ISO 19011:2018 Requirements Training Course

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

• The significance 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 within the auditing context

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

• The progression of auditing methodologies
• Novel concepts introduced in the 2018 revision
• Integration of risk-based thinking into audit processes
• Broadened guidance covering:
  • Management of audit programmes
  • Assessment of auditor competencies
  • Techniques for remote auditing
  • Integrated management system audits

II. Audit Principles Defined in ISO 19011:2018

1. Grasping the Seven Fundamental Principles of Auditing

• Integrity: The cornerstone of professional auditing conduct
• Fair presentation: Accurately and objectively reporting audit findings
• Due professional care: Exercising diligence and sound judgement
• Confidentiality and information security protocols
• Independence and impartiality in audit conduct
• Adopting an evidence-based methodology
• Implementing a risk-based approach

Practical Activity:

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

III. Management System Auditing and Audit Programme Governance

1. Creating and Overseeing an Audit Programme

• Setting clear audit objectives and defining the scope
• Establishing appropriate audit criteria
• Choosing suitable audit methods and allocating resources
• Scheduling audit frequencies and prioritising activities
• Addressing risks and opportunities associated with audit programmes

2. Duties and Responsibilities Within the Audit Process

• Obligations of audit programme managers
• Duties of lead auditors and audit team members
• Roles of technical specialists and observers

Practical Activity:

• Designing an audit programme using a specific organisational scenario

IV. Planning and Preparation for an Audit

1. Commencing the Audit Process

• Establishing initial dialogue with the auditee
• Verifying the feasibility of the audit
• Gathering preliminary information and documentation

2. Preparing Audit Activities

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

3. Risk-Based Audit Strategy

• Analyzing the organisational context
• Identifying critical processes and key areas of concern
• Prioritising audit tasks based on risk assessment

Practical Activity:

• Drafting an audit plan and corresponding checklist

V. Executing an Audit per ISO 19011:2018

1. Opening Conference

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

2. Gathering and Validating Audit Evidence

• Requirements for valid audit evidence
• Strategies for effective interviewing
• Techniques for direct observation
• Reviewing documentation and records
• Appropriate sampling methods

3. Process-Oriented Auditing

• Analyzing processes, inputs, outputs, risks, and controls
• Evaluating process efficiency and performance
• Aligning processes with organisational goals

4. Remote and Technology-Enabled Auditing

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

Practical Activities:

• Facilitating audit interviews
• Conducting process-based audit evaluations
• Identifying and verifying objective evidence

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

1. Assessing Audit Evidence

• Determining instances of conformity and nonconformity
• Categorising audit findings
• Drafting clear and objective audit statements

2. Communicating Audit Outcomes

• Formulating audit conclusions
• Utilising effective audit reporting techniques
• Communicating critical issues to stakeholders

3. Follow-Up Procedures

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

Practical Activity:

• Drafting audit findings based on case study scenarios

VII. Best Practices and Case Studies in Effective Auditing

1. Best Practices for Successful Audits

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

2. PDCA Cycle and Continuous Improvement

• Applying PDCA principles within the audit context
• Assessing the maturity of the management system
• Supporting organisational growth and improvement

3. Case Study and Live-Lab Audit Simulation

• Planning the audit strategy
• Conducting stakeholder interviews
• Gathering relevant evidence
• Formulating audit findings
• Presenting final audit conclusions

VIII. Closing Discussion, Knowledge Check, and Course Wrap-Up

• Recap of key ISO 19011:2018 requirements
• Discussion of participant insights and encountered challenges
• Practical recommendations for effective auditing
• Question and answer session

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

• Comprehend the requirements and guidance outlined in ISO 19011:2018
• Apply audit principles during management system audits
• Effectively plan, execute, report, and follow up on audits
• Utilise process-based and risk-based auditing approaches
• Gather objective evidence through effective audit techniques
• Draft professional audit findings and reports
• Implement best practices to enhance audit effectiveness
• Conduct audits aligned with internationally recognised principles