Using Turtle Diagrams for Effective ProcessBased Audits

1
Using Turtle Diagrams for Effective Process-Based
Audits

• Quality Techniques, Inc.
• PO Box 5007
• Huntsville, AL 35814
• 256-883-3554
• aphillips_at_qualitytechniques.com

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Benefits of the Internal Audit

• Benefits of an effective audit program should be
• Reduced operating costs
• Better efficiency
• Increased productivity
• Improved environmental performance
• Improved safety performance
• Improved customer satisfaction
• Improved morale
• Reduced barriers between departments
• Survival

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Creating the Environment for Successful Audits

• Awareness training for all employees
• The purpose of the internal audit
• The customer of the internal audit
• How open should employees be?
• What will happen with the audit findings?
• Focus on corrective action - not number of
  findings
• Do not allow punitive action following the audit

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Process-Based Audits

• A process converts inputs into outputs
• Audit implications
• Are inputs and outputs clearly defined?
• Are linkages with other processes clearly
  defined?
• Are applicable customer specific requirements
  defined and implemented? (Particularly
  automotive)
• How is the process measured to ensure its
  effectiveness?
• What personnel are involved and how are their
  training needs identified?
• Are responsibilities and authorities defined?
• What methods are used to accomplish the process
  output?
• What machines and materials are used in the
  process?

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Using a Checklist for Process-Based Audits?

• Advantages
• Saves time
• Improves consistency among auditors
• Ensures thorough coverage of your quality system
• Requires the recording of facts and data
• Disadvantages
• Discourages following the trail of the audit
• Audits become stale
• Discourages adequate preparation
• Resolution

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Checklist Strategy Metrics Box

• What metrics are maintained to evaluate the
  effectiveness of this process?
• Who looks at these?
• How are they evaluated?
• Are goals or objectives established?
• Are we achieving these goals? May I see it
  please?
• If not, may I see an action plan to achieve the
  goals?

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Checklist Strategy Who Box

• Who participates in this process?
• Have responsibilities and authorities been
  clearly defined for these positions?
• Have competence requirements been defined for
  these positions?
• Is training provided to achieve these
  competencies?
• Does training include on-the-job training?
• May I see the training records?
• How do you evaluate the effectiveness of
  training?
• (Follow the trail to ensure that training is
  effective.)
• (Interview new employees to further evaluate
  training effectiveness)

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Checklist Strategy How Box

• What information is required for this process?
• Are procedures and instructions adequate for the
  needs of the user?
• Are procedures and instructions properly
  controlled? Are they the latest issue? Properly
  approved? Readily available?
• What other information is needed for this
  process?
• Is that information adequate, accurate, and
  timely?

9
Checklist Strategy What Box

• What tools, equipment, parts, materials,
  hardware, and software are needed for this
  process?
• Are these adequate for the process?
• Are there any problems related to these?
• Is equipment adequately maintained?

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Checklist Strategy Specific Process

• Begin with process-based questions
• Use your current backbone checklist specific to
  the process being audited to add appropriate
  questions to ensure that the standard(s) are
  addressed.
• Use the highlighted documents to add questions to
  ensure conformance with procedures.
• Add questions from any customer-specific
  requirements (particularly automotive)
• Use previous audits to add questions verifying
  the effectiveness of actions taken.

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Effective Use of the Checklist

• Do not read from the checklist
• Lay the checklist down and TALK to the auditee
• Record applicable data on the checklist
• Branching technique
• Tracing technique
• Verify results against the checklist

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Communicate Successes

• Double audit reports
• Organizational e-mails
• Success boards
• Monitors
• Newsletters
• Personal evaluations
• Personal acknowledgements
• Tangible acknowledgements