Auditing and Case Studies

1. Best Practices for Successful Audits

• Cultivating trust and professional relationships
• Navigating challenging audit situations
• Mitigating common auditor errors
• Enhancing overall audit effectiveness

2. The PDCA Cycle and Continual Improvement

• Applying PDCA principles within the audit process
• Assessing the maturity of management systems
• Fostering organizational improvement

3. Case Studies and Live-Lab Audit Simulation

• Planning the audit
• Conducting interviews
• Collecting evidence
• Formulating findings
• Presenting final audit conclusions

VIII. Final Discussion, Knowledge Assessment, and Course Wrap-Up

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

Enhanced Learning Outcomes: Upon completing this course, participants will be capable of:

• Comprehending the requirements and guidance outlined in ISO 19011:2018
• Applying core audit principles during management system audits
• Efficiently planning, executing, reporting on, and following up on audits
• Utilizing process-based and risk-based auditing approaches
• Gathering objective evidence using effective audit techniques
• Producing professional audit findings and reports
• Implementing best practices to enhance audit effectiveness
• Conducting audits that align with internationally recognized standards