The documentation looks good. The Control Plan is up to date. The work instruction is available at the workstation. The operator has been trained. Inspection records have been completed.

Does this mean that the process is operating in accordance with the requirements?

Not necessarily.

Only during a visit to the shop floor does it become apparent that the operator is performing the inspection using a different measuring device from the one specified in the Control Plan. The results are entered at the end of the shift, while suspect parts are placed in an unlabelled container under the assembly table.

This is exactly where a Go&See audit can help.

What Is a Go&See Audit?

Go&See means going to the place where the work is performed, the product is manufactured or the problem has occurred.

The auditor does not base the assessment solely on procedures, reports and explanations provided in a conference room. The auditor goes to the production area, observes the process, talks to the operator and compares the actual situation with the applicable requirements.

The Go&See approach is connected with the Japanese principle of Genchi Genbutsu, which can be understood as verifying facts directly at the place where they occur.

In this article, I use the term Go&See audit to describe a practical verification of a process on the shop floor. It is not a separate audit standard with a mandatory form, a predefined scoring method or specific auditor qualification requirements.

Go&See can be applied during:

• a process audit,
• a supplier audit,
• a Layered Process Audit,
• a customer complaint investigation,
• QRQC activities,
• an 8D investigation,
• an A3 analysis,
• verification of corrective actions,
• daily process supervision.

The objective is simple: to see how the process operates under normal working conditions.

Go&See Audit, Gemba Walk, LPA and Process Audit

These terms are sometimes used interchangeably, even though they do not have the same objectives.

Go&See can be part of any of these activities.

However, simply entering the production area does not mean that an audit has been conducted. An audit requires an objective, a defined scope, reference requirements, evidence and a decision regarding further actions.

When Should a Go&See Audit Be Conducted?

Go&See is often associated with responding to a customer complaint, but its application is much broader.

A Go&See audit can be conducted when:

• a customer has reported a quality problem,
• the number of internal defects or rework activities has increased,
• differences have been identified between production shifts,
• a new product is being launched,
• new tooling has been implemented,
• a material, process parameter or inspection method has been changed,
• the auditor wants to confirm that a Poka-Yoke device is working,
• the effectiveness of an action implemented after an 8D report must be assessed,
• a similar problem has occurred on another production line or at another plant.

There is no need to wait for a customer complaint. A short Go&See audit can identify a deviation before a nonconforming product leaves the plant.

How to Prepare for a Go&See Audit

A good audit begins before entering the production line.

However, this does not mean spending half a day reviewing documents. The purpose of preparation is to help the auditor understand the process and select the areas that need to be verified.

Define the Objective

The objective should answer the following question:

What do I want to confirm during the process visit?

The objective may be to:

• verify how a special characteristic is inspected,
• confirm the reaction to an out-of-specification result,
• check material traceability,
• verify the operation of a Poka-Yoke device,
• assess the implementation of an action following a customer complaint,
• confirm process compliance with the Control Plan,
• verify how nonconforming products are controlled.

An objective such as “check the process” is too broad.

The auditor may see many things but still fail to collect the evidence needed to answer the most important question.

Define the Scope

The scope may include:

• the part number being manufactured,
• the production line,
• a specific operation,
• a selected production shift,
• a specific batch,
• the inspection system,
• the process from material receipt to shipment.

When investigating a customer complaint, it is useful to start with the operation where the problem could have been generated and the operation where it should have been detected.

This distinction is important because these are not always the same workstation.

Prepare the Reference Documents

Depending on the objective, the following documents may be required:

• process flow diagram,
• PFMEA,
• Control Plan,
• work instruction,
• inspection instruction,
• technical drawing,
• SPC results,
• internal defect report,
• 8D report,
• first-off approval record,
• traceability requirements,
• nonconformity reaction standard.

Do not take the entire document folder with you. Select only the documents related to the audited operation and the risk you want to verify.

Go&See Audit Step by Step

Step 1: Go to the Place Where the Work Is Performed

This may sound obvious, but a significant part of many audits still takes place mainly at a desk. The auditor reviews a presentation, checks a procedure, examines several records and asks the process manager whether everything is operating according to plan.

The answer is easy to predict.

During a Go&See audit, you go to the place where:

• material enters the process,
• the operation is performed,
• a particular product characteristic is created,
• a defect may be generated,
• the product is inspected,
• nonconforming parts are placed,
• the decision to release a batch is made.

At the beginning, explain to the operator what you are going to verify. The purpose is to assess the process, not to catch an employee making a mistake.

Step 2: Observe the Complete Cycle

Do not assess a process after observing only one activity.

Observe the complete cycle, from collecting the component to placing the finished part in its designated location. For short operations, observe several consecutive production cycles.

