Process Audit

This process audit checklist is a detailed template to verify process documentation, training, resources, execution, continuous monitoring and improvement. This internal audit checklist can be used in manufacturing and other environments, as part of continuous process improvement program.

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Process Audit



Process Definition

1. Is the process defined and documented?


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2. Is the process owner identified? (Process map, procedure or work instruction, etc.)


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3. Is there evidence that process inputs are accurately defined and understood by all employees involved?


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4. Is there evidence that process activities are accurately defined and understood by all employees involved?


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5. Is there evidence that process outputs are accurately defined and understood by all employees involved?


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6. Are inputs defined and prioritized based on risk?


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7. Have procedures, instructions, and forms been established as needed to control the process?


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8. Are procedures, instructions and forms used in controlling the process readily available?


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9. Do procedures, instructions and forms accurately reflect the practices? (Note: Requires the auditor review and observation!)


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10. Are there adequate plans in place to achieve the objectives?


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11. Is relevant customer feedback available? (Feedback from subsequent processes)


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12. Are documents understood by process participants?


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Process Resources

1. Is there evidence of management commitment, involvement and allocation of resources?


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2. How many people participate in the process, is this adequate to achieve process requirements?


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3. Are participants adequately trained to carry out roles, responsibilities, and authorities?


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4. Is equipment (e.g. manufacturing, measuring & monitoring equipment; transport/logistics; hardware/software; PPE; etc.) adequate for its intended use?


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5. Is equipment identified to allow participants to determine its readiness for safe use prior to and during the operation?


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6. Are process owners accountable for the performance and compliance of their processes?


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7. Are employees satisfied with their work area?


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8. Is the work area clean and safe?


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9. Is there adequate equipment/tools/IT support?


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10. Are employees motivated and encouraged to make suggestions for process improvement?


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11. Are all employees aware of the organizational objectives and the current status of these measurements?


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12. Are all employees aware of who their customers are and whether they are satisfied?


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13. Are employees aware of the process metrics which their activities can affect?


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14. Are they aware of the current data analysis related to these metrics and the plans in place to achieve them?


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Process Execution

1. Is the observed process activity consistent with approved plans and procedures?


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2. Is the process flow constructed to avoid unnecessary movement of materials and personnel?


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3. Are redundant and non-value adding activities minimized?


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4. Is material usage maximized to avoid waste?


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5. Is waste material effectively removed and segregated from the process?


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6. Are unused materials returned to the correct location in conditions suitable to allow re-use?


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7. Are process outputs passed on to subsequent processes only when all planned process activities are completed?


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8. Is there evidence of continuity between the various support processes?


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9. Do the interfaces between the departments operate smoothly?


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10. Does product information flow freely between the support processes?


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11. Is there evidence for the reduction in measurement system and process variation?


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Process Monitoring

1. Is the process monitored, measured, analyzed and improved?


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2. Are monitoring activities carried out according to approved plans and procedures?


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3. Is process monitoring compared against standards to determine the current status of the process?


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4. Is process status communicated to appropriate members of the process team?


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5. Are records of process monitoring maintained according to approved procedures?


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6. Have key performance indicators (KPI) been established to allow the effectiveness of the process to be evaluated?


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7. Are KPI consistent with quality and business objectives?


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8. Are KPI consistent with customer requirements?


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9. Are KPI reviewed and communicated to the process team, as appropriate, by process leaders?


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10. Is the process measured for effectiveness and efficiency?


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11. When a process is not performing, is there evidence of data analysis to determine the root cause?


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12. When a process is not performing, is there evidence that the cause(s) are dealt with in accordance with procedure?


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13. Are records of process monitoring reviewed regularly to determine opportunities for corrective and preventive action?


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Process Improvement

1. Is the performance of the process reviewed at an appropriate frequency by top management?


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2. Are process improvement objectives aligned with organizational objectives, e.g. the business plan?


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3. Is there evidence of an effective PDCA cycle?


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4. Can the process owner demonstrate how PDCA applies to their process?


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5. Can the process owner to show examples of improvements driven by their PDCA cycle?


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6. Can employees demonstrate areas of previous continual improvement?


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7. Are records of process upsets and actions taken reviewed to determine the need for corrective/preventive action?


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8. Where corrective/preventive actions have been implemented, have the action(s) taken been demonstrated as effective?


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9. Where opportunities for improvement have been implemented, have the action(s) taken been demonstrated as effective?


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10. Are all process participants encouraged to be involved in identifying improvements?


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Checklist by GoAudits.com – Please note that this checklist is intended as an example. We do not guarantee compliance with the laws applicable to your territory or industry. You should seek professional advice to determine how this checklist should be adapted to your workplace or jurisdiction.

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