Plant Maintenance: Risk and Control Matrix (Excel)
22 controls (17 key) for 9 objectives and 13 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 maintenance of plant, machinery, utilities and buildings: maintenance policy and authority, the equipment register and history, preventive and predictive maintenance planning, breakdown handling and work orders, engineering spares (critical spares lists, equipment-wise spares, return of idle spares), items sent outside for repair, outsourced maintenance and annual maintenance contracts, statutory inspections of equipment, safe working during maintenance, maintenance cost and performance monitoring, and the accounting treatment of major repairs. 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: 9 objectives, 13 risks and 22 controls (17 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)
- 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)
More risk control matrix
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