Check:

• the sequence of activities,
• how the material is collected,
• the tools being used,
• how the part is positioned,
• how the product is inspected,
• how the result is recorded,
• how the finished product is identified,
• how the operator responds to a disruption.

Pay particular attention to activities performed only occasionally.

These may include first-off inspection, Poka-Yoke verification, changeover or a measurement performed once per hour.

During a 15-minute audit, it is easy to miss such an activity. Ask the operator to demonstrate it.

Step 3: Ask the Operator to Demonstrate the Process

Closed questions produce predictable answers.

“Do you perform the inspection in accordance with the instruction?”

The most common answer will be: “Yes.”

A better question is:

“Please show me how this characteristic is inspected.”

The operator can then demonstrate:

• which measuring or inspection device is selected,
• where the requirement can be found,
• how the part is positioned,
• how many measurements are taken,
• where the result is recorded,
• what happens when a nonconforming result is obtained.

The auditor receives evidence rather than a declaration.

Good Go&See questions begin with:

• show me,
• explain,
• what do you do when,
• how do you know,
• where can you find,
• who makes the decision.

Step 4: Compare Actual Practice with the Standard

Compare the observed work with the documentation. Check whether the following elements are consistent:

• sequence of operations,
• process parameters,
• inspection frequency,
• measurement method,
• measuring or inspection device being used,
• sample size,
• acceptance criteria,
• reaction method,
• product identification,
• method of recording results.

Also look for consistency between the documents.

For example, the PFMEA may specify automatic inspection, the Control Plan may require manual measurement, while the work instruction may not include either method. At the workstation, the operator may be performing only a visual inspection.

Each document may appear correct when reviewed separately. Only a direct comparison reveals the problem.

Step 5: Check the Product and Material

A Go&See audit does not end with observing the operator.

Physically check:

• components entering the process, including their storage and delivery to the workstation,
• packaging,
• material labels,
• work-in-progress,
• parts after inspection,
• finished products,
• the container for nonconforming parts,
• OK and NOK reference samples,
• the status of batches awaiting a decision.

Pay attention to parts placed next to the workstation.

An unlabelled container, a part left on a windowsill—I once saw one being used to keep a window open at a technical centre—or several components stored in a team leader’s cabinet may indicate a gap in the process for controlling suspect products.

Ask:

“What is the status of these parts?”

When nobody can provide an answer, you have a starting point for further verification.

Step 6: Verify the Records

A record should confirm that an activity has been performed. A signature alone does not provide sufficient assurance that the inspection was conducted correctly.

Check:

• when the record was created,
• who entered the data,
• whether the result corresponds to the batch being manufactured,
• whether the inspection frequency is consistent with the Control Plan.

An example?

The Control Plan requires five parts to be measured every hour. However, the inspection form contains only one result per hour.

Did the operator measure five parts and record only one result? Was only one part measured? Was the result copied from an earlier measurement?

Do not assume what happened. Ask the operator to demonstrate how the inspection is performed.

Step 7: Assess the Risk

Not every deviation has the same impact.

A missing signature on a form may be a documentation error. Failure to inspect a safety characteristic may require shipments to be stopped and previously manufactured batches to be inspected.

The auditor should determine:

• which products may be affected,
• when the deviation began,
• how many parts have been manufactured,
• where the suspect batches are located,
• whether any parts may have reached the customer,
• whether a subsequent inspection would detect the problem,
• whether containment activities must be initiated,
• whether the customer should be informed.

At this stage, Go&See connects with QRQC and the 8D methodology.

First, protect the process and the customer. A complete root cause analysis may require more time.

Step 8: Document the Finding and Assign an Action

A photograph alone does not constitute a complete audit finding. A description such as “poor cleanliness at the workstation” also provides very little useful information.

A good finding should contain four elements:

• the requirement,
• the actual condition,
• the evidence,
• the risk or potential consequence.

For example:

The Control Plan requires the diameter to be measured every hour using a sample of five parts. The records from the second shift on 14 May contain only one result per hour. The operator confirmed that only one part is measured. This reduces the ability to detect process variation in accordance with the defined inspection method.

Each action should have:

• an owner,
• a deadline,
• an expected result,
• a method for confirming implementation,
• a date for verifying effectiveness.

In this case, an action described as “Retrain the operator” will often be insufficient.

You need to establish why the process allowed work to be performed inconsistently with the standard. The cause may be an unclear instruction, insufficient time within the production cycle, an outdated Control Plan or inadequate supervision of the shift.

