Introduction:

How this template works

This template is designed to be used to perform a self-audit in accordance with the ISO 9004:2018 standards.

Self-auditing can clearly outline a high-level view of the performance of an organization, and the effectiveness of its management systems. 

It can also help to identify areas that are in need of improvement and determine which of these areas should be prioritized, in accordance with business goals or regulatory standards.

Self-audits, as well as audits in general are used to assess whether or not certain aspects of management systems are indeed performing effectively, as defined against standards such as ISO or an organization's own internal objectives.

Self-auditing should be used to discover potential for innovation and continuous improvement, utilizing the output of the audit, usually in the form of clearly outlined strengths, weaknesses, risks, and opportunities for improvement.

Progress over time should also be factored in, on occasion of repeat audits.

This checklist provides an extensive framework for improvement based on the principles outlined in this quality management guidance document. It can be used as is, or edited and customized to suit your specific needs.

Each task employs five levels with which to assess audit outcome, which can be extended to include additional levels or otherwise customized as needed.


Guidelines for success

The following guidelines can be observed in order to ensure effective, efficient, and sustained success of an organization:

  • Prioritizing and fulfilling the needs and expectations of interested parties
  • Adequately collecting and assessing metrics of performance within the organization
  • Constantly seeking to identify and implement improvements across the organization
  • Utilizing policies, strategies, and objectives to further business goals
  • Effectively and efficiently managing resources with regard to business processes
  • Enforcing a company culture based on trust, transparency, and worker empowerment
  • Establishing and maintaining beneficial relationships with relevant interested parties where possible, and constantly seeking to develop new beneficial relationships.

Performance can be reviewed against the criteria outlined here and in this checklist, ultimately identifying current "maturity" levels with the goal of outlining strengths, weaknesses, risks, and opportunities.


Additional resources

In addition to this resource, we also have the following ISO-related templates in the form of a quality management system mini-manual blueprint, and a fully fleshed-out version of that blueprint:


How Process Street works

Process Street is a tool for managing and running processes in an organization. 

With Process Street, you can quickly and easily create, edit and deploy your processes.

Enter checklist details

Use this section to enter your details into the checklist.

Once this Self-Audit Checklist has been completed, the results from the audit can be assessed for approval from the relevant member in your team using Process Street's approval feature.

Below, you can enter the details of the relevant team member to be assigned for this approval task.

Run the Self-Audit:

Relevant interested parties

Level 1

  • 1
    The interested parties are determined, including their needs and expectations and whether the associated risks and opportunities are informal or ad hoc.

Level 2

  • 1
    Processes to meet the needs of some interested parties are established.
  • 2
    Ongoing relationships with interested parties are established as informal or ad hoc.

Level 3

  • 1
    Processes for determining which interested parties are relevant are in place.
  • 2
    Processes for determining the relevance of interested parties include consideration of those that are a risk to sustained success if their needs and expectations are not met and those that can provide opportunities to enhance sustained success.
  • 3
    The needs and expectations of the relevant interested parties are identified.
  • 4
    Processes to fulfil the needs and expectations of the interested parties are established.

Level 4

  • 1
    Processes for assessing the relevance of the needs and expectations for relevant interested parties are in place and are used to determine which ones need to be addressed.
  • 2
    The needs and expectations of key interested parties are addressed and reviewed such that improved performance, common understanding of objectives and values, and enhanced stability have been realized in some of these ongoing relationships.

Level 5

  • 1
    Processes and relationships with relevant interested parties are fulfilled according to the relevant needs and expectations determined. This has been done as part of understanding the benefits, risks and opportunities of ongoing relationships.
  • 2
    The needs and expectations of all relevant interested parties are addressed, analysed, evaluated and reviewed, such that there is improved and sustained performance, common understanding of objectives and values, and enhanced stability, including recognition of the benefits derived from these ongoing relationships.

External and internal issues

Level 1

  • 1
    Processes for determining and addressing external and internal issues are informal or ad hoc.

Level 2

  • 1
    Processes for determining and addressing issues are in place.
  • 2
    The risks and opportunities related to the issues identified are determined as informal or ad hoc.

Level 3

  • 1
    Processes to determine internal issues that can affect the organization's ability to achieve sustained success are identified.
  • 2
    Processes to determine external issues that can affect the organization's ability to achieve sustained success are identified.

Level 4

  • 1
    External and internal issues are determined and show consideration for factors such as statutory, regulatory and sector specific requirements, globalization, innovation, activities and associated processes, strategy and levels of competence and organizational knowledge.
  • 2
    Risks and opportunities are determined, and show consideration for information from the organization's past and its current situation.
  • 3
    Processes to address issues considered to be risks to sustained success, or opportunities to enhance sustained success, are established, implemented and maintained.

Level 5

  • 1
    Processes for the ongoing monitoring, reviewing and evaluation of external and internal issues are established, implemented and maintained, with actions arising from this process acted on.

Mission, vision, values and culture

Level 1

  • 1
    Processes for determining the identity of the organization, a long with the establishment of mission, vision, values and culture, are informal or ad hoc.

Level 2

  • 1
    A basic understanding of the organization's mission, vision and values exists.
  • 2
    An understanding of the current culture, and whether there is a need to change it, is informal or ad hoc.

Level 3

  • 1
    Top management is involved in determining the mission, vision and values, based on processes that account for the definition and sustainment of the context of the organization in relation to its defined identity.
  • 2
    An understanding of the current culture, a long with a process for considering the need for a change to that culture, is in place.
  • 3
    Changes to the organization's identity are communicated informally to perceived interested parties.

