Title Page
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Site conducted
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Record No. (Year/Audit No.)
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Process map No. and Title
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Conducted on
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Auditee
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Department
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Audit Location
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Auditor
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Job/Document/Individual Audited following the process map
Business Risk Reduction Questions
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Have opportunities for business improvement been identified?
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How is this being addressed?
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Do you know which documents demonstrate this? (what is the document?)) (LRI) (^)
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Familiarise yourself with the Businesses Risk Registers
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Has a strategic Risk Assessment been produced to determine significent Business Aspects? (NRP) (^^^)
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Please can you show me
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How is the risk assessment carried out if not recorded here?
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These risks and opportunities should be visible on the 1.1.5 Risk Register and Treatment Plan
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Have objectives been defined?
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This should be completed by the compliance director - how is this currently defined if these objectives have not been identified?
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Does the business have generic operational risk assessments & generic operational controls inventory (DML) (^^^)
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Please can you show me.
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These objectives should be a in 1.1.6 Business Improvement Objectives
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Have action plans with measurable targets been put in place for significant objectives?
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Can you show me which documents demonstrate this.
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You should be able to see this detail on the individual action programme tab
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Are these objectives monitored, measured and reports on progress made?
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How is this done and how often?
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Check dates are met or amended where required and percentage of progress is shown
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Are business objectives are current and managed?
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Can you please show me how this is done?
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Check the overall percentage on the overall objectives tab is current. Check any completed objectives have been moved to the completed tab
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Auditor Name
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Auditee Name
