The Process Audit

Many people confuse the process audit with the process-based system audit. They are not the same. It goes back to that fundamental relationship between system, process, and product.

I believe the key to success for the process audit is to intensely focus on a single process. (These are ing things, like cutting, heating, preparing, serving, swimming, etc.) Prepare a detailed checklist, based on the six universal process affectors: methods, material, manpower, measurement, machinery, environment (MMMMME). These checklists are typically 5-10 pages. The auditor (generally one, from the hourly ranks, and respected by peers) performs the audit in two hours or less. The report is presented to the audit boss. Next week, do the same audit, same checklist, same auditor, but on the second shift. Next week, examine a similar process for a different product over on line two. Most of the checklist remains the same, but parts are modified. The idea is to cover the entire application of that process throughout the operations in three month's time. While Julie's doing her process audit, Sam is doing his audits on a different process. All the process audits done in the three-month period are then evaluated for common conditions that need to be changed for improvement. Next quarter, Julie and Sam will audit different processes. We would like to have all processes subjected to this intense scrutiny within a certain period of time, generally 2-3 years. Routine monitoring between these process audits is performed by the supervisor, using management by walking around. Process audits are done internally, not on suppliers.

Now, process audits are not the same as process-based system audits! An excellent enterprise will apply both of these fine tools. (Remember, a system is a group of processes all working in harmony to achieve a common objective.) The process-based (system) audit will take 1-3 days with 1-3 people. Because of the great deal of study and work required to prepare for the PBA, it is generally restricted to internal application. It is hard, but not impossible, to apply to suppliers. Basically, a PBA requires a) flowchart of the audit scope, b) turtle diagrams for each of those major processes on the flowchart, c) access to source docs (mostly specs and procedures) for requirements identified on the turtles, d) customized checklists from the study of the source docs, e) use of reverse tracing to gather information, f) reports that show how the system is functioning, rather than a listing of nonconformities.