Level 4

  • 1
    The organization's culture is aligned with its mission, vision and values.
  • 2
    A clearly defined understanding of the current culture, a long with a process for considering the need for a change to that culture, is implemented and maintained.
  • 3
    The strategic direction of the organization and its policy are aligned with its mission, vision, values and culture.
  • 4
    Changes to any of these identity elements are communicated within the organization and to its interested parties, as appropriate.

Level 5

  • 1
    A process for reviewing these elements at planned intervals by top management is well established and maintained. This includes consideration of external and internal issues as part of the verification of alignment between the elements of the identity of the organization, its context, its strategic direction and its policy.

Leadership — General

Level 1

  • 1
    Processes for defining, maintaining and communicating the leadership ’s vision, mission and values, and for promoting an internal environment in which people are engaged and committed to the achievement of the organization's objectives are carried out in an informal or ad hoc manner.

Level 2

  • 1
    Key processes, such as those related to establishing the organization's identity, a culture of trust, integrity and teamwork, the necessary resources, training and authority to act, ensuring behavioural attributes are defined, and supporting leadership development, are determined.
  • 2
    Only some interrelationships between leadership and commitment, including the maintenance of a competitive organizational structure, maintaining unity of purpose and direction, and reinforcement of values and expectations are determined.

Level 3

  • 1
    Processes and the interactions of activities related to the organization's identity, cultural aspects, the provision of resources, training, the authority to act and behavioural factors are accounted for.
  • 2
    A competitive organizational structure and unity of purpose are established.
  • 3
    Values and expectations are established and communicated.
  • 4
    Leadership development is defined.
  • 5
    Processes to maintain the culture and promote accountability are acted on.
  • 6
    Maintenance of the organizational structure and unity of purpose in relation to the context of the organization, personally and/or regularly reinforcing values and expectations, are included in process determination.

Level 4

  • 1
    Processes and their interactions are systematically determined in such a way that outputs and outcomes are concise and create an internal environment in which people are engaged and committed to the achievement of the organization's objectives, and in a way that promotes understanding and supports the organization's ability to achieve sustained success.
  • 2
    All relevant factors and their interrelationships are considered in process determination.

Level 5

  • 1
    Processes and the interactions of leadership with all levels of the organization are dynamically determined and used to establish and sustain the success of the organization.

Policy and strategy

Level 1

  • 1
    Processes for determining the organization's policy and strategy are done in an informal or ad hoc manner.

Level 2

  • 1
    The policy and strategy, and the basic strategy framework, are determined.

Level 3

  • 1
    Processes and the interactions related to the policy and strategy are defined to address all applicable aspects, models and factors.
  • 2
    The organization's identity, the context of the organization and long-term perspective, a competitive profile and consideration of competitive factors are determined.
  • 3
    The policy and strategy decisions are reviewed for continuing suitability and changed as deemed necessary by top management.

Level 4

  • 1
    Processes and their interactions are systematically determined to ensure the policy and strategy provide a comprehensive framework for process management, to support deployment and facilitate changes, as well as to effectively account for applicable aspects and factors.
  • 2
    The processes for maintaining as standardized or custom model for as strategy framework and the policy are determined and address and aid in the mitigation of risks, while taking advantage of opportunities.

Level 5

  • 1
    Processes and the relationships between the policy and strategic direction are dynamically determined, with all applicable aspects and factors accounted for, such that a comprehensive framework exists to support the establishment, maintenance and management of processes.
  • 2
    The needs of all interested parties are addressed and the policy and strategy are utilized to manage the business in a comprehensive way.

Objectives

Level 1

  • 1
    Processes for determining the organization's objectives are done in an informal or ad hoc manner. Only the short-term objectives are defined.

Level 2

  • 1
    Processes for determining the objectives are defined and the objectives show some interrelationship with policy and strategy.
  • 2
    The objectives are quantifiable, where possible, but are not clearly understood.
  • 3
    Processes and the interactions of short- and long-term objectives with the policy and strategy are defined, including the ability to demonstrate leadership and commitment outside the organization.

Level 3

  • 1
    Processes for defining, maintaining and deploying the objectives, including the relationship with the policy and strategy, are in place and maintained, including the need to establish clearly understood and quantifiable short and long-term objectives that also demonstrate leadership and commitment outside the organization.
  • 2
    The short- and long-term objectives are defined, and the relationship with the policy and strategy is evident.

Level 4

  • 1
    Processes and the relationship between the policy, strategy and the demonstrated leadership and commitment outside the organization are dynamically determined and maintained.

Level 5

  • 1
    Short- and long-term objectives are quantifiable, clearly understood, deployed and updated to maintain the relationship with the policy and strategy, such that top management ’s leadership and commitment are demonstrated both internally and outside the organization.

Communication

Level 1

  • 1
    The processes for communicating the policy, strategy and objectives are done in an informal or ad hoc manner.

Level 2

  • 1
    The processes for determining the types and degree of communication needed are defined.

Level 3

  • 1
    Communication processes are defined and facilitate meaningful, timely and continual communication tailored to the differing needs of recipients, as it relates to the policy, strategy and relevant objectives.
  • 2
    The interrelationships of this communication are clear with regard to the differing needs of recipients and how the policy, strategy and relevant objectives are used to aid in the sustained success of the organization.
  • 3
    A feedback mechanism is in place and incorporates provisions to proactively address changes in the organization's context.

