Audit & compliance system design considerations
- 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.