Guide to Implementing an Effective Layered Process Auditing System

Questions To Answer
Activity
Why do LPA?
Decide why you're
investing time to do
LPA.

Reasoning
Know what you expect to gain for your
efforts.

Options
A. Meet a customer requirement
B. Add to meet TS requirements
C. Improve Quality throughout
your organization

Best Practices
Improve Quality throughout your
organization for all of your
customers. Understand how to
measure an effective LPA system.

What do we know and

not know about LPA
systems?

Gain knowledge about

LPA systems.

By first gaining and then applying this

new-found knowledge, your company will
be able to implement an LPA system
correctly the first time (Note: We often find
that there is never time to do a job right,
but there is always time to do it over.)

A. Seminars
B. Websites
C. Books
D. Coaches (proven experts)
E. Lessons learned from
successful companies

Use all of these options to gain

knowledge about LPA systems.

Who should be on the

implementation team?

Identify and select the

Varsity team for LPA
implementation. (The
members you select
should be chosen as if
the future of the
company depended
upon LPA success)

Identifying a cross-functional group of

people who have profound knowledge of
the manufacturing processes who will be
able to relate to all aspects of
manufacturing and areas of quality
concerns from all shifts.

A. People who are not busy

B. Only Quality professionals
C. Find people who are very busy
D. Operators
E. Technicians
F. Setup people

Who will own the LPA

system?

How will the facility be

Decide how the facility
organized to be audited? will be divided up to be
audited.

Identifying the primary and secondary

organizational units will allow you to
identify the number of audits in each area
and later assign audit questions.
Identifying product groupings will become
very useful to sort data for reports.

A. Primary Units: Department,

Business, Value Streams, etc.
B. Secondary Units: Workstations,
Cells, Operations, etc.
C. Product Groupings: Platform,
Product Type, Product Grouping,
etc.

Find people who are very busy

because they are team players
and doers. Choose
representation from all areas
Engineering, Manufacturing,
Maintenance, Operators,
Technicians, and Quality
professionals and all
manufacturing shifts. Everyone
should understand why they are
on the team and what is expected
of them.
Determine who will own The owners should be those people who A. Quality owns the system
Manufacturing owns the system
and be responsible for use and interact with the system the most. B. Manufacturing owns the system with Quality supporting the system
your LPA system. (This
(note: Quality owning the system
does not mean the
has not proven to be successful).
person or people who
Include the group that has the
maintain the system)
process knowledge necessary to
keep audit questions up to date.
Primary Units: Department,
Business, Value Streams, etc.
Secondary Units: Workstations,
Cells, Operations, etc.
Product Groupings: Platform,
Product Type, Product Grouping,
etc.

Your Plan

Guide to Implementing an Effective Layered Process Auditing System

Questions To Answer
Activity
What processes areas
Write audit questions to
are at highest risk for
address all high risk
quality spills?
process elements.
(Writing a definition for
high risk for your facility
will be very helpful)

Reasoning
Questions for process audits should
verify that the environment of the element
or elements being audited are correct to
produce quality products.

Options
A. Choose processes known by
supervision, technicians,
maintenance, and operators that
have continual variation.
B. Select areas on control plans
that have a high risk priority
number (RPN).
C. Utilize D-6 of the 8-D process:
confirmation that the fixes
implemented via corrective action
remain in place and working by
using the same indicator (metric)
that demonstrated the problem.

Best Practices
Utilize all the options listed to
develop questions. Questions
should be written so that the
answer is yes or no. Yes indicates
conformance and no indicates nonconformance.
Use the What, How, and Why
format when writing each
question.

What mistake proofing

devices are at high risk
areas for quality spills?

Write audit questions to

address all high risk
mistake proofing
devices.

Mistake proofing audit questions should

verify that the error proofing devices will
catch defective production conditions or
defective products.

A. Choose mistake proofing

devices known by supervision,
technicians, maintenance, and
operators that have continual
variation.
B. Select mistake proof devices
noted on Control Plans that have
a high severity number.
C. Utilize D-6 of the 8-D process:
confirmation of validation that the
fix of the escape point (mistake
proofing device) at the control
point identified in the corrective
action remains in place and
working by using the same
indicator (metric) that
demonstrated the problem.

Utilize all the options listed to

develop mistake proofing
questions. Questions should be
written so that the answer is yes or
no. Yes indicates conformance
and no indicates nonconformance.
Use the What, How, and Why
format when writing each
question.

How should you divide

the questions into audit
areas?

Divide the process and

error proofing questions
into unique audits for
the different secondary
units you selected in
step 5.

Creating unique audits for process and

error proofing in secondary units that can
be completed in less than fifteen minutes
will ensure auditors are not overburdened
and that both audit types can be
addressed by experts.

A. Create separate unique Error

Proofing audits and Process
audits for each audit area.
B. Build audits with both Error
Proofing and Process questions
for each areas.