Level 4

  • 1
    The communication processes systematically facilitate communication regarding the policy, strategy and objectives to all relevant interested parties, in support of the organization's sustained success, while also accounting for the need to deploy communication when change is realized. Communication methods show a direct relationship to the context of the organization and the feedback mechanism is well defined and effectively deployed.

Level 5

  • 1
    The processes for communicating the policy, strategy and objectives are dynamic, with the interrelationships of the policy, strategy and objectives being clearly conveyed to all recipients, such that the differing needs of each are accounted for.

Process management — General

Level 1

  • 1
    Processes are managed in an informal or ad hoc manner.

Level 2

  • 1
    Key processes, such as those relating to customer satisfaction and operations related to product and service, are managed.
  • 2
    The effectiveness of the processes is individually measured, and acted upon. Interactions between processes are not well managed.

Level 3

  • 1
    Processes and their interactions are managed as a system. Interaction conflicts between processes are identified and resolved in a systematic way.
  • 2
    Processes are the liver in periodic table results.
  • 3
    Process performance has reached that of average organizations in the sector where the organization operates.

Level 4

  • 1
    Process management is integrated with the deployment of the organization's policies, strategy and objectives.
  • 2
    The effectiveness and efficiency of processes and their interactions are systematically reviewed and improved.
  • 3
    Process performance has exceeded that of average organizations in the sector where the organization operates.

Level 5

  • 1
    All relevant processes and their interactions are pro - actively managed, including outsourced processes, to ensure that they are effective and efficient, in order to achieve the organization's policies, strategy and objectives.
  • 2
    Processes and their interactions are adapted and optimized to the context of the organization.
  • 3
    Process performance has reached that of leading organizations in the sector where the organization operates.

Determination of processes

Level 1

  • 1
    Processes are determined in an informal or ad hoc manner.

Level 2

  • 1
    Key processes, such as those relating to customer satisfaction and operations related to product and service, are determined.
  • 2
    Interactions between processes are not well determined.

Level 3

  • 1
    Processes and their interactions are determined to address not only operations related to product and service, but also provision of resources and manager ia l activities (e.g. planning, measuring, analysis, improvement).
  • 2
    The needs and expectations of identified interested parties are used as inputs into process determination.

Level 4

  • 1
    Processes and their interactions are systematically determined to ensure that their outputs continue to meet the needs and expectations of customers and other interested parties.
  • 2
    All interested parties are considered in process determination.

Level 5

  • 1
    Processes and their interactions are determined and changed flexibly according to the organization's policies, strategy and objectives.

Process responsibility and authority

Level 1

  • 1
    Process responsibilities are defined in an informal or ad hoc manner.

Level 2

  • 1
    A process owner is appointed for each process.
  • 2
    The competencies required for the people associated with the individual processes are not defined.

Level 3

  • 1
    For each process, a process owner is appointed, who has defined responsibilities and authorities to establish, maintain, control and improve the process.
  • 2
    A policy to avoid and resolve potential l d disputes in managing processes exists.
  • 3
    The competencies required for process owners are defined.

Level 4

  • 1
    A process owner is appointed for each process, with sufficient responsibility, authority and competence to establish, maintain, control and improve the process and its interaction with other processes.
  • 2
    The competencies required for the people associated with individual processes are well defined and continually improved.

Level 5

  • 1
    Responsibilities, authorities and roles of process owners are recognized throughout the organization.
  • 2
    Responsibilities and authorities for interactions between processes are well defined.
  • 3
    The people associated with individual processes have sufficient competences for the tasks and activities involved.

Managing processes (managing alignment/ linkage between the processes)

Level 1

  • 1
    Processes are aligned and linked in an informal or ad hoc manner.

Level 2

  • 1
    Alignment/ linkage between processes is discussed but major concerns of managers are on individual processes.

Level 3

  • 1
    The network of processes, their sequence and interactions are visualized in a graphic to understand the roles of each process in the system and its effects on the performance of the system.
  • 2
    Processes and their interactions are managed as a system to enhance alignment/ linkage between the processes.

Level 4

  • 1
    Criteria for the outputs of processes are determined. The capability and performance of processes are evaluated and improved.
  • 2
    The risks and opportunities associated with processes are assessed and necessary actions are implemented to prevent, detect or mitigate undesired events.
  • 3
    Processes and their interactions are reviewed on a regular basis and suitable actions are taken for their improvement to support sustained and effective processes.

Level 5

  • 1
    The capability and performance of processes are sufficient to effectively and efficiently achieve the performance expected by the system.
  • 2
    Cross - functional teams or committees under top management's leadership facilitate their review and improvement of the processes.

Managing processes (attaining a higher level of performance)

Level 1

  • 1
    Processes and their interactions are improved in an informal or ad hoc manner.

Level 2

  • 1
    Improvement of processes and their interactions are loosely related with the organization's policies, strategy and objectives.

Level 3

  • 1
    Processes and their interactions are improved based on the organization's policies, strategy and objectives.
  • 2
    The achievement of the objectives for improvement of processes and their interactions are reviewed on a regular basis.

Level 4

  • 1
    Processes and their interactions are systematically improved to achieve the organization's policies, strategy and objectives.
  • 2
    The action plans for attaining the objectives are determined, taking into account the resources needed and their availability.
  • 3
    People are motivated to engage in the improvement activities and propose opportunities for improvement in the processes for which they are in charge.

