ASQ Auditing Handbook

7/25/2019 ASQ Auditing Handbook

http://slidepdf.com/reader/full/asq-auditing-handbook 1/6

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



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



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



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



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



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

Documents

ASQ Auditing Handbook