Creating each unique audit with

an average of 3 to 9 questions
and make sure that each audit
requires fifteen minutes or less to
complete. Forming audits with
only Error Proofing questions
allows you to assign these audits
to auditors with unique skills and
could reduce training time. Note:
the same audits will be performed
and the same audit questions will
be asked by the auditors on each
layer.

Your Plan

Guide to Implementing an Effective Layered Process Auditing System

9

Questions To Answer
Activity
How many audit layers
Determine the number
should be created?
of management layers
that will conduct the
audits.

10 How frequently should

each layer be audited?

Decide the frequency of

each layer and the time
allowed to complete
each assigned audit.

Options
Reasoning
The number of layers will very greatly
A. One layer
and depend on the management structure B. Two layers
in the facility, as well as the span of
C. Three layers or more
authority for each structural level.
LPA systems must have at least two
layers of auditors. The different layers will
complete the same audits with the same
set of standard questions in each unique
audit.

Best Practices
Two or more layers, but you need
to identify the value you expect to
gain for each additional layer
beyond two.

Completing Layer 1 audits every shift will

allow you to limit the exposure of a quality
spill to a single shift.
The frequency and time to complete
audits for layers other than layer 1should
be decided by the implementation team
with the understanding that the increased
frequency will add value by improving
quality.
The Layer of auditors that includes the
Plant Manager must complete at least
one audit a week and may be given up to
5 days to complete their audits.
Auditors in layers above 1 participate in
order to gain knowledge about the
processes being audited, insure that those
processes are functioning correctly at that
time the time of the audit, learn if Layer 1
audits are being completed, and give
upper management the opportunity to
build a relationship with all workers to help
improve all aspects of the processes
(safety, quality, cost, delivery).

Layer 1 audits must be completed

every shift everyday. Layer 2
auditors complete 1 or 2 a week
and are given from 2 to 5 days to
complete. Layer 3 auditors are
usually scheduled once a week
and given 3 to 5 days to complete.
Higher layers may be scheduled
weekly, bi-weekly, monthly, or
quarterly. Your LPA system must
not become a head hunting
expedition to discover who is not
doing something correctly or to
place blame.

A. Layer 1 audits must be

completed every shift everyday.
B. Layer 2 audits may be 1 or 2 a
week and given from 2 to 5 days
to complete.
C. Layer 3 is usually scheduled
once a week and given 3 to 5
days to complete.
D. Higher layers may be
scheduled weekly, bi-weekly,
monthly, or quarterly.

Your Plan

Guide to Implementing an Effective Layered Process Auditing System

Questions To Answer
Activity
11 Who should do the
Select different
auditing?
management personnel
as auditors for each
layer and then decide
which audit(s) each
auditor should be
allowed to complete.

Reasoning
Each layer needs to have unique
auditors.
Selecting layer 1 auditors to audit the
areas they are already responsible for will
be your most efficient approach, as they
can utilize existing job knowledge and
require little travel time.
Layer 2 and higher auditors may be
selected in any way that the
implementation team agrees is
appropriate.

Options
A. Typical layer 1 auditors are
supervisors, maintenance and/or
technicians.
B. Layer 2 auditors are often
Engineers, area managers,
C. Layer 3 auditors might include
the plant manager, and other top
organization such as Engineering
Manager, Quality Manager, HR
Manager to name a few.

Best Practices
Layer 1 auditors are supervisors,
maintenance and/or technicians.
Layer 2 auditors are middle
management such as Engineers
and area managers, Layer 3
auditors must include the plant
manager, and others at the top of
the organization such as the
Engineering Manager, Quality
Manager, and HR Manager to
name a few. The members of the
implementation team should all be
auditors. Having members of your
LPA Implementation team be
auditors will show by example they
believe in the system the team
developed.

12 How will management

review the effectiveness
of your LPA activities?

Underscore the importance of your LPA

system through active management
reviews, and by utilizing a process of
approving corrective actions and
containment activities on a daily basis.
Management should review the LPA
activities as part of their formal
Management Review of all their quality
systems elements at defined intervals to
insure the LPA system's continuing
suitability and effectiveness.
Management should record trends in the
quality, operational performance, and
current quality levels for key product and
service features.
Trends in data and information should be
compared with progress toward business
objectives and lead to appropriate action
to support developing priorities for
resolving customer problems.

A. Management review reports

daily and either approve
containment and corrective
actions for non-conformities or
make modifications to the
containment and/or corrective
action
B. LPA data and activities should
be incorporated into the formal
Management Review of quality
systems

Management completes their

audits on time (walk the talk).
Management reviews reports daily
and either approves containment
and corrective actions for nonconformities or makes
modifications to the containment
and/or corrective action.
Incorporate LPA data and
activities into the formal Quality
Management Review system.

Incorporate the review

of your LPA activities
and its effectiveness
into:
1. Daily management
quality and production
meetings.
2. the Management
Review process of your
Quality Management
System (QMS).

