Evaluating your Audit & Compliance System

Audit & compliance system design considerations

GPL Application Area Successful deployment of the GPL Audit and Compliance Kit begins with a review and assessment of your current audit processes. These questions may be helpful:

  • What are the subject areas where your organization already has audit processes in place?
  • Who (or what role) is responsible for each area?
  • How are audits currently conducted?
  • What is the frequency of the audits?
  • What data are collected and recorded? (Yes/No/NA, Scores 1-5, numeric (measurement) data, visual information, remarks, check-offs, signatures, etc.)
  • How are data stored?
  • Who reviews the results and holds the responsible party accountable for doing the work?
  • What new subject areas are candidates for a digitized audit function?
  • What are the priorities for implementing the subject areas?
  • What is the organization’s commitment to ensuring a digitized audit and compliance process is implemented?

Typical system designs

A review and assessment of your current audit process should lead to a plan that includes (at minimum) the following components:

  • A statement of the organization’s commitment to the effort.
  • A list of compliance subject areas (5S, ESD, Safety, etc) to be digitized, along with the names of the process owners.
  • An audit timetable for daily, weekly, monthly, quarterly, and annual checks. Checks can also be structured by hour, shift, lot, or other defining characteristic.
  • Paper or electronic copies of sample audit sheets for each area and each frequency or inspection.
  • A timetable for implementing the GPL Audit and Compliance Kit, including:
    • Schedule for developing GainSeeker Inspections for each audit area
    • Training plan for the process owners
    • Training plan for the leaders who oversee the work of the process owners
  • A process for regularly reviewing audit results. This process should include mock ups of sample dashboards or desktops that your team will use to review the results.