ISO 9001 Process Audit Checklist

by Elina D

The process audit is a process that examines the operations of an organization. It evaluates how well these processes are working and makes recommendations for improvement. Process auditing may be done internally by management team members, or it can be outsourced to an external consultant. This type of audit aims to improve operational efficiency, reduce costs, and increase customer satisfaction.

objectives of process auditProcesses that are examined include those related to:

  1. Product design
  2. Production
  3. Marketing
  4. Sales
  5. After-sales service

Process auditing aims not simply to identify problems but also to recommend solutions. Many organizations engage in process audits as part of their risk management strategy. By identifying and addressing potential risks, companies can mitigate the chances of any negative consequences occurring.

The Objectives of a Process Audits

Process audits are aimed at improving business processes. Process auditors identify the problems with a strategy and then provide recommendations on fixing them. Businesses’ conduct process must include regular audits, which will help them keep up with changes in their environment and stay competitive. Some of the objectives of a process audit include:

  • Identifying areas for improvement
  • Improving quality control procedures
  • Improving efficiency
  • Identifying the root cause of problems
  • Reducing costs
  • Process Audit Stages

Process Audit Stages

Process Audit Stages

Deliverables at each stage:

1.Pre- Planning :

Planning: Step 1- Pre planning : planning phase is the first step in Process Audit Checklist. The main objective of this phase is to identify what are the processes that need improvement or change. The pre-planning phase in the Process Audit Checklist is essential for three main reasons.

  • First, it ensures no gaps in our understanding of the process.
  • Second, it provides us with a clear vision of what needs to be done during the subsequent phases of the audit.
  • Third, it helps us identify any constraints that may hinder the implementation of changes suggested by audit findings.

2. Planning

Planning Step 2 – Understanding the process
They Understand the Process phase is one of four phases in a process audit checklist. This phase ensures that you have an accurate understanding of the current processes to work to improve them. This process can be overwhelming when there is no plan for how to do it.

The first step of this process is Understand the Process Phase, which includes four steps:

  1. Identify the Problem
  2. Determine Your Key Performance Indicator
  3. Evaluate Processes
  4. Create a Plan of Action

Planning Step 3 – Process Risk Assessment
The Process Risk Assessment is a process in the pre-planning phase of a Process Audit Checklist. This assessment aims to determine the risks that have been identified and to create an action plan for mitigating them before they can cause damage.

To do this, you will need to identify your risk tolerance level, which dictates what needs to be done with each risk.

Once you have assessed your risks, you will need to create a plan for mitigating them. This may involve creating new processes or procedures, purchasing new equipment or software, or hiring additional personnel. The action plan should be tailored to the specific needs of your business and its risk tolerance level.

Process Risk Assessment Involves

1. Identifying key risks

  • Determine Key Risk

2. Identifying Controls

  • Existing Control
  • Evaluate Gaps Between Expected and Actual Controls.

Planning Step 4 – Evaluate Control Design
The purpose of the Evaluate Control Design phase in the Process Audit Checklist is to identify weaknesses or deficiencies within an organization’s process. This phase aims to determine how well controls are working and what changes need to be made, if any. This part of the process audit checklist can help you assess whether your company needs corrective action for a particular control weakness or deficiency before moving to the design and implementation phase.

The Evaluate Control Design phase is divided into control identification and control evaluation.

Planning: Step 5 – Develop the Test Plan

The Develop, the Test Plan of the pre-planning phase, is an essential step in Process Audit Checklist. It helps identify what needs to be tested and how it will be tested and who will do the testing and when they will do it. The test plan should include a detailed description of each stage in the process, including:

Process Audit Develop the Test Plan

3.Evaluation :

1.Performing audit activities- Sampling

Sampling of Evaluation phase in Process Audit Checklist is essential for the procedure. The steps are as follows:

  • Evaluate the sampling plan for statistical validity, reliability, and precision.
  • Select samples from the population to be examined.
  • Examine by performing audit activities within the agreed period.
  • Review findings and issue evaluation report with conclusions and recommendations to management or board members.

2.Performing audit activities- Evaluating test results.

Evaluating test results of the Evaluation phase in the Process Audit Checklist is one of the essential steps in process audit. It includes two major tasks:

  • Testing the system to see if it’s operating correctly.
  • Assessing whether or not you’re meeting your goals.

3.Performing audit activities- Document the test results.

A process audit is a form of internal control, and it is performed to identify any inefficiencies or errors that may be present. A process audit checklist contains the steps for conducting an audit and documenting the results of the evaluation phase in the Process Audit Checklist, which will help you determine if corrective action is needed. The following are some essential points that need to be considered when planning a process audit:

  • The objectives should include analyzing the effectiveness of controls, identifying potential risks, and taking corrective actions as necessary.
  • It’s best to conduct audits at various intervals so there can be no question about how well your business operates.
  • You should start with a small-scale project before expanding into other areas.

4.Performing audit activities- Managing the fieldwork phase.

The process audit is a checklist to identify the risks and opportunities in a process. Process auditing can be done on any function, from manufacturing to service management. The audit activities- Managing the fieldwork phase in Process Audit Checklist includes:

  • Conducting internal audits of work products
  • Reviewing regulatory requirements
  • Evaluating training needs
  • Reviewing senior staffs’ performance ratings
  • Studying customer satisfaction data

This will help you manage the fieldwork phase of your process audit effectively.

4.Reporting :

The Reporting phase in Process Audit Checklist is a crucial step to take when looking for ways to improve your process. It will help answer what needs improvement, who can make improvements, and how much improvement is needed. To do this, here’s a checklist that helps you plan for this phase:

  1. Identify the need for improvements by evaluating KPIs/key performance indicators (e.g., sales targets).
  2. Evaluate strengths and weaknesses concerning these KPIs/ key performance indicators (e.g., sales targets).
  3. Determine the changes needed with input from stakeholders or team members on their area of expertise.
  4. Map out potential solutions (e.g., training).

Benefits of Process Audits: A Checklist for Organizational Improvement

Process audits are an essential part of organizational improvement. They help organizations identify areas for improvement, assess the effectiveness of current processes, and develop a plan for future improvements. Process audits can be done internally or externally by independent consultants to understand your organization’s culture and requirements.

Benefit 1: A process audit provides a comprehensive insight into any business operation so that it can be more efficient in achieving its goals while minimizing wasted time and resources
Benefit 2: Process auditing facilitates continuous improvement by identifying opportunities to eliminate waste at every level within the organization
Benefit 3: An external process audit ensures objectivity when assessing weaknesses and strengths.