ISO 19011:2018 Requirements Training Course

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 essential to auditing.

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

• The evolution of auditing practices over time.
• New concepts introduced in the 2018 edition.
• The integration of risk-based thinking in auditing.
• Expanded guidance for:
  • Audit program management.
  • Evaluation of auditor competence.
  • Remote auditing techniques.
  • Integrated management system audits.

II. Audit Principles According to ISO 19011:2018

1. Understanding the Seven Principles of Auditing

• Integrity: The cornerstone of professional auditing.
• Fair presentation: Reporting findings with accuracy and objectivity.
• Due professional care: Applying diligence and sound judgment.
• Confidentiality and information security.
• Independence and impartiality.
• An evidence-based approach.
• A risk-based approach.

Practical Exercise:

• Identifying examples of appropriate and inappropriate audit behaviors.
• Evaluating auditor decisions against ISO 19011 principles.

III. Audit Management System and Audit Programme Management

1. Establishing and Managing an Audit Programme

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

2. Roles and Responsibilities in the Audit Process

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

Practical Exercise:

• Developing an audit program based on a specific organizational scenario.

IV. Planning and Preparing an Audit

1. Initiating the Audit

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

2. Preparing Audit Activities

• Defining the audit scope and objectives.
• Developing a detailed audit plan.
• Assigning responsibilities to auditors.
• Preparing audit checklists and working documents.
• Reviewing documented information.

3. Risk-Based Audit Planning

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

Practical Exercise:

• Drafting an audit plan and checklist.

V. Conducting an Audit According to ISO 19011:2018

1. Opening Meeting

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

2. Collecting and Verifying Audit Evidence

• Requirements for audit evidence.
• Effective interviewing techniques.
• Observation methods.
• Reviewing documents and records.
• Application of sampling techniques.

3. Process Approach to Auditing

• Understanding processes, inputs, outputs, risks, and controls.
• Auditing process effectiveness and performance.
• Linking processes with organizational objectives.

4. Remote and Technology-Assisted Auditing

• Utilizing 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.
• Using effective audit reporting techniques.
• Communicating significant issues.

3. Follow-Up Activities

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

Practical Exercise:

• Drafting audit findings based on case studies.

VII. Effective Auditing Practices and Case Studies

1. Good Practices for Successful Audits

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

2. PDCA Cycle and Continual Improvement

• Applying PDCA principles during audits.
• Evaluating management system maturity.
• Supporting organizational 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 By the end of this course, participants will be able to:

• Understand the requirements and guidance provided by ISO 19011:2018.
• Apply audit principles during management system audits.
• Plan, conduct, report, and follow up on audits effectively.
• Utilize 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 improve audit effectiveness.
• Conduct audits aligned with internationally recognized principles.