Level 5

  • 1
    Improvement of processes and their interaction are dynamically managed through the organization's policies, strategy and objectives.
  • 2
    The need to develop or acquire new technologies, or develop new products and services or their features, for added value, are considered.
  • 3
    The achievement of the objectives for improvement, the progress of the action plans, and the effects on the related organization's policies, strategy and objectives are reviewed on a regular basis, and necessary corrective actions are taken.

Managing processes (maintaining the level attained)

Level 1

  • 1
    Processes and their interactions are operated in an informal or ad hoc manner.

Level 2

  • 1
    Procedures are determined for relevant processes but not well followed.
  • 2
    Deviations are no concern of process owners.

Level 3

  • 1
    Procedures are determined for each process, including the criteria for its outputs and operational conditions.
  • 2
    Consideration is given to education and training.
  • 3
    Managers take necessary corrective actions when the procedures are not followed.
  • 4
    Resources necessary for people to follow the procedures are made available.
  • 5
    Processes are monitored on a regular basis to detect deviations.

Level 4

  • 1
    Procedures ensure conformance of the outputs to the criteria.
  • 2
    People have sufficient knowledge and skills to follow the procedures and understand the impacts of not following the procedures.
  • 3
    Consideration is given to motivation and human error prevention.
  • 4
    Check points and related performance indicators are the term used to detect deviations (which are mainly caused by changes in people, equipment, methods, material, measurement and environment for operation of processes) and to take appropriate actions when necessary.

Level 5

  • 1
    A system for determining the knowledge and skills needed for each process, evaluating the knowledge and skills of the process operators, and providing qualifications for operating the process is established.
  • 2
    People are engaged in the development or revision of the procedures.
  • 3
    Risks and opportunities in the procedures are identified, assessed and reduced by improving the procedures.
  • 4
    Changes in processes are clarified and shared to prevent deviations.

Resource management — General

Level 1

  • 1
    Processes to manage the resources to support the operation in an organization are performed in an informal and ad hoc manner.
  • 2
    Some of the resource management processes to support the achievement of objectives are determined.

Level 2

  • 1
    Support for the effective and efficient use of resources is defined in a limited manner.
  • 2
    A basic approach for considering risks and opportunities, including the effects of not having sufficient resources in a timely manner, is in place.
  • 3
    Key processes to determine and manage the resources needed for the achievement of its objectives are determined.
  • 4
    The efficient and effective uses of resources are not well defined.
  • 5
    Resource management processes and the interactions for getting and assigning resources, aligned with the organizational objectives, are present.

Level 3

  • 1
    Some processes include an approach for effectively and efficiently applying resources.
  • 2
    Resource management processes and the interactions for getting and assigning resources, aligned with the organizational objectives, are systematically implemented.

Level 4

  • 1
    Controls to support the effective and efficient use of resources in all processes are established.
  • 2
    The accessibility of externally provided resources is confirmed by the organization.
  • 3
    External providers are encouraged by the organization to implement improvements on the efficient and effective use of resources.
  • 4
    A strategic planning process for getting and assigning resources is in place and is aligned with the organizational objectives in order to achieve effective and efficient performance in support of the sustained success.

Level 5

  • 1
    The use of externally provided resources shows continual improvement.
  • 2
    There are joint initiatives with external providers to evaluate and incorporate improvements and promote innovations on the use of resources.

People

Level 1

  • 1
    Competent, engaged, empowered and motivated people are considered to be a resource in an informal or ad hoc manner.
  • 2
    Competence development is provided in an informal or ad hoc manner.

Level 2

  • 1
    Processes to attract competent, engaged, empowered and motivated people are implemented.
  • 2
    Processes for determining, developing, evaluating and improving resources are evident in some cases.
  • 3
    Some competence reviews have been implemented.

Level 3

  • 1
    A planned, transparent, ethical and socially responsible approach is applied at all levels throughout the organization.
  • 2
    Reviews and evaluations of the effectiveness of actions taken ensure the personal competences (in both the short and long term) are in accordance with the mission, vision and objectives.

Level 4

  • 1
    Information, knowledge and experience are shared to provide personal growth.
  • 2
    Learning, knowledge transfer and teamwork within the organization are evident.
  • 3
    Competence development is provided to develop skills for creativity and improvement.
  • 4
    People are aware of their personal competences and where they can best contribute to the organization's improvement.
  • 5
    Career planning is well developed.

Level 5

  • 1
    The results achieved for competent, engaged, empowered and motivated people are shared and compare well with other organizations.
  • 2
    People across the organization participate in the development of new processes.
  • 3
    Best practices are recognized.

Organizational knowledge

Level 1

  • 1
    Processes to capture the current base line of organizational knowledge are informal or ad hoc.
  • 2
    Processes to develop organizational knowledge are informal or ad hoc.

Level 2

  • 1
    Some processes for maintaining and protecting documented organizational knowledge are in place.

Level 3

  • 1
    Activities to determine whether explicit or tacit knowledge exists are in place and some are documented.
  • 2
    Processes for identifying important information and ensuring the effective distribution of such information throughout the life cycle(s) of relevant products and/or services exist.

Level 4

  • 1
    Processes exist for gathering and analysing competitive data.
  • 2
    Processes to evaluate staff understanding of relevant organizational knowledge are present.
  • 3
    Methods for process owners to evaluate the competencies of utilizing processes exist.
  • 4
    Methods for determining and communicating the roles of process owners in managing staff are present.

Level 5

  • 1
    There are processes for gathering and analyzing data from interested parties.

Technology

Level 1

  • 1
    Advances in current technology are done in an informal or ad hoc manner.

Level 2

  • 1
    Some of the processes for identifying the latest innovations and technological developments exists within the organization or the sectors to which it directly or indirectly related.

