Lead Auditor

This practical two-day Lead Auditor Course is designed for people who are responsible for planning, conducting or leading workplace audits and assurance activities.

The program focuses on the practical skills required to conduct effective management system audits, rather than simply working through a checklist.

Participants work through the complete audit process, from establishing audit objectives and scope through to evidence gathering, audit team leadership, findings, closing meetings and reporting.

The course also explores risk-based auditing, critical controls and the difference between what an organisation says happens and what actually happens in practice.

Participants who successfully complete this program will develop the skills and knowledge required to confidently:

• Plan and prepare for management system audits

• Establish audit objectives, scope and criteria

• Apply risk-based auditing principles

• Develop audit plans, sampling strategies and audit trails

• Conduct opening and closing meetings

• Interview workers, supervisors and managers

• Gather and evaluate objective evidence

• Follow evidence trails and identify areas requiring further investigation

• Distinguish evidence from assumptions and opinion

• Identify conformity, nonconformity and systemic weaknesses

• Write clear and defensible audit findings

• Lead and coordinate an audit team

• Manage conflicting or incomplete evidence

• Reach evidence-based audit conclusions

• Prepare clear and useful audit reports

• Apply critical control and assurance thinking to high-risk activities.

Our Lead Auditor Course combines theory with practical exercises, simulated interviews, audit planning activities and realistic audit scenarios so participants can apply what they learn throughout the program.

Who Should Attend

This course is suitable for:

• WHS and HSE professionals

• Quality professionals

• Risk and assurance professionals

• Internal auditors

• Compliance personnel

• Workplace supervisors and managers

• Consultants

• Contractor assurance personnel

• People responsible for workplace audit programs

• Existing auditors wanting to strengthen their practical auditing skills.

Previous auditing experience is useful but is not essential.

Course Content

The two-day program covers:

Understanding Management System Auditing

• Purpose and principles of auditing

• First, second and third-party audits

• Audits, inspections, investigations and assurance

• Auditor independence and professional judgement

• Common audit failure modes.

Planning the Audit

• Audit objectives

• Scope

• Criteria

• Audit methodology

• Audit team responsibilities

• Risk-based audit planning

• Sampling strategies

• Developing audit trails.

Conducting the Audit

• Opening meetings

• Interviewing techniques

• Gathering objective evidence

• Reviewing documents and records

• Workplace observations

• Evidence triangulation

• Following evidence trails

• Work as Imagined versus Work as Done.

Leading the Audit Team

• Allocating audit responsibilities

• Coordinating audit activities

• Monitoring audit progress

• Managing conflicting evidence

• Supporting audit team members

• Managing difficult audit situations

• Maintaining audit scope and integrity.

Audit Findings

• Conformity

• Observations

• Opportunities for improvement

• Nonconformity

• Systemic weaknesses

• Writing evidence-based findings

• Defending audit findings.

Risk and Critical Control Assurance

• Risk-based assurance

• Control implementation

• Control effectiveness

• Critical controls

• Verification

• Recognising control degradation.

Closing and Reporting

• Reaching audit conclusions

• Audit team review

• Closing meetings

• Managing disagreement

• Audit reporting

• Communicating significant findings to management

• Follow-up and corrective action.