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Process audit checklist

Define the scope of the audit

Assemble the audit team and assign roles

Develop a communication plan for stakeholders

Create flowcharts or diagrams of the processes to be audited

Identify inputs, outputs, and key controls within each process

Validate process maps with process owners for accuracy

Identify relevant regulations and standards applicable to the processes

Review existing compliance documentation and records

Assess the organization's adherence to regulatory requirements

Establish data collection methods and tools

Gather quantitative and qualitative data related to process performance

Ensure data integrity and reliability during the collection phase

Analyze collected data to identify trends and patterns

Compare process performance against established benchmarks

Evaluate the adequacy of process controls and risk mitigation strategies

Conduct workshops or meetings with key stakeholders for feedback

Address concerns and gather insights from process users

Foster a culture of open communication and continuous improvement

Compile findings into a structured report format

Highlight strengths, weaknesses, and areas for improvement

Ensure findings are supported by evidence and data

Share draft findings with the audit team for input

Revise the report based on team feedback

Obtain approval from senior management before finalizing

Assist process owners in developing improvement strategies

Provide resources and support for implementing changes

Establish a timeline for implementing recommendations

Schedule a follow-up audit to assess the effectiveness of changes

Evaluate whether corrective actions have been completed

Document outcomes and lessons learned for future audits

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