Questions to Ask During a Go&See Audit

The following questions can be adapted to the process:

• Please show me how this operation is performed.
• How do you know which product is currently being manufactured?
• How do you check whether the process parameters are correct?
• Which product characteristics must be inspected?
• How often is the inspection performed?
• Please show me the most recent measurement result.
• What happens when a result is outside the specification?
• Who is authorised to stop the process?
• Where is a suspect part placed?
• How is a nonconforming product identified?
• How is the Poka-Yoke device verified?
• Please demonstrate the test using an NOK reference sample.
• What happens after a machine breakdown?
• How is the first good part confirmed after a restart?
• How is information transferred to the next shift?
• When did a problem last occur at this workstation?
• What action was implemented?
• How was its effectiveness verified?
• What would need to happen for a nonconforming part to be produced at this workstation?

This final question is particularly useful when verifying the information contained in the PFMEA.

Operators often know the shortcuts, workarounds, bypasses and weak points of a process. You simply need to give them an opportunity to talk about them.

Fact, Opinion or Assumption?

It is easy to confuse these types of information during an audit.

The auditor should record what was seen, heard and confirmed.

Do not assess the employee’s intentions. The statement “the operator ignored the instruction” suggests that you know the operator’s motivation.

A safer statement would be:

During the four observed cycles, the operator did not perform the inspection required by section 5 of the workstation instruction.

This description can be verified.

The Most Common Mistakes During a Go&See Audit

Conducting the Audit from Behind a Desk

The auditor analyses procedures and records but does not observe the operation being performed.

The documentation shows the intended process. Go&See shows the process as it is actually performed. Both perspectives are necessary.

Talking Only to the Manager

The manager knows the objectives, performance indicators and requirements. The operator knows how the work is performed every day.

When the auditor talks only to the person managing the process, issues related to tool availability, cycle time, shift handover and responses to disruptions may remain undiscovered.

Asking Leading Questions

“Do you always check the first part?”

This question suggests the expected answer.

Instead, ask the operator to show you the most recent first-off approval record and demonstrate how the inspection was performed.

Observing Only One Cycle

One correctly performed cycle does not confirm a stable way of working.

The operator may improve the positioning of the part, skip the inspection during the next cycle or use two different methods depending on the situation.

Assessing the Employee Instead of the Process

“Operator error” is a convenient way to end an investigation.

However, it is still necessary to check:

• whether the instruction is clear,
• whether the employee has been trained,
• whether sufficient time is available to perform the inspection,
• whether the inspection tool is available,
• whether the specified method can realistically be applied.

Proposing a Solution Immediately

The auditor identifies a problem and immediately says: “The operator needs to be retrained.”

Perhaps.

First, the facts must be collected and the reason why the process operates differently from the documented method must be understood.

Otherwise, the action may remove the symptom for a few days, but the problem will return.

Failing to Revisit the Process

The action has been closed in the system. A revised instruction and a training attendance sheet have been attached.

Does this mean that the process is now operating correctly?

You need to return to the workstation and verify it.

Go&See should also be used when assessing the effectiveness of implemented actions.

Go&See Audit Checklist

Before completing the audit, verify the following areas.

Preparation

• Has the audit objective been clearly defined?
• Does the scope cover the product, process and production shift?
• Do I have the correct reference documents?
• Am I familiar with recent problems and customer complaints related to the process?

Observation

• Have I observed the complete work cycle?
• Have I observed several consecutive cycles?
• Have I checked the material, product and identification?
• Have I observed the inspection being performed?
• Have I checked the reaction to a nonconforming result?
• Have I verified the Poka-Yoke or another error-prevention device?

Discussion with the Operator

• Have I asked open-ended questions?
• Have I asked the operator to demonstrate the activities?
• Have I spoken to the person who actually performs the work?
• Have I checked how information is transferred between shifts?

Evidence

• Have I compared the PFMEA with the Control Plan and the work instruction?
• Have I checked records from the same batch or production shift?
• Have I separated facts from opinions?
• Have I determined the scope of the products potentially affected by the risk?

Actions

• Has containment been initiated where necessary?
• Does every action have an owner and a deadline?
• Has the method for assessing effectiveness been defined?
• Has a follow-up Go&See visit been planned?

Before Returning to the Conference Room

After completing the observation, remain at the process for a moment.

Check whether you can answer three questions:

• How should the process operate?
• How did it operate during the audit?
• What risk results from the difference between these two conditions?

When the answers are based on evidence, the Go&See activity has achieved its purpose.

When the answers are based mainly on assurances that “we always do it correctly,” you need to spend more time on the shop floor.

Would you like to organise your production-floor visits more effectively? Download the free “Go&See Audit: Questions and Areas to Check” checklist and use it during your next process audit.

Dariusz Kowalczyk