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Help!! Audit reporting for processes touched by multiple people

Discussion in 'Process Audits and Layered Process Audits' started by Eric K, Jan 6, 2017.

  1. Eric K

    Eric K New Member

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    Can anyone suggest a methodology that can help me determine the best way to report results for processes audited that have had parts done by multiple people, yet no delineation to determine who did what when? Would it just be best to report on the whole process and assign it to the team working it?
     
  2. normzone

    normzone Active Member

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    I'd note in the audit report that identifying persons involved to specific events was not possible in the current system and leave it at that.

    Question: Are there requirements that you should be able to tell who did what? You may have a list of persons involved but not be able to sort out who fished and who cut bait at what time.
     
  3. Jennifer Kirley

    Jennifer Kirley Moderator Staff Member

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    Welcome Erik K!

    Typically I would see evidence of individuals' contribution in audit notes. Alternatively there is the report, which can list audit areas and auditors as sections of an overall scope, also there is a chance they could write comments that would identify the areas they worked on.
     
  4. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Eric: Before you go an audit something it's important that you do some planning, based on one of 2 things: The internal QMS DOCUMENTATION of the process, which should (by rights) define who does what and/or what the process owner (manager) TELLS you happens and who is supposed to do it. If you have neither in place, then don't do the audit! I'm assuming, of course, that you have a QMS and that it meets some ISO requirements. If so, and you say there's no "delineation", then you don't have a compliant QMS to start off with and the audit will likely be a train wreck...
     
  5. tony s

    tony s Well-Known Member

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    Logically, I will still raise the issue to address it. It's up to the auditees to determine the who, what and when of their action/s.
     
  6. MCW8888

    MCW8888 Well-Known Member

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    OK. here's what we have done for process audit which is somewhat acceptable but I am sure the auditor would like to see something else:

    Report;
    1. Process/Function:
    2. Performance Metrics (Target vs actual)
    3. Process Input
    4. Output
    5. Documents/Records audited:
    6. Comments on effectiveness. (this is where we gather input from audit teams and mention their names.

    At the end of the audit, the Lead Auditor collates all the findings and issue nonconformance based on objective evidence.
     
  7. Andy Nichols

    Andy Nichols Moderator Staff Member

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    Hi MCW 8888 - a good start but it's missing some stuff. We should talk some time about how to do a process based audit! I believe you got your training from your CB, too?
     
  8. MCW8888

    MCW8888 Well-Known Member

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    Yes I did.
     
    Andy Nichols likes this.

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