Level 3

  • 1
    Processes for evaluating the benefits, risks and opportunities for the identified innovations and emerging technologies are in place and support the suitability of product and/or service strategies.
  • 2
    Processes for estimating the cost/benefits for adopting suitable innovations and/or emergent technologies are in place.
  • 3
    Processes for evaluating the marketability of selected innovations and/or emerging technologies are in place.

Level 4

  • 1
    The organizational knowledge and resource capability needed to adapt to the innovations and/or technological changes or advancements are in place.
  • 2
    Processes for evaluating the risks and opportunities for adopting the selected innovations and/or technological changes or advancements are in place.

Level 5

  • 1
    Processes for considering the needs of interested parties and offering a suite of innovations as solutions to meet customer expectations are in place.
  • 2
    The organization takes measures to keep informed of new technologies and methodologies and their possible benefits.
  • 3
    The impact of new technologies and new practices is monitored and evaluated regularly, taking into account internal and external effects, including interested parties and the environment.

Infrastructure and work environment

Level 1

  • 1
    Infrastructure and work environment needs are addressed in an informal or ad hoc manner.

Level 2

  • 1
    Some processes for addressing infrastructure and work environment needs are in place.

Level 3

  • 1
    Processes that address applicable risks and opportunities and that implement activities for the determination, allocation, provision, measurement or monitoring, improvement, maintenance and protection of the infrastructure and work environment are in place.

Level 4

  • 1
    Processes implementing advanced techniques to improve performance and ensure the maximum efficiency in the use of infrastructure and work environment resources are in place.
  • 2
    These processes operate in a proactive manner and contribute to the achievement of the organization's objectives, including the full filament of statutory and regulatory requirements.

Level 5

  • 1
    The way in which infrastructure and the work environment are managed becomes a key contributor in the achievement of desired results.

Externally provided resources

Level 1

  • 1
    The concept of partnership with external providers is informal or ad hoc.
  • 2
    External providers are seen as transient and the organization sees no value in developing relationships.

Level 2

  • 1
    There is a limited understanding regarding the value in having regular external providers that will deliver a consistent supply.

Level 3

  • 1
    There is a good working relationship between the two organizations, with regular communications about issues relating to the product or service provided taking place.

Level 4

  • 1
    Top management is committed to developing a close relationship with external providers, with action to develop this at the level of middle management, where close co -operation is carried out.
  • 2
    Some project coordination is carried out as it relates to specific product realization processes.

Level 5

  • 1
    Both organizations fully appreciate the value of the relationship.
  • 2
    There is close interaction between top management staff in the two organizations.
  • 3
    There is sharing of some relevant sensitive commercial information.
  • 4
    Both organizations engage in business development projects of common interest.

Natural resources

Level 1

  • 1
    There is no managing of natural resources.
  • 2
    The organization uses natural resources as required by their processes without considering the potential impacts on their products and services in the future.

Level 2

  • 1
    The organization implements some good practices in its current application and use of natural resources.

Level 3

  • 1
    The managing of natural resources is aligned with in the organization's management system strategy. There is some evidence of improving the actual use of, and minimization of the potential impact of the use of, natural resources.

Level 4

  • 1
    The organization recognizes its responsibility to society for managing natural resources.
  • 2
    The organization has implemented some best practices in its current application of natural resources.

Level 5

  • 1
    The organization recognizes its responsibility to society for managing natural resources related to the life cycle of products and services.
  • 2
    The managing of natural resources is widespread in all the areas of the organization.
  • 3
    The organization addresses both current and future use of natural resources required by its processes.
  • 4
    The organization is aware of new trends and technologies for the efficient use of natural resources, and in relation to the needs and expectations of interested parties.

Analysis and evaluation of an organization's performance — General

Level 1

  • 1
    The necessity for updating and understanding the organization's context, policies, strategy and objectives is determined in an informal or ad hoc manner.

Level 2

  • 1
    Some information on the organization's performance, the status of its internal activities and resources, changes in its external and internal issues, and the needs and expectations of the interested parties is collected and analysed to update and understand the organization's context, policies, strategy and objectives.

Level 3

  • 1
    Available information is collected to update and understand the organization's context, policies, strategy and objectives in a planned manner.

Level 4

  • 1
    Based on comprehensive analysis and reviews of available information, the necessity for updating and understanding of the organization's context, policies, strategy and objectives is determined.

Level 5

  • 1
    A systematic approach is established to collect, analyse and review available information and to determine the necessity for updating and understanding of the organization’s context, policies, strategy and objectives, and to identify opportunities for improvement, learning and innovation of the organization's leadership activities.

Performance indicators

Level 1

  • 1
    Only basic performance indicators (e.g. financial criteria, on-time deliveries, number of customer complaints, legal warnings, fines) are used.
  • 2
    Data are not always reliable.

Level 2

  • 1
    There is a limited set of performance indicators related to the organization's policies, strategy and objectives, and ma in processes.
  • 2
    Performance indicators are mostly based on the use of internal data.
  • 3
    Decisions are partially supported by measurable key performance indicators (KPIs).

Level 3

  • 1
    Progress in achieving planned results against the policies, strategy and objectives in relevant processes and functions is identified and tracked by practical performance indicators.
  • 2
    The needs and expectations of customers and other interested parties are taken into account when selecting measurable KPIs.
  • 3
    Decisions are adequately supported by reliable, usable and measurable KPIs.

