Process Approach Planning Worksheet

Six Process Characteristics: Four Support Process Questions (related to risk): Five Measurement Questions (related to specific process):
☐Has an owner ☐What? (materials, equipment) ☐What measurements?
☐Is defined ☐Who? (skills, training) ☐How does the measurement represent the process?
☐Is documented ☐Measure? (analysis, improvement) ☐Any indicators warranting additional investigation?
☐Linkages are established ☐How? (methods, techniques) ☐What factors influence the measurement?
☐Is monitored ☐Are the measurements used to drive continual improvement?
☐Has records maintained

1 2 3 4 5 6 7 8
Focus Areas, Key Control
Key Indicators,
Organization Location Procedures, Instructions, Points, and Issues or
Support Management Measurements Applicable
Core Process (Physical and or Planned Arrangements Exceptions Warranting
Processes Processes (Expected or Required) Standard Requirements
Organizational) (Actual or Expected) Additional
Emphasis/Investigation

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5550 Nicollet Avenue Minneapolis, MN 55419-1930 612·238·1200 612·238·1218 FAX www.plexusINTL.com
 Process Approach Planning Worksheet Instructions

Row 1: to be used for the Core Process identified in Column 1

Columns 1-7: to be completed prior to the planned audit.

Column 1: list the core process (row 1 should be used to detail the information needed to audit a core
process).

Column 2: list the direct support processes identified by the organization to support the designated core
process.
Column 3: list the management processes (the organization may or may not identify these as processes).
Management processes are typically those processes that assess the performance of the core and support
processes and produce organization wide decisions, objectives, changes, etc.

Column 4: list where you would expect to find the process in whole or part, both physically and within the
organization’s business structure.

Column 5: list those measurements and other indications of performance you would expect (or that have
been identified by the organization) to see in relation to the core or support process area.

Column 6: list the clauses, which apply as requirements to this core or support process. An option would be
to link this information to the actual requirement wording or check sheet/evaluation tool.

Column 7: list the procedures, work instructions, process instructions, etc., that apply to this core, support or
management process.

Column 8: list the areas, issues, points of interest or exceptions/anomalies that you find or expect to find
based on your reviews of the process or system. For example, you may find in a preliminary review that a
requirement often associated with this type of process has not been listed – this would appear to be an
exception/anomaly worthy of further investigation.

NOTE: The three boxed and bulleted lists located across the top of the worksheet are provided to remind you
about fundamental questions regarding the characteristics of a process, the support elements of a process,
and the measures associated with a process.

Copyright © 2018 Plexus International

5550 Nicollet Avenue Minneapolis, MN 55419-1930 612·238·1200 612·238·1218 FAX www.plexusINTL.com