asq auditing handbook
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7/25/2019 ASQ Auditing Handbook
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T H E
SQ UD IT ING
H N D B O O K
PRIN IPLES IMPLEMENTATION, AND USE
Fourth E dition
SQ
udit Division
J
P
Russel l Edi tor
ASQ Quality Press
M ilwauke e, Wisconsin
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ont nts
Lis t o f Figure s and ables x
F o r e w o r d x i i i
N o t e s t o t he R e a d e r x iv
Acknowledgments xv i i
Overview xvi i i
Part I Au dit ing Fun dam entals 1
Chapter
1
Types of Quality Audits/Part IA 2
1.
M ethod 2
2.
Au ditor-Aud itee Relationship 4
3.
Purpose 6
4.
Com mon Elements with Other Aud its 8
Chapter 2 Purpose and Scope of Audits/Part IB 11
Au dit Reason 11
1. Elem ents of Purpose and Scope 13
2. Benefits of Aud its 16
Chapter 3 Criteria to Au dit Against/Part IC 18
Discussion 18
Au dit Requirem ents 18
Chapter 4 Roles and Responsibilities of Audit Participants/Part ID 21
Au dit Participants 21
Roles and Responsibilities 22
Chapter 5 Professional Co nduct and C on seq uen ces for Auditors/Part IE . . . 26
1. Professional C on du ct an d Resp onsibi l i t ies 26
2. Legal Con sequen ces 38
3 .
A udi t Cred ib i l ity . . . i 41
Part II A ud it Process 47
Chapter 6 Audit Preparation and Planning/Part HA 49
1. Elements of the Au dit Plann ing Process 51
2.
Au dito r Selection 59
3. Aud it-Related Do cum entation 63
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vi Content s
4.
Logistics 67
5.
Au diting Tools and Working Papers 70
6.
Auditing Strategies 75
7.
Com munication and Distribution of the Au dit Plan 79
Chapter 7 Audit Performance/Part IIB 82
1. On-Site Au dit M anagem ent 82
2. Open ing M eeting 85
3. Au dit Data Collection and An alysis 89
4.
Establishment of Objective Evidence 97
5.
Organization of Objective Evidence 98
6. Exit and Closing M eetings 101
Chapter 8 Audit Reporting/Part IIC 107
1. Report Developm ent and Con tent 107
2.
Effective Reports 116
3.
Final Au dit Repo rt Steps 118
Chapter 9 Aud it Follow-up and Closure/Part IID 121
1.
Elements of the Corrective Action Process 121
2. Review of Corrective Action Plan 123
3. Verification of Corrective Action 126
4.
Follow -up on Ineffective Corrective Action 128
5.
Au dit Closure 129
Part III A ud itor Com petencies 133
Chapter 10 Auditor Characteristics/Part IHA 134
Education and Experience 134
Interpersonal Skills 136
Persona l Traits 138
Chapter 11 On-Site Au dit Resource Management/Part HIB
;
139
Time-M anagement Skills 139
Chapter
12
Conflict Resolution/Part IIIC 141
Causes of Conflict 141
M anag ing Difficult Situa tions 142
Team Conflict :. 144
Chapter 13 Com munication and Presentation Techniques/Part HID 145
Basic Rules for Effective Com munication 145
Comm unication Technology 146
Presentation Techniques * 150
Chapter 14 Interv iewing Techniques/Part HIE 151
Conversational Process 151
Avoid Asking Lead ing Qu estions 152
Interviewing a Group of People 153
Using a Translator 153
Co rroborating Information 153
Potential Problem s 154
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CONTENTS vii
Chapter 15 Team Dynam ics/Part HIF 157
1. Team Building 157
2.
Team Facilitation 159
3. Stages of Team Develop me nt 160
Part IV Au dit Program M anag em ent and
Business Ap plications 163
Chapter 16 Audit Program Management/Part IVA 164
1.
Senior M anagem ent Sup port 164
2.
Staffing and Resource M anagem ent 165
3. Aud itor Training and Deve lopm ent 166
4.
Aud it Program Evaluation 170
5.
Internal Aud it Program M anagement 174
6. External Au dit Program M anagem ent (Supplier Aud its) 181
7. Best Practices 186
8. Organizational Risk M anagem ent 188
9. M anagement Review Inp ut 194
M anagement Review 195
Chapter 17 Bu siness and Financial Impact/Part IVB 196
1.
Au diting as a M anagem ent Tool 196
2.
Interrelationship s of Business Processes 199
3. Cost of Qu ality (COQ) Principles 200
4. Em erging Roles of the Au dito r 205
Part V Q ua lity Tools an d Te chn ique s 207
Chapter 18 Basic Quality and Problem-Solv ing Tools/Part VA 208
Pareto Charts 208
Cause-and-Effect Diagram s 209
Flowcharts and Process M app ing 210
Statistical Process Control (SPC) Charts 215
Checklists, Check Sheets, Gu ideline s, and Log Sheets 220
Scatter Diagram s 224
Histograms 225
Root Cau se Analysis 227
Plan-Do-Check-Act (PDC A/PD SA) Cycle 230
Chapter 19 Process Improvem ent Techniques/Part VB 232
1. Six Sigma and the DMAIC M odel. 232
2. Lean \ 234
Chapter 2 Basic Statistics/Part VC 250
1. M easures of Central Tendency 250
2. M easures of Dispersion 251
3. Qualitative and Qu antitative Analysis 253
Patterns and Trends 255
Chapter 21 Process Variation/Part VD 260
1. Comm on and Special Causes (Theory of Variation) 260
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viii C on t en t s
2
Process Performance Metrics 264
3 .
Outliers 265
Chapter 22 Sampling Methods/Part VE 266
Types of Sampling 266
Statistical Sampling Random and Systematic) 268
Sampling Standards Acceptance Sampling) 269
Proportional Stratified Sampling 272
Risks in Sampling 273
Sampling Summary 275
Chapter 23 Change Control and Configuration Management/Part VF 278
Document Control 278
Configuration Management Control 279
Conclusion , 280
Chapter 24 Verification and Validation/Part VG 281
Techniques 281
Process Auditing and Techniques 282
Chapter 25 Risk Management Tools/Part VH 283
Quantification of Risk 283
Failure Mode and Effects Analysis 284
Critical to Quality 285
HACCP 287
HHA 288
Appendix A ASQ Code of Ethics 291
Appendix
B
Notes on Compliance, Conformance, and Conformity 292
Compliance 292
Conformance 292
Conformity 292
Appendix C Example Guide for Technical Specialists
or Subject Matter Experts) 294
Introduction 294
Contact 294
Job Description 294
The Report 295
Appendix D The Institute of Internal Auditors Code of Ethics 296
Introduction 296
Applicability and Enforcement 296
Principles .* 297
Rules of Conduct 297
Appendix E History of Quality Assurance and Auditing 299
Quality Assurance and Audit Functions 299
Theories and Practices in Auditing 301
Environmental, Safety, and Health Programs and Audit Functions 304
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C O N T E N T S i x
Appendix F Certified Quality Auditor Body of Kn owledge 306
Six Levels of Co gnition based on Bloom s Taxonomy (Revised) 315
Appendix G Example Au dit Program Sched ule 317
Appendix H Example Third-Party Au dit Organization Forms 323
Appendix I Example Au dit Reports 333
Appendix
J
Product Line Audit Flowchart 343
Appendix K First Secon d and Third Edition Contributors and
Reviewers 345
N o t e s 351
Gl o s s ar y 358
Index > 363
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