Audit observation sheet
Audit Observation sheet is document that helps to identify opportunity for improvement in the internal management system. It may directly enhance the process effectiveness, and control.
This sheet is much helpful document when auditors are conducting audit at any manufacturing unit. The document may contain details of observation, it can an internal or external audit. The details of observation include:
- Non-conformities
- Potential Opportunities
- Improvement – it can process, or product
The document is actually objective evidence of audit findings, and helpful for initial corrective as well as preventive actions.
Why this document is necessary?
The document is much helpful to recording all the audit findings, observations, and points that mark by auditors during the audit. All the details are possible to maintain with well-organize in this document.
Using this document, each department can individually identify their weakness, opportunities and details of observations that help them to improve their individual department processes.
The audit process is not for blame or point out mistakes to any individual or department. This is the process through department can understand their accountability, and way to conducting potential corrective actions in way to improve their abilities.
Example:
Observation Number: OBS/20212/02
Clause / Requirements: ISO 14001 – Environmental Aspects
Audit Observation: Waste segregation bins not labelled properly in shop floor.
Evidence: Shop Floor inspection
Category: Major
Responsible person: EHS officer
Corrective Action: Re-label bins as per color coding
Target Date: 10/09/2012, Completed & verified on 29/08/2012.
N.C. Status: Closed.
Key Elements of an Audit Observation Sheet
Observation number
This number is actually unique reference number usually assigns to each observation. It may help to auditor as well as implementation to track the observation details using this number.
Clause Requirement
Each audit is conducts on base of any international or internal standards. The reference to the applicable clause of the specific procedure, manual, work instructions, SOP or even customer requirements are need to describe.
Audit observation
Auditor is preparing the details of the observation points and describe in this column. The summary of the observations requires to describe that are noted during the audit process.
Evidence
Herein this column, auditor will describe the details of evidence that collected during the audit process. It can be records, photo, documents or other evidence supporting its observation.
Risk / Impact
In this column, we have to describe summary of the potential impact / risk that associated with unsolved issues in the processes. Like reduction in efficiency, product / process quality issues, and customer dissatisfaction etc.
Corrective / Preventive actions
Before taking corrective and preventive actions. We need to address root cause analysis processes to identify the reasons behind the issues that occurred. For RCA, we can use Fishbone analysis, or 5 Whys method. Later on, we have to describe the details of corrective and preventive actions that identified during RCA process.
Current status and completion date
Actually, both things are required to describe in different columns, but here for basic understanding, we are collaborating for simplify subject. In this column, we need to describe what is the status of this the issue / observation, what actions are taken, what is actions are still remains, as well as when the process will be end.
Audit Observation sheet
This document is very important part of the entire audit process. Using this document, auditor can document its findings, details of observations and identified potential improvement can describe in it. This is the core sheet where internal management can take the actions to review the details of this sheet.