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Process Audit template which has been tried and tested


M Greenaway

Ok you are auditing processes instead of single clauses, however you still have to remain compliant to clauses.

This is no shift for me as it is the approach I have used for years.

James Gutherson

Yea I've got to agree. I've just got out of a traing session for a new group of internal auditors and I made the same presentation I created 4 years ago. Follow the process, are they being followed? Look at the controls, are they adequate? Then determine which clauses are applicable.

Same old same old.


Process Audits

I developed a checklist for process audits that includes 2 'categories' of questions: the first section is questions that we ask about every process, such as:

-- is the process clearly defined?
-- is there sufficient documentation/information for effective operation and control of the process?
-- are there sufficient resources provided for the process?
-- has criteria for effectiveness been determined?

Then the second section is process-specific, that is, if we are auditing the Order Management process, we ask questions from 7.2 in the Standard; if we are auditing the Design process, we ask questions from 7.3. Setting this up for each Key Process (there were 8 I believe) was not difficult, and it only has to be done once.

These checklists ensure that all of the processes are being audited in a 'closed loop' way, and that we are ensuring that the process itself is in control and effective, and that it meets the requirements of ISO 9001.

Caveat: the auditors use the checklists as a guide only, and more experienced auditors don't need them much at all. These are not the questions that the auditors ask; they are simply a reminder of what to look for. The auditors ask questions about the procedures and sub-processes that support the Key Processes (I like the method of writing questions directly on the procedures, esp. if those procedures are flowcharted and have plenty of white space.)

Comments on this method?


Steve Andrews

process audit

I'm looking for information on this requirement but whilst there are volumes written on QMS /Internal audits; I'm finding comparatively little on Process Audits.

The TS requirements seem to have evolved from the goal of bridging the gap between the European Standards such as VDA and QS9000.

The best reference I've found is the VDA6.3 Process Audit standard, but I would like to find some commentary or analysis on the subject of Process Audits.

From my reading, an audit to VDA 6.3 seems quite narrow in scope,(it's not intended as an audit of the entire QMS) and shouldn't be confused with the process approach to auditing advocated in ISO9001:2000.

In what way should it differ from QMS Internal Audits?
What are the benefits of the Process Audit?
Any thoughts on the scope of these audits?



Involved In Discussions
I really dont know but I think an example showing how one audit base on version 1994 and 2000 would help to explain the approach. Let say we focus on Purchasing would audit (or the checklist) be using the 1994 version differ from the 2000 version.


Good question

johnnybegood said:

I really dont know but I think an example showing how one audit base on version 1994 and 2000 would help to explain the approach. Let say we focus on Purchasing would audit (or the checklist) be using the 1994 version differ from the 2000 version.

Good request. I've tried this before in the Cove, but guess what? We seem to be heavy on theory but nobody is willing to stick their neck out on the specifics and give us something to hang our hat on. Know why? They will get chopped to pieces by the purists who can critique but cannot give examples. My specific questions like yours, always go unanswered. Instead we get lectures and training classes that vaguely point you in the direction you should go. Hey, consulting will cost you. If you can't front the cash, expect to get hash. I expect to hear from people on this, but when is the last time you saw an exact answer to a post like this? I asked to be specifically audited in areas and I get, "well, you should consider this and that" Give me some real questions. Let me answer and you rebutt or accept. You don't see that. :p Fire away, boys and girls.
:ko: :smokin:


Purchasing Audit Checklist

Attached (hopefully) is a copy of the Purchasing Dept. checklist that I developed for our internal auditors to use next week. It is for auditing compliance to ISO 9001:2000. There are plenty of checklists for the 1994 version if you want to compare the differences. If you look at my comments earlier in this discussion, it will give you an idea of how I developed it through interviews with each department during the audit planning phase. I developed a pre-audit checklist to use in my departmental interviews. I have developed checklists for each individual process and at the same time tried to make sure that all relevant clauses of the standard were covered.

We are a small privately owned company with most people wearing several hats. Our Quality Dept. consists of just me. This is our first internal audit, so it does sort of "hit the high spots".

Best Regards,
Hank Fowler





Thanks Hank


That's what I'm talking about. I printed it out and gave it to our Purchasing person so that he can see where there may be a problem. Granted, there will always be other areas where an Auditor may go, but stuff like this covers a lot of territory and gives us novices a place to start. I'd like to see more of this in the Cove. Real and actual working material from real companies. Not text book references. Rest assured that after our first audit, I would gladly post the information that worked, as well as what knocked us on our a**. Thanks:bigwave: :ko: :smokin:
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