Process Audit template which has been tried and tested

JodiB

Still plugging along
#21
Doesn't add up...

Hank, I've printed out your audit checklist for the Purchasing and Receiving process. It looks very similar to a 1994 checklist by referencing the various clauses of the standard and appears like a simple "departmental" 1994 audit.

Things like having job descriptions on file I would think would be audited as part of the human resource and training process...and doc control as part of the doc control process (if you have identified one as we have). Also Corrective and Preventive actions (if you have identified as processes) would be looked at for ALL departments as a function of its own process audit.

I look at the process audit as taking everything that fits that category and auditing it across all departmental lines.

For our own purchasing and receiving, we have major input and output issues with the Operations department as well as Tooling, so they would be audited as well as the purchasing dept. and receiving warehouse.

Since I don't know how you have identified your processes, perhaps I'm off the mark on this. And I agree that identifying the clause requirements is beneficial, and there is nothing that says you can't audit to several different processes at the same time on the same checklist.
 
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E Wall

Just Me!
Super Moderator
#22
Another View

Job descriptions:
When auditing the Resource Management Process (which includes HR) you would ensure job descriptions have been written and might inquire what the process for writing them are.

Including this question in the Purchasing Process Audit is also relevant, to ensure that the positions within the process do in fact cover all the responsibilites expected.

If you have a process description (Scope, Goals, Inputs, Activities, Output, Interactions, Measureables and Records) you should be able to review job descriptions to see where responsibilities lie.

Records of education/training/skills/experience:
I would only look for these in the Purchasing Process Audit if there were requirements that would make it necessary. i.e., The Purchasing manager must ensure XXX training is achieved by all personnel doing YYYYY.
 
H

HFowler

#23
Re: Good question

energy said:



... They will get chopped to pieces by the purists who can critique but cannot give examples....Instead we get lectures and training classes that vaguely point you in the direction you should go.
:ko: :smokin:
Lucinda,

You are not off the mark. When I performed the pre-audit interview of the Purchasing/ Production Planning/ Shipping/ Receiving Manager, it was more like you are referring to. See the attached. I have looked for some good examples of process audits, but have not found one suitable or that covered all of the requirements of the ISO 9001:2000 Standard.

Since we are a small company, we don't have an HR Dept. per se. Nor do we have any one dept. or individual responsible for document control.

Best Regards,
Hank Fowler
 

Attachments

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#24
At the AIAG "TS rollout" a question was asked concerning auditing of processes.
There response was that they "did not envision the use of the standard compliance checklists that have been used in the past"
At that point the Ford rep. took over and gave a 15 minute disertation on process audits.
I will try and describe as best as possible.

"- Element-by-element approach, (TS16949 1st ed), focus on compliance verificationof the Who,What,Where,When and How basically asking have you dotted the i,s and crossed the t's?

- Process Approach,(TS16949 2nd ed) focus on identifying the the key processes within the organization and evaluating the company's performance according to their planned arrangements. The key question being "Why".

Moving from an elemental approach to a process approach means the "landmarks" that normally assisted you and the supplier to navigate the suppliers quality management system have changed somewhat. What was once a static checklist that could not adjust to accommodate an individual supplier's conditions, has now evolved to an dynamic evaluation method. The process approach is designed to assist you and the supplier to make cooperative judgements based on the on-site facts as they present themselves - within the constraints spelled out via the supplier contract." (Whew, My sigh)

Now with that said, and don't everyone gasp at once, the process approach is described by a method called "The Octopus".
Draw a circle,say three inches in diameter, then from a point outside the circle draw a line to a point inside the circle, make a short turn and come to a point adjacent to the staring point. What you have drawn should look like the letter "U" over the circumference of the circle. At the end of each leg draw a circle and label "O" and "I". Draw several of these "U's" around the circumference. You now have a series of what is called "Customer Oriented Processes" (COP's). The number of COP's you have around the circle illustrates the multiple nature of customer/organization intersections. At some point in time the process becomes dynamic and the legs of the "U's" become conected. From this you would then develop sub COP's.
Process characteristics-
1- A process owner exists
2- The process is defined
3- The process is documented
4- The process linkage is established
5- The process is monitored
6- Records are maintained

The automotive world divides into two types of processes,
1- Customer Oriented Processes (COP's)
2- processe that support COP'S
The QSA for TS 16949 has been revised to include this method
This is also the method that will be used for all TS 16949 auditor training classes.

Ok Energy I am out on the limb, star cutting.



:smokin: :bonk:
 

barb butrym

Quite Involved in Discussions
#26
ok energy, here ya go
Purchasing:
1. Do they buy good stuff from known good suppliers and keep a record of it?

:biglaugh:
seriously I don't "DO" check lists. I pull the procedure, do a doc review for any gaps from the standard...highlight iimportant points and things I want to check out, records, commodities to look at /review etc.....make notes to consider/ask on an audit trail (CARs, N/C, audit findings etc....) and head in.

Points to consider (1994):
Approved suppliers, with criteria for adding and to remove...as well as feedback/periodic evaluations..records available and verify several POs to AVL Only, and how do they handle the exceptions

If hard copy POs are used/approved,who, when, how, what exclusions, evidence is required?
What are they approving/reviewing? Do they clearly id the item and requirements for that commodity (typically look at several commodity types/needs) check with INC/rec to see that they look for those requirenments if critical...how does rec know to deliver the stuff to INC Insp if noyt all stuff goes there (and we know it doesn't!!) If no hard copy, how is review and accuracy of requirements covered?

How is order entry done? Does it tie to a job #? How? What about bulk?

Points to consider (2000)
SAME As above
What are the goals of the purchasing department that support the Quality policy? How do you measure them? (see also the above 1994 control of suppliers, cause I bet its there already ...price delivery and quality?)


Ok so now the process debate? What is the process?
A need to purchase is identified (MRP?)
Buyer send out RFQ
Chooses supplier...approved of course (spin off process)
generates PO...buys the stuff, communicates the PO Approval loop?
waits for the stuff to get here,
calls to expedite if required

Input: MRP or requisition etc
output The purchase....
scope: Raw material? or other commidity
Responsibilities: Approvals needed?who can buy what? who is the keeper of the records? who does order entry etc
training needs? an experienced buyer or what ever is needed..do you need a training program to teach a buyer how to buy? NOT usually. The procedure/flow chart will tell them the company specifics


so whats the mystery? I know there are details missing, but I don't know your company.

there you have it, a direct answer........nanananana na
 
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H

HFowler

#29
Process Audit Form

I am trying to develop a Process Audit Form for use in my internal audits. I have attached a copy of one I'm currently developing. Does anyone have another example that they would be willing to share. I would also be interested in in good books or articles on "Planning Process Audits".

Best Regards,
Hank Fowler
 

Attachments

E

energy

#30
Re: Process Audit Form

HFowler said:

I am trying to develop a Process Audit Form for use in my internal audits. I have attached a copy of one I'm currently developing. Does anyone have another example that they would be willing to share. I would also be interested in in good books or articles on "Planning Process Audits".

Best Regards,
Hank Fowler
Hank,

I used your Process Audit form to see how easy it was to format. I used the "Posting in the Cove" process. I'm not sure that this is how it would be used. Check it out!:vfunny: :ko: :smokin:
 

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