Product Overview

Summary: This Auditing and Quality Assurance Standard Operating Procedure provides a clear, repeatable framework for planning, conducting, and reporting audits across your organisation. Built for Australian businesses, it strengthens governance, improves consistency, and demonstrates due diligence to regulators, clients, and certification bodies.

The Auditing and Quality Assurance Standard Operating Procedure sets out a structured, end‑to‑end approach for how your organisation plans, executes, documents, and follows up on internal and external audits. It is designed for Australian businesses that need to demonstrate robust governance, continuous improvement, and alignment with standards such as ISO 9001, ISO 45001, and key WHS legislation. By defining a consistent method for sampling, evidence collection, findings classification, and corrective actions, this SOP removes guesswork and ensures that audits add real value rather than becoming a tick‑box exercise.

This procedure helps organisations move from reactive issue‑fixing to proactive quality and risk management. It clarifies roles and responsibilities, sets minimum documentation and record‑keeping requirements, and provides practical guidance for engaging with workers, contractors, and stakeholders during audits. Whether you are auditing safety practices, operational processes, or compliance with client requirements, this SOP supports defensible decision‑making, stronger tender responses, and a clear demonstration that your business is serious about quality, assurance, and continuous improvement.

Key Benefits

• Standardise audit planning, execution, and reporting across all business units and sites.
• Ensure clear, evidence‑based findings that stand up to internal scrutiny and external review.
• Strengthen compliance with ISO‑style management systems and Australian WHS and quality obligations.
• Drive continuous improvement by linking audit outcomes to corrective and preventive actions.
• Reduce business risk and non‑conformance by identifying systemic issues before they escalate.

Who is this for?

• Quality Assurance Managers
• Internal Auditors
• Compliance Managers
• Operations Managers
• WHS Managers
• Risk and Governance Managers
• Business Owners and Directors
• Project Managers
• HR and Training Managers

Included Sections

• 1.0 Purpose and Scope
• 2.0 Definitions and Key Terms
• 3.0 References, Standards and Legislative Requirements
• 4.0 Roles, Responsibilities and Authority
• 5.0 Audit Planning and Annual Audit Program
• 6.0 Audit Types and Risk‑Based Prioritisation
• 7.0 Audit Preparation (Documents, Tools and Notifications)
• 8.0 Conducting the Audit (Interviews, Observation and Sampling)
• 9.0 Recording Evidence and Classifying Findings
• 10.0 Non‑conformances, Observations and Opportunities for Improvement
• 11.0 Audit Reporting, Communication and Sign‑off
• 12.0 Corrective and Preventive Actions (CAPA) Process
• 13.0 Follow‑up Audits and Verification of Effectiveness
• 14.0 Records Management and Document Control
• 15.0 Auditor Competency, Training and Independence
• 16.0 Continuous Improvement and Management Review Inputs
• 17.0 Appendices: Audit Checklists, Templates and Sample Forms

Legislation & References

• ISO 9001: Quality management systems – Requirements
• ISO 19011: Guidelines for auditing management systems
• ISO 45001: Occupational health and safety management systems – Requirements with guidance for use
• AS/NZS ISO 31000: Risk management – Guidelines
• Work Health and Safety Act 2011 (Cth) and equivalent state and territory WHS Acts
• Work Health and Safety Regulations 2011 (Cth) and equivalent state and territory WHS Regulations
• Safe Work Australia – Model Code of Practice: How to manage work health and safety risks
• Safe Work Australia – Model Code of Practice: Work health and safety consultation, cooperation and coordination