ISO 19011 Management System Auditing Lead Auditor

Module 1: Introduction to Management System Auditing

• Management system concepts
• Purpose of auditing
• Audit objectives
• Audit activities
• Audit lifecycle
• Organisational value of audits

Module 2: ISO 19011 Framework

• Purpose of ISO 19011
• Scope and application
• Key terminology
• Auditing framework
• Management system context
• Application of guidance

Module 3: Types of Management System Audits

• First-party audits
• Second-party audits
• Third-party audits
• Combined audits
• Joint audits
• Audit applications

Module 4: Principles of Auditing

• Integrity
• Fair presentation
• Due professional care
• Confidentiality
• Independence
• Evidence-based approach

Module 5: Risk-Based Approach to Auditing

• Risk-based auditing
• Audit risks
• Audit opportunities
• Process criticality
• Risk evaluation
• Audit prioritisation

Module 6: Audit Programme Fundamentals

• Audit programme purpose
• Programme objectives
• Programme scope
• Programme responsibilities
• Programme resources
• Programme documentation

Module 7: Establishing an Audit Programme

• Organisational context
• Programme priorities
• Audit frequency
• Audit methods
• Resource allocation
• Programme planning

Module 8: Implementing the Audit Programme

• Scheduling audits
• Selecting auditors
• Assigning responsibilities
• Communication
• Managing programme records
• Implementation monitoring

Module 9: Monitoring & Improving Audit Programmes

• Programme performance
• Monitoring activities
• Performance indicators
• Programme review
• Lessons learned
• Continual improvement

Module 10: Audit Objectives, Scope & Criteria

• Defining objectives
• Determining scope
• Establishing criteria
• Organisational boundaries
• Applicable requirements
• Audit feasibility

Module 11: Selecting the Audit Team

• Auditor competence
• Technical knowledge
• Team composition
• Independence
• Subject matter expertise
• Team responsibilities

Module 12: Lead Auditor Responsibilities

• Audit leadership
• Team coordination
• Task allocation
• Communication
• Decision-making
• Managing audit performance

Module 13: Audit Planning

• Audit plan development
• Audit schedules
• Process prioritisation
• Resource planning
• Audit methods
• Contingency considerations

Module 14: Pre-Audit Document Review

• Management system documentation
• Policies
• Procedures
• Previous audit reports
• Performance information
• Identifying audit focus areas

Module 15: Developing Audit Checklists

• Checklist objectives
• Requirement-based questions
• Process-based questions
• Open-ended questions
• Audit trails
• Checklist flexibility

Module 16: Conducting Opening Meetings

• Introductions
• Confirming objectives
• Confirming scope
• Audit methodology
• Communication channels
• Resolving initial concerns

Module 17: Audit Communication

• Team communication
• Auditee communication
• Progress updates
• Escalating concerns
• Managing information
• Professional communication

Module 18: Gathering Audit Evidence

• Objective evidence
• Document review
• Record review
• Observation
• Interviews
• Information verification

Module 19: Effective Audit Interviewing

• Interview planning
• Questioning techniques
• Active listening
• Open and closed questions
• Following audit trails
• Recording information

Module 20: Audit Sampling

• Sampling principles
• Sample selection
• Representative sampling
• Risk-based sampling
• Sampling limitations
• Sampling documentation

Module 21: Evaluating Audit Evidence

• Evidence sufficiency
• Evidence relevance
• Requirement comparison
• Corroborating information
• Conflicting evidence
• Professional judgement

Module 22: Audit Findings

• Conformity
• Nonconformity
• Observations
• Opportunities for improvement
• Objective evidence
• Developing clear findings

Module 23: Writing Nonconformities

• Requirement identification
• Statement of nonconformity
• Supporting evidence
• Clear wording
• Traceability
• Reviewing nonconformities

Module 24: Developing Audit Conclusions

• Reviewing findings
• Evaluating objectives
• System effectiveness
• Audit limitations
• Team consensus
• Audit conclusions

Module 25: Conducting Closing Meetings

• Presenting findings
• Explaining conclusions
• Clarifying nonconformities
• Addressing questions
• Follow-up expectations
• Closing communication

Module 26: Audit Reporting

• Audit report structure
• Objectives and scope
• Audit findings
• Audit conclusions
• Report accuracy
• Report distribution

Module 27: Corrective Actions & Follow-Up

• Correction concepts
• Root cause analysis
• Corrective-action plans
• Reviewing responses
• Effectiveness verification
• Closing findings

Module 28: Auditor Competence & Evaluation

• Auditor knowledge
• Auditor skills
• Professional behaviour
• Competence criteria
• Auditor evaluation
• Continual professional development

Module 29: Remote & Technology-Assisted Auditing

• Remote audit concepts
• Digital communication
• Remote interviews
• Electronic evidence
• Technology risks
• Remote audit planning

Module 30: Leading Complex Audits & Continual Improvement

• Complex audit situations
• Multiple management systems
• Managing audit conflicts
• Team performance
• Lessons learned
• Improving audit effectiveness