Your Plan

Guide to Implementing an Effective Layered Process Auditing System

Questions To Answer
13 What type of system
should you develop,
design, or purchase to
organize and manage
your LPA activities?

Activity
Determine what type of
system you need to
service your customers
(including auditors,
administrators,
management, and
product customers).

Reasoning
The system must be easy for auditors to
use, allow them to quickly view their
schedule and record audit results,
including recording any corrective action
taken for non-conformances.
Management should be able to obtain
audit reports quickly with real-time data
and have the ability to approve corrective
action and containment of questionable
materials.
Select a system that the administrator
can easily manage with minimal time
requirements.
14 Where will you document Decide where to
Find a place to formally document your
your LPA process?
document LPA process. LPA process where everyone can easily
locate this process.
Place this documentation in a system
that requires minimal maintenance time.

Options
A. Paper system
B. Email notification
C. Database to enter data and
recover information for reports.
D. Computer application

Best Practices
LPA Admin (web-based
application) because it meets or
exceeds your audit, management,
and administrator requirements
with little need for IT support from
your facility.

A. Document the LPA process as Document the LPA process in

part of its own system.
your current Quality Management
B. Document the LPA process in System.
your current Quality Management
System.

15 How fast and to what

Decide the how quickly Setting realistic goals and benchmarks
extent should the LPA
and how broadly you
for implementation will keep the team
system be implemented? want or need to
focused.
implement your LPA
system.

A. Implement for a few customers'

processes across the entire
facility.
B. Implement across the entire
facility including all high risk
processes for all customers.
C. Implement in one area or
department for all high risk
processes for all customers. Then
continue to implement in other
areas until the entire facility is
completed. (Note: It is not
recommended to only implement
for one customer)

Organizations that utilize their

varsity team from all locations of
their facilities choose to implement
their LPA system across their
entire plant at once for all their
external customers' products. The
focus, discipline, training time, and
implementation time will be much
better if one completes the
implementation for all processes
at the same time.
Large facilities (over 700
employees) may choose to
implement their LPA system in
phases by area.

16 How should auditors be

trained?

A. Train everyone at once.

B. Train by layers and/or areas.
C. Train by layers by shift.
D.
Have auditors read the AIAG
Layered Process Audit Guideline
E. Give an overview of LPA and
discuss your facility's audit
process.

Auditor training should include an

overview of Layered Process
Auditing, information about how to
complete audits, and sample
audits for practice. Trainers must
insure that auditors demonstrate
the ability to record audit results
including non-conformances,
containment activities, and
corrective actions. Spend time to
discuss the concept of corrective
actions with your auditors.
Auditor training should take about
two hours.

Develop and implement LPA auditors need to understand the

a Layered Process
philosophy of layered process auditing and
Auditor training plan.
your LPA system. Knowing when, where,
and how to complete an audit is critical to
the system.

Training should ensure that auditors

demonstrate the ability to record audit
results including non-conformances,
containment activities, and corrective
actions.
Successful containment and the success
of your LPA system depend on your
auditors understanding what to do when
they discover non-conformances.

Your Plan

Guide to Implementing an Effective Layered Process Auditing System

Questions To Answer
Activity
17 What should nonDevelop non-auditing
auditing employees know employee training.
about LPA?

Reasoning
All employees need to understand the
purpose of doing layered process audits.

Options
A. Train everyone at once.
B. Train by shift.
Train by area
Give an overview of LPA and
discuss your facility's audit
process.

18 When should the audits

begin?

It is important to wait until you have your

system designed and ready to: schedule
audits, handle audit data including nonconformances, containment activities,
corrective actions, and reports.
Sending out auditors who are well
trained and comfortable with your LPA
system demonstrates the importance of
LPA to improve quality throughout your
facility.

A. Start auditing as you are

building the system.
B. Start auditing in a few pilot
areas after the system is designed
and built.
C. Start auditing in all areas after
the system is designed and built.

Begin the audits when your LPA

system is built and non-auditing
employees and auditors have
been trained. Auditors need to be
comfortable with the checklists.
Your audits should follow your
implementations plan in step 15.

A. Encourage everyone to make

suggestions on how to improve
your LPA system.
B. Define a documented process
for how changes are reviewed and
implemented.
C.
Select and implement appropriate
changes in a timely manner.

On a regular basis, ask your

auditors, operators, and others
how to improve your LPA system.
Make changes in a timely fashion
according to a documented review
and implementation process.

Plan and decide when

to begin auditing.

19 Can changes be made to Evaluate effectiveness Your LPA system should be a dynamic,
the LPA system?
of your LPA system and living system that adds value to your
make recommendations organization.
for changes.

Best Practices
Training for non-auditing
C. employees is done in groups small
D. enough that everyone feels
comfortable enough to ask
questions. Employees need to
understand that Layered Process
Auditing will audit the process and
will not be a blaming, headhunting
expedition. Emphasize that LPA
is designed to improve quality by
reducing variation in the
processes. Employee training
should take about 30 minutes.

Your Plan