Turtle Diagrams

There are a few ways an organization may retain documented information as evidence of the
implementation of the audit program and the audit results. Prepared check sheets or
customized question lists are commonly used to drive the audit fact finding. One option used
by both internal and external auditors is the process diagram or “turtle diagram,” an example of
which is shown in Figure 9.2. The auditor uses this type of diagram to collect and record input
and output data for a process in the “head” and “tail,” while the four “legs” capture the related
equipment, machines, and measuring devices; the employees involved (training); the process
metrics or measures; and the methods or procedures defining the process and controls.

EQUIPMENT PEOPLE

INPUT PROCESS OUTPUT

METHODS METRICS

Figure 9.2: Turtle Diagram

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 While the process diagram can be used effectively to collect evidence during an audit,
this technique is prone to error if the auditor is not properly trained and the person being
interviewed does not understand the terms and the questions being asked. Often times, the
auditor will not include sufficient evidence of what was audited. I think the process diagram is
best used in preparing for an audit—and should be supplemented with conventional check
sheets during the actual audit and interviews. Figure 9.3 shows a process diagram for the audit
of an injection molding process. I have witnessed effective use of process diagrams as a tool to
train members of a department on the inputs and outputs of the process; who the customers are;
what interactions their process have with other processes- and how their process measures
results.
When using a process diagram, prior to interviewing the operating personnel, the
auditor should meet with various personnel involved in the process planning and collect
information on the inputs, raw materials, etc. The support documentation to control the process,
the specific equipment involved, and the parameters to measure the effectiveness of the process
are researched and recorded by the auditor. The employees involved in supporting the process
being audited are identified as well. This information assists the auditor in verifying the
training required for operations, quality, and maintenance personnel. Finally, the output of the
process provides the auditor with information on quality acceptance criteria and lot quantities.

MOLD OPERATOR
MOLD #1
QUALITY
DIE DR31
ENGINEER
DRYER#1
MAINTENANCE

RESINS
INJECTION PART JONES
LOT 12-13
MOLDING SKU 777

SET-UP SOP15
TRAVELLER JONES WASTE
QUALITY PLAN 322 CYCLE TIME
DEFECT. %

Figure 9.3: Process diagram for an injection molding process.

An audit check sheet can then be used to control the interviews during the audit. In a
production or service operation, the check sheet can be organized as process based audit to
combine several clauses of ISO 9001:2015. An example of a check sheet for a production process
is shown in Figure 9.4.

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Process: Production and service provision Clause: 8.5
Date:
Auditor: Auditees:

C = conforming; NC= nonconforming; O= Opportunity

Interview a few production employees to Location/ Name of equipment:
verify the processes used to manufacture
the product match the production plans. Employee Name(s):

Review information being used:

- Instructions/ drawings for the product?
- Revisions correct?
- Prior Operations are approved?
- Product and materials Identified?
- Traceability (8.5.2)?
Review quality inspections (8.6):
- Raw material approval
- 1st article
- In-process
- Release to next process
Witness inspection process, if applicable.
Review inspection devices (7.1.5.2): List here and verify in section 7.1.5.2
- Devices identification?
- Calibrations current?
Review process used when product Record under section 8.7.1
measured does not meet the inspection
specification (8.7.1).
Review process used for preventive Record under section 7.1.3
maintenance (7.1.3).
- Equipment operator
- Maintenance department
- Safety devices
Review training records for employee (7.2) Record under section 7.2
(record names for audit of Training)
Review employee’s knowledge of:
- Quality Policy (5.2)?
- Quality Objectives (7.2)?
- How Quality Policy and Objectives
relates to employee?
Review the process the employee uses to
suggest improvements to this operation
(10.3).
Comments/ NCs/ Opportunities:

Fig. 9.4: Check Sheet for a Production Process Audit

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