South East Training - Business Process Auditing Toolkit

The Business Process Auditing Toolkit provides guidance, example documents and blank forms as a resource to help the business process auditor.  These tools are the copyright of South East Training.  However, you are free to use them on condition that you acknowledge both the ownership and the source.  Please include the following statement on each online or printed page. 

The Business Process Auditing Toolkit is owned by South East Training. 

You may use this resource for free on the condition that you include this statement on each page.  

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Business Process Auditing Training Course 

The Business Process Auditing Toolkit

Preparation Phase

This section outlines the activities involved in preparing for a Business Process Audit from identifying which processes to investigate through to preparation of the audit checklists use as an aide memoire by the auditors. 

Pre-audit activities include:

  • Establish the purpose and scope of the audit
  • Nominate the audit team
  • Establish the audit criteria
  • Obtain documents/information required for planning
  • Establish the audit trail and sample
  • Develop the audit programme
  • Inform the auditee and confirm dates
  • Brief the audit team
  • Prepare checklists
  • Prepare for the opening meeting.

 Additional information is provided on the following pages.


Investigation Phase

The audit investigation involves gathering evidence about the performance of the process.  This section deals with the activities from the opening meeting, which marks the start of this phase, through information gathering and preparation of observation reports, to the closing meeting that marks the end of the investigation phase. 

Activities during the investigation stage include:

  • The opening meeting
  • Audit investigation
  • Audit team meetings
  • Auditee wash-up meetings
  • Documenting findings
  • Closing meeting.

Additional information is provided on the following pages.


Follow-Up Phase

This section outlines the activities undertaken by the auditors after the investigative phase, starting with preparation of the audit report through to assisting management with corrective action and eventual close-out of the audit. 

Post audit activities include:

  • Report writing 
  • Submitting the report and requesting a response
  • Evaluating the response
  • Assisting with the action plan
  • Verifying corrective action has been taken and is effective
  • Close out

Additional information is provided on the following pages.


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