Auditing ISO Management Systems: Techniques and Best Practices

Program Description

Auditing ISO Management Systems: Techniques and Best Practices

Rationale

Many organizations today, especially in the Banking and Financial sectors, have implemented some of the ISO Management Standards. Primarily, as a mandatory requirement from their supervising institutions. It is therefore imperative that audits are conducted to safeguard assets and especially continual improvement.

This course equips participants with the knowledge and skills to plan, conduct, report, and follow up on audits of management systems in line with ISO standards (e.g., ISO 9001, ISO 20000, ISO 22301, ISO/IEC 27001). It blends ISO 19011:2018 guidelines with sector-specific best practices.

It will give participants an overview of evidence and findings, preparation and pre-audit activities including system standards, protocols and methodologies. It will also teach participants about how an audit scope is presented with reference to physical location, organizational units and other important factors.

 Learning Objectives

• Describe the process of conducting an audit.
• Discuss the starting point of an audit.
• Understand how non-compliance for requirements is reported.
• Explain how audit requirements vary with many different management systems.
• Summarized the expectations of clients from audits.
• Outline how audit findings are followed up.
• Identifying root causes and preferring for continuous improvements      

Course Contents

Module 1 – Introduction to Management Systems Auditing

o   Define “Management System” and “Audit” in ISO terms.

o   Explain the purpose and benefits of audits.

o   Identify different types of audits (first, second and third party)

Module 2 – ISO 19011:2018 Principles & Framework

o   List the seven principles of auditing.

o   Explain the audit process model

o   Understand auditor competence requirements

Module 3 – Audit Planning & Preparation

o   Develop an audit plan and checklist.

o   Define audit scope, objectives, and criteria.

o   Prepare document review strategies.

Module 4 – Conducting the Audit.

o   Apply effective interview techniques.

o   Collect and verify objective evidence.

o   Manage Audit team roles

Module 5 – Reporting Audit Findings

o   Write a clear, concise, audit findings.

o   Differentiate between major/minor nonconformities

o   Recommend corrective actions

Module 6 – Follow-up & Continuous Improvement

o   Monitor corrective actions and verify effectiveness.

o   Link audit results to continual improvement.

Module 7 – Best Practices & Common Pitfalls

o   Identify best practices for effective results.

o   Avoid common mistakes in planning, execution, and reporting.

Duration: 4 days

Skill Level: Foundation

Delivery Mode: Virtual

Month: April