Level 4

  • 1
    Measurable KPIs are systematically selected to monitor progress in achieving planned results against the mission, vision, policies, strategy and objectives, at all levels and in all relevant processes and functions in the organization, to gather and provide the information necessary for performance evaluations and effective decision making.
  • 2
    Measurable KPIs provide information that is accurate, reliable and usable, in order to implement action plans when performance does not conform to objectives, or to improve and innovate process efficiency and effectiveness.

Level 5

  • 1
    A process has been established to monitor progress in achieving planned results and make decisions using measurable KPIs.
  • 2
    Measurable KPIs contribute to good strategic and tactical decisions.
  • 3
    Information relating to risks and opportunities is considered when selecting measurable KPIs.

Performance analysis

Level 1

  • 1
    The organization's performance is analysed in an informal or ad hoc manner.

Level 2

  • 1
    There is limited analysis of the organization's performance.
  • 2
    Some basic statistical tools are used.

Level 3

  • 1
    The organization's performance is analysed to identify issues and potential opportunities.
  • 2
    A systematic analysis process is supported by the wide use of statistical tools.

Level 4

The organization's performance is analysed:

  • 1
    — to identify insufficient resources; — to identify insufficient or ineffective competences, organizational knowledge and inappropriate behaviour;
  • 2
    — to determine the new organizational knowledge needed;
  • 3
    — to identify processes and activities showing outstanding performance that could be used as a model to improve other processes.
  • 4
    The effectiveness of the analysis process is enhanced by the sharing of the analysis results with interested parties.

Level 5

The organization's performance is comprehensively analysed to identify potential strengths to be fostered with regard to the organization's leadership activities, as well as weakness in the organization's leadership roles and activities, including:

  • 1
    — policy establishment and communication;
  • 2
    — management of processes;
  • 3
    — management of resources;
  • 4
    — improvement, learning and innovation.
  • 5
    For the analysis, a clear framework to demonstrate the interrelations between its leadership roles, activities and their effects on the organization's performance is used.

Performance evaluation

Level 1

  • 1
    The organization's performance is evaluated in an informal or ad hoc manner.

Level 2

  • 1
    There is limited evaluation of the organization's performance.
  • 2
    Top management supports the identification and promulgation of best practices.
  • 3
    Some products from key competitors are evaluated and compared.

Level 3

  • 1
    The results achieved on the organization's performance are evaluated against the applicable objectives.
  • 2
    The organization's performance is evaluated from the viewpoint of the needs and expectations of customers.
  • 3
    The organization's performance is evaluated using comparisons to established or agreed benchmarks.

Level 4

  • 1
    Where the objectives have not been attained, the causes are investigated with appropriate review of the deployment of the organization's policies, strategy and objectives and the organization's managing of resources.
  • 2
    The results of evaluation are understood comprehensively, and resolution of any identified gaps is prioritized based on their impacts on the organization's policies, strategy and objectives.
  • 3
    Improvement achieved on the organization's performance is evaluated from a long-term perspective.
  • 4
    The organization's performance is evaluated from the viewpoint of the needs and expectations of all interested parties.

Level 5

  • 1
    Benchmarking is used systematically as a tool for identifying opportunities for improvement, learning and innovation.
  • 2
    The organization is frequently solicited by external entities to be a benchmark partner.

Internal audit

Level 1

  • 1
    Internal audits are actively performed in response to problems, customer complaints, etc.
  • 2
    Collected data are mostly used to resolve problems with products and services.

Level 2

  • 1
    Internal audits for key processes are performed on a regular basis.
  • 2
    Collected data are used systematically to review the managing of processes.
  • 3
    Collected data are beginning to be used in a preventive way.

Level 3

  • 1
    Internal audits are performed in a consistent manner, by competent personnel who are not involved in the activity being examined, in accordance with an audit plan.
  • 2
    Internal auditing identifies problems, nonconformities and risks, as well as monitoring progress in closing previously identified problems, nonconformities and risks.

Level 4

  • 1
    Problems, nonconformities and risks identified are analysed comprehensively to determine weaknesses in the management system.
  • 2
    Internal auditing focuses on the identification of good practices (which can be considered for use in other areas of the organization) as well as on improvement opportunities.

Level 5

  • 1
    A process is established for the review of all internal audit reports to identify trends that can require organization-wide corrective actions or opportunities for improvement.
  • 2
    The organization involves other interested parties in its audits, in order to help identify additional opportunities for improvement.

Self-Assessment

Level 1

  • 1
    Self-assessment is not implemented.

Level 2

  • 1
    Self-assessment is limited, informal or ad hoc.

Level 3

  • 1
    Self-assessment is conducted in a consistent manner and the results are used to determine the organization's maturity and to improve its overall performance.

Level 4

  • 1
    Self-assessment is used to determine the strengths and weaknesses of the organization, as well as its best practices, both at an overall level and at the level of individual processes.
  • 2
    Self-assessment assists the organization to prioritize, plan and implement improvements and/or innovations.

Level 5

  • 1
    Self-assessment is performed by the organization at all levels.
  • 2
    The elements of a management system are understood comprehensively, based on the relations between the elements and their impacts on the organization's mission, vision, values and culture.
  • 3
    The results of self-assessment are communicated to relevant people in the organization and used to share understanding about the organization and its future direction.

Review

Level 1

  • 1
    There is an ad hoc approach to reviews.
  • 2
    When a review is performed, it is often reactive.

Level 2

  • 1
    Reviews are conducted to assess progress in the achievement of policies, strategy and objectives, and to assess the performance of the management system.
  • 2
    Relevant projects and improvement actions are assessed during reviews, in order to evaluate progress against their plans and objectives.

