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Terms and definitions

Audit
"Systematic, independent and documented process (3.4.1) for obtaining objective evidence (3.8.3) and evaluating it objectively to determine the extent to which the audit criteria (3.13.7) are fulfilled."

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Source ISO 19011 / ISO 9000

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A copy of the full terms and definitions can be accessed from the following link: Terms and definitions from ISO 19011 (.pdf download)

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Audit principles

​ISO 19011 Guidelines for auditing management systems is the primary standard used for auditing management systems; it also serves as the basis for official training courses endorsed by IRCA, the International Register of Certified Auditors. A link to the standard can be found here - Online Browsing Platform - ISO 19011:2018 Guidelines for auditing management systems

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1. Integrity: The foundation of professionalism.

2. Fair presentation: The obligation to report truthfully and accurately.

3. Due professional care: The application of diligence and judgement in auditing.

4. Confidentiality: Security of information.

5. Independence: The basis for the impartiality of the audit and objectivity of the audit conclusions.

6. Evidence-based approach: The rational method for reaching reliable and reproducible audit conclusions in a systematic audit process.

7. Risk-based approach: An audit approach that considers risks and opportunities

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Contact us for advice on training.

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​​Resources with commentary​​​

Process

Based on ISO 19011  this Audit process map has three levels: managing a programme, conduct an audit and generating audit finding.

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Audit process map

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Audit plan

An Audit plan can be used for taking a risk based approach to you planning; often aligned with a 3 year certification cycle. It can also be used as a training aid and a communication tool for other interested parties.

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Audit plan

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Audit programme/schedule (with build in findings tracker and analysis tool)

Using the "Plan" as an input, The ​Audit programme should be used to schedule the audits, it can also hold audit scope and criteria along with showing the status of each audit e.g., complete or if a follow-up audit is needed to close any findings.

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Findings can be captured by ISO clause and or a category using Pareto Analysis, defined in the context of your industry and business activities.

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Audit programme/schedule

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​​Audit report templates:

• Internal auditor report (Blank template)

• Internal auditor report (Simple template with memory jogger)

• Lead Auditor report (Comprehensive template with guidance)

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Note: the lead auditor template is support with example text against each HLS clause 

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Audit findings reporting 

Using information form the above mentioned analysis, findings can be reported periodically against  open and over due status, contact us discuss developing a simple database compatible with 'Microsoft's power BI' tool.​

 

Continual improvement

A Maturity assessment for internal audit can be undertaken at any time, and can be used to inform you of how to developed your approach to internal audit ensuring benefits realisation.

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​​​​Maturity assessment (taken from ISO 9004)

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Best practice audit examples

Coming soon

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Audit check list (memory jogger)

Coming soon​

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List of all links and templates referenced above

​Terms and definitions from ISO 19011 (.pdf download)

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Online Browsing Platform - ISO 19011:2018 Guidelines for auditing management systems

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Audit process map

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Audit plan

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Audit programme/schedule

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​​Audit report templates:

• Internal auditor report (Blank template)​

• Internal auditor report (Simple template with memory jogger)

• ​Lead Auditor report (Comprehensive template with guidance and example text)

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Pareto Analysis

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​​​​Maturity assessment (taken from ISO 9004)