Process Audit Checklist Example - Feedback Please

H

Hodgepodge

#1
I have been thinking about combining process auditing and checklists. I do see how it would be easy to lose sight of the goal and let a checklist mentality keep one from understanding if a process was being performed correctly and effectively. However, I think if a checklist were created correctly, it would be beneficial, kind of like a hyper-specific PEAR.

Attached is a sample checklist. I am using the Temper Etch Inspection process as my example. The idea is to have the auditor be knowledgeable (or an expert) in the subject process. Then use the checklist to make sure each key step in the process is performed correctly by witnessing the inspector complete the process, asking questions along the way as necessary to ensure the auditor has an understanding of what the inspector is doing and why.

Could you please take a look at my example checklist and provide feedback? You don't have to be an expert in temper etch inspection to give feedback on the checklist. I'm looking for feedback on the idea.
 

Attachments

Elsmar Forum Sponsor
#2
A quick look and I don't see anything about a process, really! I see a lot of documentation being reviewed available and so forth, but I can't identify the key activities of a process...what's the input? Is it checked to make sure it's correct, what's the process of etching? Steps? What's the output? How is it verified and so on. The other things are (possibly) important as support to the process but they appear to swamp the checklist and hide the actual process...

But then, I've just driven 12 hours, so my head's about to explode...
 

Jen Kirley

Quality and Auditing Expert
Staff member
Admin
#3
It looks like a useful checklist, but when I do my process audits I am careful to include things like
  • numbers of whatever calibrated instruments are used, including gauges, thermometers/thermocouples for ovens,
  • a means to verify the equipment setup matched the process design (as the job router or similar document for that run would show),
  • evidence of lot number traceability,
  • control of nonconforming product (does AS9100 require segregation or marking of nonconforming product before it goes into rework or disposition?),
  • the suppliers of whatever chemicals/materials going into the process have been approved,
  • cleanliness controls, if any are maintained beyond the physical cleaning of the part. (Isopropyl alcohol vs. mineral spirits, etc
I hope this was useful.
 
S

ssz102

#4
i check it quickly, the most contents for this checklist are describle the documents available and the inspector's qualify
i think the process audit is more attention process produce and running, this is lack in this checklist to you, such as equipment parameter setting and changing, people and material and operation method managing and so on
 

harry

Super Moderator
#5
The problem, I think, is that you had the process flow etched behind your mind and those points listed are what you intend to check at the critical points/areas. However, for those that have no idea of your process flow, it looks like just some random disconnected items to check.
 
H

Hodgepodge

#6
A quick look and I don't see anything about a process, really! I see a lot of documentation being reviewed available and so forth, but I can't identify the key activities of a process...what's the input? Is it checked to make sure it's correct, what's the process of etching? Steps? What's the output? How is it verified and so on. The other things are (possibly) important as support to the process but they appear to swamp the checklist and hide the actual process...

But then, I've just driven 12 hours, so my head's about to explode...
Andy,

With the temper etch process, the output is verification that over tempering of the parts surface has or has not occurred due to abusive machining. If it has occurred, this process will detect it. The output is the detection, or lack thereof, of burn marks. For it to be useful, the machine operator should be immediately notified of the inspection results good or bad.

How do you make sure you are doing it correctly? It is a special process. The way to make sure it was done correctly is to use trained personnel who use a controlled, documented, approved process. The inspectors are supposed to etch samples that are known to be over tempered at the start of each day to ensure the process and chemicals are adequate. This audit would also be a sort of practical test as well.

The idea was to have the auditor be knowledgeable (or an expert) in the subject process and have the procedure in front of him/her.

P.S. I hope your head is still intact! We need it around here! ;)
 
H

Hodgepodge

#7
It looks like a useful checklist, but when I do my process audits I am careful to include things like
  • numbers of whatever calibrated instruments are used, including gauges, thermometers/thermocouples for ovens,
  • a means to verify the equipment setup matched the process design (as the job router or similar document for that run would show),
  • evidence of lot number traceability,
  • control of nonconforming product (does AS9100 require segregation or marking of nonconforming product before it goes into rework or disposition?),
  • the suppliers of whatever chemicals/materials going into the process have been approved,
  • cleanliness controls, if any are maintained beyond the physical cleaning of the part. (Isopropyl alcohol vs. mineral spirits, etc
I hope this was useful.
Good ideas! I didn't think to have the equipment listed with calibration details checked. I will include all of these items in the checklist.

Do you have a sample process audit checklist example you could share? My idea is to have all the main requirements listed so the auditor will not forget anything.
 
H

Hodgepodge

#8
Andy,

I've been looking at your process football. If I audit my processes, management responsibilities through preventive action, it seems I will have audited document control and record control. I will have seen that the correct documents have been used and were available. I will have seen the records that are created by each process. I will have seen where the documents and records are stored. This being said, I believe I will have indirectly audited document and record control. I wouldn't need a separate audit of these two processes. Is this acceptable?

If there were findings relating to document or record control in any of the audits, that could trigger an audit of that process.
 

Mikishots

Trusted Information Resource
#9
I have been thinking about combining process auditing and checklists. I do see how it would be easy to lose sight of the goal and let a checklist mentality keep one from understanding if a process was being performed correctly and effectively. However, I think if a checklist were created correctly, it would be beneficial, kind of like a hyper-specific PEAR.

Attached is a sample checklist. I am using the Temper Etch Inspection process as my example. The idea is to have the auditor be knowledgeable (or an expert) in the subject process. Then use the checklist to make sure each key step in the process is performed correctly by witnessing the inspector complete the process, asking questions along the way as necessary to ensure the auditor has an understanding of what the inspector is doing and why.

Could you please take a look at my example checklist and provide feedback? You don't have to be an expert in temper etch inspection to give feedback on the checklist. I'm looking for feedback on the idea.
I'm having a hard time understanding why this would be identified as a special process; the fact that the inspection is possible (and its process detailed) would seem to indicate that the resulting output is very capable of being monitored and measured. If you're verifying surface hardening by inspection, it's not a special process.

I'm not a fan of Yes/No checklists because they are very limited in the info they contain. The structure of this checklists indicates that it is simply a compliance checklist and does not lend itself to a process flow in any way that I can see. Will you collect samples? How many? Will you cite work orders you looked at? What are the requirements to pass the work to the next cell?
 
H

Hodgepodge

#10
I'm having a hard time understanding why this would be identified as a special process; the fact that the inspection is possible (and its process detailed) would seem to indicate that the resulting output is very capable of being monitored and measured. If you're verifying surface hardening by inspection, it's not a special process.

I'm not a fan of Yes/No checklists because they are very limited in the info they contain. The structure of this checklists indicates that it is simply a compliance checklist and does not lend itself to a process flow in any way that I can see. Will you collect samples? How many? Will you cite work orders you looked at? What are the requirements to pass the work to the next cell?
Oddly enough, I have the answers to all of these questions in my head and understand what I would do to answer them in an interview. However, I see that the checklist is lacking in many regards. Looks like I will continue on without the checklist.
 
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