Process Audit checklist

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Process Audit Procedures:

• Meeting with process owners and identifying background and objectives for the audit;
• Selecting people to interview, areas to investigate, and documents to review;
• Elaborating and approving suitable methodology to apply;
• Selecting appropriate tools to collect all necessary data (such as self-assessment forms & questionnaires, on-site inspections, reviewing of records, etc);
• Composing the plan and getting it approved by auditors and process owners;
• Composing the schedule to state timeframes for the audit;
• Sending notifications to inform the process participants of an upcoming audit;
• Establishing audit workshop;
• Conducting the Opening Meeting with the process staff members and stakeholders;
• Interviewing and questioning the organizational staff and process stakeholders;
• Reviewing procedure manuals and process documents (standards, regulations and historical);
• Learning organization of other business processes if required;
• Testing process for compliance with declared standards and policies;
• Assessing the adequacy of internal controls;
• Making conclusions on findings, offering resolutions, and drafting the report;
• Communicating the report to the process owners and considering it on the Closing Meeting;
• Collecting feedback and conducting Follow-Up;

 Process Audit Check Sheet (inspecting the overall efficiency of a process):

• Auditing the Process Design:
  • The process was appropriately flow-charted and all contributors & participants were properly identified (everything was documented as appropriate);
  • The process’s inputs, outputs, managers, suppliers, and customers have been identified and documented as appropriate;
  • The process key risks have been identified, rated, analyzed, documented, and risk awareness & mitigation policy has been raised as appropriate;
  • There are well-defined performance metrics, internal controls, and procedures helping to state customer-oriented metrics to be derived from loosely described requirements;
  • There are special administrative strategy and special internal corporate controls & service for the purpose of continuous process monitoring, review and improvement management;
• Auditing the Process Personnel:
  • There are well-defined and documented requirements on knowledge, skills, certification, and seniority for specialists to operate the process as appropriate;
  • There are well-defined and documented process roles & responsibilities (adapted through organizational HR-mechanisms) without any unjustified duties, duplication of functions, and conflicts between them;
  • Personnel who currently operate the process’s workflow match the undertaken positions and are completely aware of and accountable for their individual functions;
  • Process performers can name the process they execute and identify the key metrics of its performance (or at least they are completely aware of their individual tasks and objectives);
  • All necessary trainings have been provided, as well as all working & safety instructions have been properly understood by the process personnel;
• Auditing the Process Assets:
  • The process’s requirements for the working assets (facilities, infrastructure, technology, etc) are well-defined, specified and justified by the competent technical experts, and completely approved by the company management;
  • The existing assets match the provided specifications as appropriate;
  • All process equipments and technologies are...

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