Processes

Our audit program can be used to audit almost any process.
Below you will find a list of some of the processes that can
be audited using our audit program:

1. Production process

2. Inspections process

3. Purchasing process

4. Assembly process

5. Design process

6. Review process

7. Delivery process

8. Marketing process

9. Distribution process

10. Management process

11. Maintenance process

12. Development process

13. Administrative process

14. Manufacturing process

15. Service provision process

16. Communications process

17. Record keeping process

18. Document control process

19. Product realization process

20. Information management process

21. Resource management process

22. Measurement process

23. Monitoring process

24. Evaluation process

25. Planning process

26. Storage process

27. Repair process

28. Training process

29. Traceability process

Of course, this does not exhaust the list of possible processes that
could be audited using our approach. Your organization will probably
have many processes that aren’t listed here. These processes can
also be audited using our audit program.

Audit Topics

Our audit program covers the following topics:

1. Develop Process

   1. Organization

   2. Documents

   3. Outputs

   4. Inputs

   5. Information

   6. Monitoring

   7. Measurement

   8. Training

   9. Resources

2. Implement Process

   1. Management

   2. Competence

   3. Communication

   4. Infrastructure

   5. Records

3. Maintain Process

   1. Management

   2. Competence

   3. Information

   4. Communication

   5. Infrastructure

   6. Records

4. Control Process

   1. Management

   2. Outputs

   3. Inputs

   4. Monitoring

   5. Measurement

5. Evaluate Process

   1. Scope

   2. Focus

   3. Methods

6. Improve Process

   1. Information

   2. Methods

   3. Implementation

   4. Management

Overview of Audit

Start your audit by selecting a process. Then prepare your Process
Audit Profile. Define the scope of your audit, prepare a brief audit plan,
and identify the inputs that are used by this process and the outputs
that are generated. Then answer the process audit questions.

Once you’ve answered all the questions, you’re ready to summarize
your process audit, calculate process performance scores, draw audit
conclusions, and make and implement recommendations to address
your process performance problems.

For more information about how to carry out this audit, please see the
Audit Methodology discussion below. Detailed instructions can also
be found at the bottom of all audit forms.

Audit Methodology

Our audit program uses the following methodology:

1. Follow Audit Procedure

2. Prepare Audit Profile

3. Answer Audit Questions

4. Calculate Audit Scores

5. Prepare Audit Summary

6. Formulate Audit Conclusions

7. Make Audit Recommendations

8. Maintain Implementation Record

Each of these eight steps will be discussed below.

Audit Procedure

Our audit program includes a one page flow chart that summarizes
the general Audit Procedure that will be followed. We call this a general
procedure, because this process audit program is, in fact, a detailed
audit procedure. Simply by using our Plain English Process Audit
Program you will be following a very detailed audit procedure.

Audit Profile

Start your audit by completing an Audit Profile. The Audit Profile form
asks you to briefly define the scope of the audit and to prepare a short
audit plan. It asks you to identify the process being audited and to list
the inputs used by this process and the outputs produced by this
process.

Inputs include the supplies, products, services, and information
that come from external or internal suppliers and are used by this
process to produce outputs. Outputs include the products, services,
and information that are generated by this process and are used by
process customers. You’re also asked to identify these process
suppliers and process customers, at least in general terms. Process
suppliers supply inputs for this process while process customers
receive the outputs that are generated by this process.

The Audit Profile also asks you to list the audit participants, including
the auditees, auditors, the audit schedule, and the audit reviewer. All
of these clarifications are necessary to ensure that audit participants
are clear about what will be audited, who will do the audit, who will
review it, and when all of this will take place.

Audit Questions

This process audit includes six questionnaires
that cover the following six topics:

1. Develop Process

2. Implement Process

3. Maintain Process

4. Control Process

5. Evaluate Process

6. Improve Process

Before you start a process audit, please enter the name of the
process being audited at the top of each audit questionnaire. This
will help to focus your audit. Then answer each of the audit questions.
Three answers are possible: YES, NO, or N/A. A NO answer points to
a process performance problem, a YES answer points to a positive
performance area, while an N/A answer means that the question is
not applicable for this process. Our process audit identifies process
performance problems because it evaluates how well processes are
being performed.

Also, please use the space to the right of each question and the space
at the end of each questionnaire to record your notes, comments, and
observations, and use the column on the far right to number them.
And in the spaces at the bottom of each questionnaire, please enter
the name and location of your organization, who completed this
page, who reviewed it, and the dates.

Audit Scores

Our audit program allows you to calculate average audit scores for
each process audit. Audit scores are calculated for each of the six
sections that make up the audit. The calculations are straight forward.
For each section, count the number of YES answers and the number
of NO answers (ignore N/A responses) and add the two numbers
together. To calculate the average score for each of the six sections,
divide the total number of YES answers by the total YES+NO answers
and multiply the result by 100 to turn the score into a percentage.

Since you will probably use this audit program to carry out several
process audits, we have also provided a form that you can use to
summarize and compare several process audit scores.

If you’re not entirely clear about how all of these scores are calculated,
don’t worry. How these scores are calculated will be obvious when
you see our Process Audit Score forms. You’ll also find more specific
instructions at the bottom of each form.

Audit Summary

NO answers to audit questions point to process performance
problems. Use the Process Audit Summary form to list these
problems and to discuss causes. We suggest that you reword each
audit question so that it describes a problem that should be solved.
However, if your audit has identified a great many problems, you may
find it easier to skip this step. To avoid having to recopy and rewrite
a great many audit questions, you may wish to use the audit
questionnaire as a summary instead of the Process Audit
Summary form.

Audit Conclusions

Next, study your Process Audit Summary and then draw general
conclusions and discuss why process performance problems exist
(discuss general causes). Please do not simply list problems (you’ve
already done that). Summarize what you have learned and explain
why your conclusions are justified. More specific instructions can
be found at the bottom of each Process Audit Conclusions form.

Recommendations

Now you’re ready to make recommendations. Study your process
audit conclusions carefully and then use them to formulate your
recommendations. Make sure that your recommendations are
supported by the facts that were uncovered during the course
of your process audit. Try to recommend both corrective and
preventive actions and make sure that you address both causes
and consequences. Also make sure that all recommended actions
are officially authorized and approved by management before
they are implemented.

Implementation

Now you’re ready to implement all approved recommendations.
Use the Process Implementation Record for this purpose. Use this
form to assign each approved recommendation to someone and
to monitor and control implementation projects.

INTRODUCTION

Introduction to Process Approach

Introduction to Process Audit

PROCESS AUDIT PROGRAM

Process Audit Procedure

Process Audit Profile

Process Audit Questions

Process Audit Scores

Process Audit Summary

Process Audit Conclusions

Process Audit Recommendations

Process Audit Implementation Record

ADMINISTRATIVE INFORMATION