Manufacturing Plant Operations: Risk and Control Matrix (Excel)
137 controls (80 key) for 17 objectives and 32 risks, each with walkthrough questions, evidence to ask for and test steps.
Risk Control Matrix · editable Excel · 3 sheets · ₹149 / $1.49 · lifetime access, up to 5 downloads
This matrix covers the operations of a manufacturing plant end to end: production planning and work in progress, issue and consumption of raw and packing materials (including bulk tanker items), process control, yields and batch closure, quality control and complaint analysis, finished goods storage and dispatch, engineering maintenance and utilities, local purchasing, GST on inputs and outputs, raw material and engineering stores, scrap, workers and contract labour, statutory compliance, gate controls, plant cash and bank, administrative services, and IT security at the plant. For every control you see what good looks like, whether it is preventive or detective, manual or automated, how often it runs and whether it is a key control, plus the walkthrough questions, evidence to request and steps to test it. Record what you find, the control owner and any gap in the same sheet: the Summary sheet counts effective, partly effective and ineffective controls by objective as you go. Written so that an auditor new to the process can use it, and detailed enough for experienced reviewers. Editable Excel.
What's inside
- Read Me: how the matrix is laid out and how to use it in an audit
- Risk-Control Matrix: 17 objectives, 32 risks and 137 controls (80 key)
- Each control: type, nature, frequency, key or supporting, and how to evaluate it
- Columns for your response, evidence seen, control owner and gap / action
- Summary sheet: results by objective, updated automatically
Topics: Production
Learn it on video
- Case Study: Writing a Client Understanding Document for a Fibre Manufacturer (7 min)
- Physical vs Logical and Independent vs Compensating Controls: Know the Difference (9 min)
- How to Link Risks to Controls: The Risk and Control Matrix (RCM) (12 min)
- How to Describe Controls in the RCM: Method, Type, Frequency and Test Procedure (8 min)
- How to Test Controls (2): Test of Operating Effectiveness (7 min)
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