Layered Process Audit

A structured layered process audit template for verifying tier rotation, question rotation, closure tracking, and supervisor escalation practices.

Audit Setup and Tier Verification

• Audit tier matches the scheduled rotation for this date/shift
  Verify the inspector is the assigned tier for this audit cycle and shift.
• Audit date, time, area, and shift are recorded correctly
  Confirm the audit record identifies the correct production area, line, cell, or process and the active shift.
• Required audit frequency has been met for this area
  Confirm the audit was completed within the required cadence for the process or area.
• Audit evidence reviewed against the current version of the checklist
  Verify the checklist version in use matches the current approved standard.
• Inspector name and role are documented
  Record the person completing the audit and their role or tier.
• Audit start time
  Record the time the audit began.

Question Rotation Compliance

• Question set used matches the required rotation for this audit cycle
  Confirm the auditor used the correct question group or rotation block for this date/shift.
• Questions are specific, observable, and tied to standard work
  Verify the questions focus on observable process controls rather than general opinions.
• At least one process step was observed directly during the audit
  Confirm the auditor observed the process or workstation rather than relying only on verbal confirmation.
• Any skipped questions were justified and documented
  If a question was not applicable, confirm the reason was recorded.
• Question rotation exceptions
  Document any deviations from the normal question rotation, including temporary process changes or special audits.
• Questions selected covered the highest-risk process controls
  Confirm the audit included questions that address the most critical process risks for the area.

Process Observation and Standard Work

• Observed process matches documented standard work
  Verify the actual work practice aligns with the approved standard work or SOP.
• Visual controls are present and being used as intended
  Confirm labels, markings, boards, or other visual controls are available and effective.
• Any non-conformance observed was documented with clear evidence
  Record the deficiency, location, and what was observed.
• Observed process condition rating
  Rate the overall condition of the process area based on adherence to standard work and control stability.
• Immediate containment action taken if needed
  Document any immediate action taken to contain the issue during the audit.
• Process owner present during observation
  Confirm the area owner, lead, or operator was available for clarification when needed.

Closure Tracking and Corrective Actions

• Open findings from prior audits are reviewed before closing the audit
  Confirm previous audit actions were checked for status and progress.
• Each open finding has an assigned owner and due date
  Verify every open item has a responsible person and target completion date.
• Closure evidence is attached or referenced for completed actions
  Confirm completed actions have objective evidence such as photos, records, or updated documents.
• Corrective actions are effective and prevent recurrence
  Assess whether the implemented action addresses the root cause and is sustaining.
• Aging open items older than the escalation threshold are identified
  Record any overdue items requiring escalation.
• Closure tracking notes
  Add notes on status, barriers, or follow-up needed for open items.

Supervisor Escalation and Follow-Up

• Supervisor was notified for critical or overdue findings
  Verify escalation occurred for items requiring management attention.
• Escalation path followed matches the site procedure
  Confirm the issue was escalated to the correct supervisor, manager, or quality owner.
• Follow-up date for escalated items is documented
  Record the planned follow-up review date for unresolved issues.
• Escalated item summary
  Summarize the issue, owner, and current status for management review.
• Supervisor acknowledged the escalation
  Confirm the supervisor reviewed or acknowledged the issue.
• Inspector signature
  Signature of the person completing the layered process audit.