1. Method Name

Process Audits

2. Alternative Names

Process Audit, Layered Process Audits (LPA)

3. Brief Description

A process audit is a structured verification of whether a process is being carried out in accordance with a standardized operating procedure (SOP) and whether this procedure leads to the desired results. Unlike a product audit (which checks the result), a process audit focuses on the execution of the process itself.

4. Purpose / When to Use

It is used to ensure compliance with standards, identify deviations and opportunities for improvement, and strengthen discipline within the team. It is a proactive tool for preventing errors. Layered performance audits (LPA) involve multiple levels of management in the auditing process.

5. Procedure / How to Apply It

1. Select a process and prepare a checklist: Choose a process and, based on its standard operating procedure (SOP), create a simple audit checklist with the key points that need to be verified.
2. Schedule audits: Create an audit schedule. In LPA, different management levels conduct audits at varying frequencies (e.g., team leader daily, manager weekly, director monthly).
3. Conduct the audit on the Gemba: The audit is conducted directly on the shop floor by observing the actual process and interviewing the operator.
4. Record findings: Record conformities and nonconformities against the checklist. Every nonconformity is an opportunity for improvement.
5. Implement corrective actions: For each nonconformity, immediately define and implement a corrective action.
6. Analyze audit data: Monitor trends in nonconformities to identify systemic issues.

6. A Real-World Example

The production manager conducts his weekly LPA audit on the welding line. Using a checklist, he verifies that the operator is using the correct current setting on the welder, is wearing all required protective equipment, and that the workstation is clean in accordance with the 5S method. He notices that the operator is not wearing the required gloves. He addresses the issue immediately, identifies the cause (the old gloves were uncomfortable), and ensures that the problem is corrected.

7. Benefits

- Ensures compliance with standards
.- Proactively prevents errors and accidents
.- Improves communication between management and operators
.- Strengthens a culture of discipline and accountability
.- Provides valuable data for improvement.

8. Risks / Limits

- Perceived as a "police check": If an audit is conducted in a directive and critical manner, it will provoke resistance and lead to problems being concealed
.- Bureaucracy: Overly complex checklists and administrative tasks can defeat the purpose of the audit.
- Superficiality: Quickly “checking off” a checklist without actual observation and discussion is pointless
.- Failure to address findings: If identified nonconformities are not addressed, audits lose credibility.

9. Practical Tips

- Audit the process, not the person: The goal is to find flaws in the system, not to criticize the operator.
- Start with the question: “Can I watch you work and learn a thing or two?” This creates a better rapport than saying, “I’m here to check up on you.”
- The checklist should be short and visual, focusing only on the most critical points.