Level 3

  • 1
    Systematic reviews of measurable KPIs and related objectives are undertaken at planned and periodic intervals, to enable trends to be determined, as well as to evaluate the organization's progress towards achieving its policies, strategy and objectives.
  • 2
    Where adverse trends are identified, they are acted upon.
  • 3
    Reviews enable evidence -based decision making.

Level 4

  • 1
    The information, resulting from performance measurement, benchmarking, analysis and evaluations, internal audits and self-assessments, is comprehensively reviewed to identify opportunities for improvement, learning and innovation, as well as for identifying any need to adapt the organization's policies, strategy and objectives.
  • 2
    The outputs from the reviews are shared with interested parties, as a way of facilitating collaboration and learning.

Level 5

  • 1
    Systematic reviews are used to identify opportunities for improvement, learning and innovation of the organization's leadership activities.

Improvement, learning and innovation — General

Level 1

  • 1
    Improvement activities are done in an informal or ad hoc manner.

Level 2

  • 1
    Basic improvement processes, including corrections and corrective actions are in place, based on complaints from interested parties.

Level 3

  • 1
    Improvement, learning and innovation efforts can be demonstrated in most products and some key processes.

Level 4

  • 1
    Processes are implemented for the ongoing monitoring of external and internal issues that could lead to improvement, learning and innovation, which are aligned with strategic goals.

Level 5

  • 1
    Improvement, learning and innovation are embedded as routine activities across the whole organization and are evident in relationships with interested parties.

Improvement

Level 1

  • 1
    Improvement activities are done in an informal or ad hoc manner.
  • 2
    Necessary resources to achieve improvement are provided.

Level 2

  • 1
    Objectives for the improvement of products or services and processes are provided.
  • 2
    A structured approach is applied consistently.

Level 3

  • 1
    The focus of improvement processes is aligned with the strategy and objectives, and top management is visibly involved in improvement activities.
  • 2
    Schemes are in place to empower teams and individuals to generate strategically relevant improvements.
  • 3
    Continual improvement processes include relevant interested parties.

Level 4

  • 1
    Improvements and innovation result in learning and further improvements.

Level 5

  • 1
    The focus of performance improvement is the sustained ability to learn, change and achieve long-term success.

Learning

Level 1

  • 1
    Some lessons are learned as a result of complaints.
  • 2
    Learning is on an individual basis, without the sharing of knowledge.

Level 2

  • 1
    Learning is generated in a reactive way from the systematic analysis of problems and other information.
  • 2
    Processes exist for the sharing of information and knowledge, but still in a reactive manner.

Level 3

  • 1
    Top management supports initiatives for learning and leads by example.
  • 2
    There are planned activities, events and forums for sharing information.
  • 3
    Processes are implemented to determine knowledge gaps and to provide the necessary resources for learning to occur.
  • 4
    Systems are in place for recognizing positive results from suggestions and lessons learned.

Level 4

  • 1
    Learning is addressed in the strategy and policies.
  • 2
    Learning is recognized as a key issue.
  • 3
    Networking, connectivity and interactivity are stimulated by top management to share knowledge.

Level 5

  • 1
    The organization's learning ability integrates personal competence and the organization's overall competence.
  • 2
    Learning is fundamental to the improvement and innovation processes.
  • 3
    The organization's culture permits the taking of risks and learning from the mistakes.
  • 4
    There are external engagements for the purpose of learning.

Innovation

Level 1

  • 1
    There is limited innovation.
  • 2
    New products and services are introduced with no planning of the innovation process.

Level 2

  • 1
    Innovation activities are based on data relating to the needs and expectations of interested parties.

Level 3

  • 1
    The innovation processes for new products and services are able to identify changes in external and internal issues, in order to plan innovations.
  • 2
    Risks associated with planned innovations are considered.
  • 3
    The organization supports the innovation initiatives with the resources needed.

Level 4

  • 1
    Innovations are prioritized, with balanced consideration of urgency, availability of resources and the organization's strategy.
  • 2
    External providers and partners are involved in innovation processes.
  • 3
    The effectiveness and efficiency of innovation processes are assessed regularly as a part of the learning process.
  • 4
    Innovation is used to improve the way the organization operates.

Level 5

  • 1
    Innovation activities anticipate possible changes in the context of the organization.
  • 2
    Preventive plans are developed to avoid or minimize the identified risks that accompany the innovation activities.
  • 3
    Innovation is applied at all levels, through changes in technology, processes, organization, the management system and the organization's business model.

Self-Audit Results and Overview:

Overview

An approvals task has been assigned to this section. The relevant personnel, can look through the Self-Audit overview, and reject, reject with comments or approve as required.

The approval task is a stop task meaning you cannot progress in this template until this task is complete.

