Practical Audit Tools

Transcription

1 Practical Audit Tools Session 2: Auditor Competence, Audit Planning, & Audit Reporting Jim Lamar Quality Manager, Saint-Gobain NorPro 12 October 2017

2 Saint Gobain NorPro Saint-Gobain very large French conglomerate, founded in 1665 (over 350 years old!) NorPro a very small subsidiary of SG Catalytic Products a business element of NorPro Located in Bryan, TX Producing ceramic carriers for the chemical industry When you drink out of a PET water bottle or wear polyester clothing odds are that the Ethylene Oxide that made the MEG that made the PET was made in a reactor using a catalyst made from our carriers. The tools we ll look at today are generalized versions of the ones used at NorPro.

3 Today s Topics Process Approach Audit Conduct Audit Planning Auditor Competency Audit Reporting (a Powerpoint picture) (a Word Checklist) (an Excel workbook) 3 preformatted tools to help you document your audit process performance effectively and efficiently Process Flowchart and Checklist covered in 1 st half of this extended session Auditor Competency, Planning, and Reporting covered in 2 nd half.

4 Audit Planning / Reporting Tool One tool three provisions: 1. Tracking of auditor qualification & experience 2. Planning for the audit (who, what, when & where) 3. Reporting the audit findings We ll take a look at each of these pieces separately

5 Auditor Qualification ISO 19011:2011 Clause 7 Competence and evaluation of auditors contains several pages dedicated to this topic! Here s a snippet of specific interest: Achieving auditor competence Auditor knowledge and skills can be acquired using a combination of the following: formal education/training and experience that contribute to the development of knowledge and skills in the management system discipline and sector the auditor intends to audit; training programmes that cover generic auditor knowledge and skills; experience in a relevant technical, managerial or professional position involving the exercise of judgement, decision making, problem solving and communication with managers, professionals, peers, customers and other interested parties; audit experience acquired under the supervision of an auditor in the same discipline.

6 Our Auditor Competence tab {Text}

7 Auditors Tab Very simplistic Minimal formulas / calculations Tracks qualification as well as experience level We use the site field to help ensure we include independent (cross site) auditors on our internal teams We make this information available to the planning process our next topic

8 Audit Planning The scale and content of the audit plan may differ, for example, between initial and subsequent audits, as well as between internal and external audits. The audit plan should be sufficiently flexible to permit changes which can become necessary as the audit activities progress. The audit plan should cover or reference the following: a) the audit objectives; b) the audit scope, including identification of the organizational and functional units, as well as processes to be audited; c) the audit criteria and any reference documents; d) the locations, dates, expected time and duration of audit activities to be conducted, including meetings with the auditee s management; e) the audit methods to be used, including the extent to which audit sampling is needed to obtain sufficient audit evidence and the design of the sampling plan, if applicable; f) the roles and responsibilities of the audit team members, as well as guides and observers; g) the allocation of appropriate resources to critical areas of the audit. Again, since ISO 9001 does not provide much help in how to plan or report an audit, we turn to ISO 19011:2011

9 The Audit Plan Lead auditor and client work together to define the plan Audit team selection is via drop downs Fill in the yellow field at the top for what site and when to conduct the audit Define the scope of the audit by ungrouping the desired processes (shown on next slide)

10 Audit Scope For each process (e.g. QA Lab) select the assigned auditor for that process (drop downs in column J) Agree on estimated timing (column M) to cover the necessary topics Coordinating with the client select the timing for that section of the audit (column K)

11 Tracking our Progress Column I is included to help the lead auditor keep track of progress during the course of the audit say at lunch time and/or end of the day updates for longer audits Put a Y in this column and you can use the filter button to display only the remaining (blank) topics Don t need this feature? Hide column I with the Data-Group option at the top of the screen.

12 Audit Reporting Once again, ISO 9001 does not provide much help in how to plan or report an audit so we turn to ISO 19011:2011. Same requirements as the audit plan with the addition of the findings, evidence, and conclusions 6.5 Preparing and distributing the audit report Preparing the audit report The audit team leader should report the audit results in accordance with the audit programme procedures. The audit report should provide a complete, accurate, concise and clear record of the audit, and should include or refer to the following: a) the audit objectives; b) the audit scope, particularly identification of the organizational and functional units or processes audited; c) identification of the audit client; d) identification of audit team and auditee s participants in the audit; e) the dates and locations where the audit activities were conducted; f) the audit criteria; g) the audit findings and related evidence; h) the audit conclusions; i) a statement on the degree to which the audit criteria have been fulfilled.

13 Audit Reporting - Findings Nonconformances, Opportunities for Improvement and Noteworthy observations can be reported on the AUDIT FINDINGS tab Column B is a drop down selection field. Column C is a text entry field with suggested instructions for how to use it. Column D is a drop down selection field Column E is a text entry field

14 Audit Reporting Findings 2 Out in Column G is a field that you may or may not choose to use. It concatenates the information from columns B, C, D and E into a single field. We post the contents of this concatenated field into our Corrective Action System as the description of the issue. We find it useful for the description of the issue to include the process, the clause, the description and everything all in one spot. If that s not a value added feature for you, hide, delete or just ignore that column. It doesn t cost any extra...

15 Audit Reporting - Summary Customize for your organization Demographic info for this audit is auto-filled from the planning tab Rows 17 and 18 are formatted to allow the auditor team to summarize their conclusions. The date defaults to today (=now()) but can be changed to meet your needs Lead Auditor name is autofilled

16 How We Use These Tools 1. To initiate an audit, we make a copy of the ISO Audit Plan-Report.xlsx workbook and rename it to be used for the audit, for example Bryan TX Dec 2017 Audit Plan- Report.xlsx 2. The client selects a lead auditor and together they develop the audit plan, selecting an appropriate audit team and defining the scope by expanding the desired processes on the AUDIT PLAN tab 3. We make a printed copy of the checklist for the audit team. 4. The pages of the checklist that are assigned to each auditor are distributed for the conduct of the audit. 5. At the end of each day the audit team assembles to review their progress and their findings. 6. The lead auditor will help with documentation of the findings on the AUDIT FINDINGS tab. 7. At the end of the audit the checklist pages are gathered up and put back in numerical order. The cover page is completed by the lead auditor then the entire packaged is scanned and saved as a PDF file, becoming part of the audit record I mean retained documented information The findings are reviewed as a team and the lead auditor summarizes the audit on the REPORT SUMMARY tab. The completed workbook is then stored as part of the audit record. (dang it there I go again with old terminology! Old habits are hard to break!)

17 Developer Notes There is a tab on the Excel workbook called Developer Notes Usually hidden (not needed for audit planning and reporting) it is visible on the version being made available to make it easier for you to customize for your use Nothing fancy being done in the background, but you ll need to know where data validation fields come from and that sort of thing

18 Developer Notes - 2 Color coded by tab, I ve tried to provide a listing of all the formulas and data validation ranges used so you can make this template your own.

19 Final Guidance To be effective: You must develop your own process model. It may look a lot like the general example provided, or it may be very different, but it must be YOUR process. The checklist provided is organized around the process model provided so once you ve developed your process you must then pick and choose which ISO topics apply to each process step. The planning and reporting template is also organized around the process model, so it too must be customized to fit your specific site requirements.

20 End of Session 2 Some thumb drives available with the tools presented today. When these run out, leave your business card and I ll the documents. If questions later, drop me a note: Jim_Lamar@Yahoo.com Best thing about these tools: