Process Audits

A process audit is an examination of results to determine whether the activities, resources and behaviors that cause them are being managed efficiently and effectively. A process audit is not simply following a trail through a department from input to output - this is a transaction audit

What is an effectively managed process?

An effective process is one that achieves the results that are intended – i.e. the objectives. An effectively managed process is a process in which the activities, resources and behaviors are planned, organized and controlled in a way that the outcomes meet specified objectives as illustrated right.

Auditing by Process

Auditing a process or system using process techniques verifies conformance to the required sequential steps from input to output. Process auditors use models and tools such as simple flowcharts, process maps or process flow diagrams.

Flowcharts typically identify inputs, people, activities or steps, measures and outputs. The auditor normally gets this information from a procedure or flowcharts provided by the audited organization.

During the first part of the audit, auditors should record current customer names, order numbers, routing numbers and project numbers so they can link and verify process steps during the audit.