Audit completed by:

{{form.Name_of_auditor}} - {{form.Auditor_email_address}}

Commencing: {{form.Date_the_audit_starts}}

Results

Relevant interested parties: {{form.Outcome_-_Relevant_interested_parties}}

  • {{form.Notes_&_comments_-_Relevant_interested_parties}}

External and internal issues: {{form.Outcome_-_External_and_internal_issues}}

  • {{form.Notes_&_comments_-_External_and_internal_issues}}

Mission, vision, values and culture: {{form.Outcome_-_Mission,_vision,_values_and_culture}}

  • {{form.Notes_&_comments_-_Mission,_vision,_values_and_culture}}

Leadership — General: {{form.Outcome_-_Leadership_—_General}}

  • {{form.Notes_&_comments_-_Leadership_—_General}}

Policy and strategy: {{form.Outcome_-_Policy_and_strategy}}

  • {{form.Notes_&_comments_-_Policy_and_strategy}}

Objectives: {{form.Outcome_-_Objectives}}

  • {{form.Notes_&_comments_-_Objectives}}

Communication: {{form.Outcome_-_Communication}}

  • {{form.Notes_&_comments_-_Communication}}

Process management — General: {{form.Outcome_-_Process_management_—_General}}

  • {{form.Notes_&_comments_-_Process_management_—_General}}

Determination of processes: {{form.Outcome_-_Determination_of_processes}}

  • {{form.Notes_&_comments_-_Determination_of_processes}}

Process responsibility and authority: {{form.Outcome_-_Process_responsibility_and_authority}}

  • {{form.Notes_&_comments_-_Process_responsibility_and_authority}}

Managing processes (managing alignment/ linkage between the processes): {{form.Outcome_-_Managing_processes_(managing_alignment/_linkage_between_the_processes)}}

  • {{form.Notes_&_comments_-_Managing_processes_(managing_alignment/_linkage_between_the_processes)}}

Managing processes (attaining a higher level of performance): {{form.Outcome_-_Managing_processes_(attaining_a_higher_level_of_performance)}}

  • {{form.Notes_&_comments_-_Managing_processes_(attaining_a_higher_level_of_performance)}}

Managing processes (maintaining the level attained): {{form.Outcome_-_Managing_processes_(maintaining_the_level_attained)}}

  • {{form.Notes_&_comments_-_Managing_processes_(maintaining_the_level_attained)}}

Resource management — General: {{form.Outcome_-_Resource_management_—_General}}

  • {{form.Notes_&_comments_-_Resource_management_—_General}}

People: {{form.Outcome_-_People}}

  • {{form.Notes_&_comments_-_People}}

Organizational knowledge: {{form.Outcome_-_Organizational_knowledge}}

  • {{form.Notes_&_comments_-_Organizational_knowledge}}

Technology: {{form.Outcome_-_Technology}}

  • {{form.Notes_&_comments_-_Technology}}

Infrastructure and work environment: {{form.Outcome_-_Infrastructure_and_work_environment}}

  • {{form.Notes_&_comments_-_Infrastructure_and_work_environment}}

Externally provided resources: {{form.Outcome_-_Externally_provided_resources}}

  • {{form.Notes_&_comments_-_Externally_provided_resources}}

Natural resources: {{form.Outcome_-_Natural_resources}}

  • {{form.Notes_&_comments_-_Natural_resources}}

Analysis and evaluation of an organization's performance — General: {{form.Outcome_-_Analysis_and_evaluation_of_an_organization's_performance_—_General}}

  • {{form.Notes_&_comments_-_Analysis_and_evaluation_of_an_organization's_performance_—_General}}

Performance indicators: {{form.Outcome_-_Performance_indicators}}

  • {{form.Notes_&_comments_-_Performance_indicators}}

Performance analysis: {{form.Outcome_-_Performance_analysis}}

  • {{form.Notes_&_comments_-_Performance_analysis}}

Performance evaluation: {{form.Outcome_-_Performance_evaluation}}

  • {{form.Notes_&_comments_-_Performance_evaluation}}

Internal audit: {{form.Outcome_-_Internal_audit}}

  • {{form.Notes_&_comments_-_Internal_audit}}

Self-Assessment: {{form.Outcome_-_Self-Assessment}}

  • {{form.Notes_&_comments_-_Self-Assessment}}

Review: {{form.Outcome_-_Review}}

  • {{form.Notes_&_comments_-_Review}}

Improvement, learning and innovation — General: {{form.Outcome_-_Improvement,_learning_and_innovation_—_General}}

  • {{form.Notes_&_comments_-_Improvement,_learning_and_innovation_—_General}}

Improvement: {{form.Outcome_-_Improvement}}

  • {{form.Notes_&_comments_-_Improvement}}

Learning: {{form.Outcome_-_Learning}}

  • {{form.Notes_&_comments_-_Learning}}

Innovation: {{form.Outcome_-_Innovation}}

  • {{form.Notes_&_comments_-_Innovation}}

Results

An approvals task has been assigned to this section. The relevant personnel, can look through the Self-Audit results, and reject, reject with comments or approve as required.

The approval task is a stop task meaning you cannot progress in this template until this task is complete.

Approval:

Will be submitted for approval:
  • Overview
    Will be submitted
  • Results
    Will be submitted

Action items

Use this section to summarize recommendations for improvement of the organization's operations based on the understanding of the maturity levels across different areas of the organization.

Use the file upload or website link form field below to attach or link to a more comprehensive set of recommendations, if applicable. 

Sources:

Disclaimer:

  1. Process Street is not affiliated or in partnership with the International Organization for Standardization (ISO). The materials on Process Street’s website are provided on an as-is basis and are for educational purposes. Process Street makes no warranties, expressed or implied, and hereby disclaims and negates all other warranties including, without limitation, implied warranties or conditions of merchantability, fitness for a particular purpose, or non-infringement of intellectual property or other violation of rights.

  2. Further, Process Street does not warrant or make any representations concerning the accuracy, likely results, or reliability of the use of the materials on its website or otherwise relating to such materials or on any sites linked to this site.

Sign up for a FREE account and
search thousands of checklists in our library.

Sign up for a FREE account and search thousands of checklists in our library.