Course Title

1. Introduction to Management System Auditing

1.1 Purpose and Principles of Internal Auditing

• Defining internal auditing and its role in verifying management system effectiveness

• Core auditing principles including (integrity, fair presentation, and evidence-based approach)

• Differences between first-party, second-party, and third-party audits

• Common shortcomings in internal audits including (superficial questioning and inconsistent evidence gathering)

1.2 Overview of Management System Standards

• Understanding the common high-level structure shared across ISO 9001, ISO 14001, and ISO 45001

• Overview of core ISO 9001 requirements including (customer focus and process approach)

• Overview of core ISO 14001 requirements including (environmental aspects and compliance obligations)

• Overview of core ISO 45001 requirements including (hazard identification and worker participation)

2. Audit Program Management

2.1 Establishing the Audit Program

• Defining audit program objectives, scope, and resource allocation

• Determining audit frequency based on risk, process criticality, and standard requirements

• Auditor competence, independence, and objectivity requirements

• Coordinating multi-standard audit scheduling and logistics

2.2 Auditor Roles and Responsibilities

• Distinguishing lead auditor and team auditor responsibilities

• Managing auditor assignment based on competence and process familiarity

• Understanding auditor conduct and professional ethics

• Coordinating audit team communication throughout the audit cycle

3. Preparing for the Audit

3.1 Defining Scope and Criteria

• Defining audit scope, objectives, and criteria for a specific audit

• Selecting applicable standard requirements based on audit scope

• Reviewing prior audit reports and organizational risk information

• Identifying process interactions relevant to integrated audits

3.2 Developing Audit Tools

• Developing audit checklists aligned to process risk and standard requirements

• Preparing an audit plan including (sequencing, timing, and auditee coordination)

• Selecting sampling approaches appropriate to the audit scope

• Briefing the audit team before the audit begins

4. Audit Techniques and Evidence Gathering

4.1 Gathering Objective Evidence

• Interviewing techniques including (open-ended questioning and active listening)

• Observation techniques including (verifying practice against procedure on-site)

• Managing evidence gathering across different organizational functions

4.2 Document and Record Review

• Reviewing procedures, records, and documented information

• Sampling methodology for evidence collection

• Cross-referencing documentation consistency across integrated processes

5. Auditing Quality Management Processes

5.1 Customer and Process Requirements

• Auditing customer-related processes including (requirements, feedback, and complaints)

• Auditing process control and product/service conformity

• Common quality-related non-conformances including (inadequate process control)

5.2 Quality Improvement Processes

• Auditing management review and continual improvement processes

• Verifying corrective action processes for quality-related nonconformities

• Reviewing quality objective tracking and performance monitoring

6. Auditing Environmental Management Processes

6.1 Environmental Aspects and Compliance

• Auditing environmental aspect and impact identification

• Auditing compliance obligation evaluation processes

• Common environmental non-conformances including (undocumented aspects)

6.2 Environmental Operational Controls

• Auditing waste management and resource conservation practices

• Verifying emergency preparedness for environmental incidents

• Reviewing environmental monitoring and measurement records

7. Auditing Occupational Health and Safety Processes

7.1 Hazard Identification and Risk Management

• Auditing hazard identification and risk assessment processes

• Auditing hierarchy of control application to identified risks

• Common OH&S non-conformances including (incomplete risk assessments)

7.2 Worker Participation and Incident Management

• Auditing worker consultation and participation mechanisms

• Auditing incident investigation and corrective action processes

• Reviewing emergency preparedness and drill records

8. Auditing Integrated Management System Processes

8.1 Common System Elements

• Auditing leadership commitment and policy across integrated systems

• Auditing risk and opportunity management common to all three standards

• Verifying competence, awareness, and communication requirements

8.2 Integrated Documentation and Control

• Auditing document control practices across integrated management systems

• Verifying consistency of records supporting multiple standards

• Identifying conflicts or gaps between standard-specific requirements

9. Identifying, Classifying, and Writing Audit Findings

9.1 Distinguishing Conformance from Non-Conformance

• Applying objective evidence standards to audit conclusions

• Classifying findings including (minor non-conformance, major non-conformance, and observation)

• Distinguishing findings applicable to a single standard versus integrated system findings

9.2 Writing Clear, Evidence-Based Findings

• Structuring non-conformance statements including (requirement, evidence, and conclusion)

• Avoiding common findings-writing errors including (vague language and unsupported conclusions)

• Cross-referencing findings to the correct standard clause

10. Audit Reporting, Closing Meetings, and Follow-Up

10.1 Structuring and Delivering the Audit Report

• Organizing findings for clarity including (summary, findings, and conclusions)

• Conducting the closing meeting and presenting findings to auditees

• Managing disagreement or pushback during reporting

10.2 Corrective Action Verification and Trend Reporting

• Reviewing corrective action plans and verifying root cause adequacy

• Verifying corrective action implementation and effectiveness

• Reporting audit program trends and performance to management

11. Group Discussion and Case Studies

• Case studies on internal audit findings across quality, environmental, and safety processes including (documentation gaps, recurring non-conformances, and ineffective corrective actions) and lessons learned

• Group discussion on common auditor challenges including (auditee resistance, standard overlap confusion, and maintaining objectivity)

• Sharing regional best practices including (integrated audit scheduling and cross-functional coordination)

• Discussion on embedding a value-adding, standards-agnostic internal audit culture within organizations