Process Quality Audit Checklist for Professional Services
A structured checklist for auditing the quality of business processes, verifying they are followed consistently, and identifying opportunities for improvement.
Designed to meet professional indemnity requirements, client confidentiality obligations, and industry body reporting standards.
Complete Checklist
- 1Select the process to be audited based on the audit schedule or risk priority
- 2Review the documented procedure or SOP for the process being auditedCritical
- 3Observe the process being performed and note any deviations from the procedureCritical
- 4Interview the people performing the process about their understanding of the steps
- 5Verify that the documented procedure is current and reflects actual practice
- 6Check that all required records are being completed accurately
- 7Assess whether the process inputs meet the required specifications
- 8Evaluate whether the process outputs meet the defined quality standardsCritical
- 9Identify any waste, delays, or bottlenecks in the process
- 10Check that quality control checkpoints within the process are functioning
- 11Review training records for staff performing the process
- 12Assess whether the equipment and tools used are adequate and maintained
- 13Identify any non-conformances and classify their severityCritical
- 14Discuss findings with the process owner and agree on corrective actions
- 15Document the audit report and track corrective actions to completionCritical
Frequently Asked Questions
What is the difference between a process audit and a service audit?
A process audit examines how work is performed, verifying that procedures are followed and the process is capable of producing quality outputs. A service audit examines the final output to verify it meets specifications. Both are necessary: process audits catch systemic issues before they produce defects, while service audits verify the end result. Use both approaches for a complete quality assurance picture.
How should processes be selected for quality auditing?
Prioritise processes that directly impact customer satisfaction, have a high defect or error rate, involve significant financial risk, have recently been changed, or have not been audited recently. Use a risk-based approach where high-risk processes are audited more frequently. Over the course of a year, aim to audit all significant processes at least once.
How should non-conformances found during process audits be handled?
Classify each non-conformance by severity: critical issues that could cause significant harm or loss, major issues that significantly reduce quality, and minor issues that are procedural deviations without immediate impact. Address critical issues immediately. Document all non-conformances with a description, root cause analysis, corrective action, responsible person, and deadline. Verify corrective actions are effective through follow-up.
Need help implementing these checks into your daily operations?
Our team can build custom checklists integrated into your daily operations workflow.