PLAIN ENGLISH

PROCESS AUDIT PROGRAM

Process Approach

Our audit program uses a process approach. We use a process approach, not only because it makes good sense to do so, but also because many ISO standards now recommend it. ISO 9001, 13485, and 16949 have made it mandatory, while ISO 14001 and 27001 encourage organizations to use a process approach.

The process approach is a management strategy. When managers use a process approach, it means that they manage the processes that make up their organization, the interaction between these processes, and the inputs and outputs that tie these processes together.

But what’s a process, and what are inputs and outputs? Briefly put, a process uses inputs to generate outputs. Or, more precisely, a process is an integrated set of activities that uses resources to transform inputs into outputs. A process is made up of people, work, tasks, records, documents, forms, resources, rules, regulations, reports, materials, supplies, tools, equipment, and so on - all the things that are needed to transform inputs into outputs. In general, there are three types of inputs and outputs: products, services, and information.

Management Systems

A management system is a network of processes. A management system exists whenever several processes are interconnected using many input output relationships. Processes are interconnected because the output from one process becomes the input for another process. In effect, processes are “glued” together by means of such input-output relationships. And because the output of one process becomes the input of another process, inputs and outputs are really the same thing.

There are many types of management systems.
Some of these are listed below:

1. Quality Management System

2. Security Management System

3. Food Safety Management System

4. Environmental Management System

5. Occupational Safety Management System

6. Information Security Management System

7. Business Continuity Management System

8. Emergency Management System

9. Disaster Management System

All of these management systems can be audited using our generic process audit program. Simply identify the processes that make up your management system, and then audit them one at a time using our audit program.

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 >>> SAMPLE PDF
   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 very 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  (SEE SAMPLE PDF)
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.

PLAIN ENGLISH PROCESS AUDIT PROGRAM

COPYRIGHT AUTHORIZATION

Now that you know what our internal audit
 program looks like, please consider purchasing
  Title 30: Plain English Process Audit Program.
Check out a Sample of our Title 30 (pdf).
Check our Prices.  Place an Order.
  Contact Praxiom Research.

OTHER AUDIT TOOLS

ISO 9001 2000 Internal Audit Program

ISO 13485 2003 Internal Audit Program

ISO 14001 2004 Internal Audit Program

ISO 22000 2005 Food Safety Audit Program

ISO 27002 Information Security Audit Program

NFPA 1600 Business Continuity Audit Program

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The publisher and authors have used their best efforts in designing and developing this electronic publication. We make no representation or warranties with respect to accuracy or completeness of the contents of this publication and specifically disclaim any implied warranties or merchantability or fitness for any particular purpose and shall in no event be liable for any loss of profit or any other commercial damage, including but not limited to special, incidental, consequential, or other damages.