Audit Notes using Turtle Diagram
Updated on February 5, 2025

Introduction to the Turtle Diagram for Internal Auditing

The Turtle Diagram is a structured method used in process auditing to visualize and analyze key elements of a process. It helps auditors assess the effectiveness of process execution by examining inputs, outputs, resources, methods, controls, and interactions within the process. While not mandatory, applying the Turtle Diagram in internal audits provides a systematic way to ensure comprehensive scope coverage, align audit activities with objectives, and identify potential areas for improvement. This approach enhances consistency, clarity, and effectiveness in evaluating process performance during internal audits.

Below is the example of Turtle Diagram audit Outcome

Auditor NameAssigned AuditorExample: Daman Huri Mohammad
StandardThe standard that the company subscribedExample: ISO 14001
Audit MethodThe method used to conclude the audit findings either Document Review, Onsite Observation, Interviews with Personnel or any combination of methodsExample: Onsite Observation & Document Review
DepartmentThe area of auditing to be evaluated to meet the objectivesExample: Maintenance Department
Process NameThe process being evaluated as defined in the Process Interaction or is determined as per Clause 4.4.1 of the ISO 9001 standard.Example: Scheduled Waste Management
Standard Clause NumberReferring to clause number of subscribed standardsExample: Clause 6.1.3, 8.1, 7.2 of ISO 14001:2015
Audit CriteriaOutlines the SPECIFIC policies, procedures, or requirements used as a reference in the audit.  Example: Scheduled Waste Management Procedure, EQA 2012 Amendment, Scheduled Waste Regulation 2005
Process InputReference points or acknowledged elements related to the audited process, including materials, equipment, machines, workforce competency, awareness, and skill levels necessary for process execution, as specified in the Audit Criteria.Example: Scheduled Waste operation shall be executed as defined in internal Scheduled Waste Management Procedure, EQA 2012 Amendment, Scheduled Waste Regulation 2005
Process OutputElements related to the intended outcome, such as the final product, service, or process compliance with quality and regulatory requirements.Example: Demonstrates compliance to Scheduled Waste Management Procedure, EQA 2012 Amendment, Scheduled Waste Regulation 2005
What?Specific tasks, procedures, or operations observed during the audit process, aligning them with the relevant audit criteria.Example: Transfering SW, transportation of SW, maintenance of record keeping. Sample: Consignment No: 1049, 4535 and 1234
Who?Who are personnel responsible for the process, including their competency, training, and awareness, in relation to the audit criteria.Example: SW Competent Person (Yap Ah Loy)
Method & MeasureThe assessment of process performance against Standard Operating Procedures (SOPs), work instructions, and Key Performance Indicators (KPIs) used for monitoring and control.Example: 100% to comply SW Regulation, 100% accuracy of inventory and transaction
EffectivenessState of the effectiveness of process execution, focusing on the monitoring mechanisms used to assess whether the process meets its intended goals.Example: The records are maintained. PIC able to answer all questions and competency certificate (CEPSWaM) is valid
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