The Process Auditing and Techniques Guide

James P. Russell

Description

Best-selling author J.P. Russell focuses on the methods and techniques of conducting internal and external process audits. Learn how to evaluate process controls, use process flow, turtle, spider and tree diagrams, verify process conformity and effectiveness, and compose an audit report assessing compliance, controls, risk and process optimization. This guide is ideal for individuals who have a general understanding of auditing techniques and is written for auditors who conduct first-, second-, and third-party audits to any standard or work instruction.

Sujets

• Business
• Qualité, hygiène, sécurité, environnement
• Auditing
• Economie gestion
• ISO 9000
• International Organization for Standardization
• Economics
• QMS
• ISO 9001

Informations

• Publié par: ASQ Quality Press
• Date de parution: 18 novembre 2009
• Nombre de lectures: 2
• EAN13: 9780873890069
• Langue: English
• Poids de l'ouvrage: 1 Mo

Extrait

The Process Auditing and Techniques Guide

Aso avaîabe from ASQ Quaîty Press:

ISO Lesson Guîde 2008: Pocket Guîde to ISO 9001-2008, Thîrd Edîtîon Dennîs R. Arter and J. P. Russe

The Internal Audîtîng Pocket Guîde: Preparîng, Performîng, Reportîng and Follow-up, Second Edîtîon J. P. Russe

Contînual Improvement Assessment Guîde: Promotîng and Sustaînîng Busîness Results J. P. Russe

The ASQ Audîtîng Handbook, Thîrd Edîtîon J. P. Russe, edîtîng dîrector

Qualîty Audîts for Improved Performance, Thîrd Edîtîon Dennîs R. Arter

ANSI/ISO/ASQ QE19011S-2004: Guîdelînes for qualîty and/or envîronmental management systems audîtîng—U.S. Versîon wîth supplemental guîdance added ANSI/ISO/ASQ

The Process Approach Audît Checklîst for Manufacturîng Karen Wech

The Management System Audîtor’s Handbook Joe Kausek

Process Drîven Comprehensîve Audîtîng: A New Way to Conduct ISO 9001:2008 Internal Audîts, Second Edîtîon Pau C. Pames

The Certîfîed Manager of Qualîty/Organîzatîonal Excellence Handbook: Thîrd Edîtîon Russe T. Westcott, edîtor

To request a compîmentary cataog of ASQ Quaîty Press pubîcatîons, ca 800-248-1946, or vîsît our Web sîte at http://quaîtypress.asq.org.

The Process Auditing and Techniques Guide

Second Edîtîon

J. P. Russell

ASQ Quality Press Milwaukee, Wisconsin

American Society for Quality, Quality Press, Milwaukee 53203 ©2010 by J. P. Russell All rights reserved. Published 2010 Printed in the United States of America 12 11 10 09 08 07 06 5 4 3 2 1

Lîbrary of Congress Catalogîng-în-Publîcatîon Data

Russell, J. P. (James P.), 1945–  The process auditing and techniques guide / J. P. Russell. — 2nd ed.  p. cm.  Includes bibliographical references and index.  ISBN 978-0-87389-782-2 (alk. paper)  1. Auditing. I. Title.

HF5667.R838 2010 657’.45—dc22

2009052462

No part of this book may be reproduced in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher.

Publisher: William A. Tony Project Editor: Paul O’Mara

Acquisitions Editor: Matt Meinholz Production Administrator: Randall Benson

ASQ Mission: The American Society for Quality advances individual, organizational, and community excellence worldwide through learning, quality improvement, and knowledge exchange.

Attention Bookstores, Wholesalers, Schools, and Corporations: ASQ Quality Press books, videotapes, audiotapes, and software are available at quantity discounts with bulk purchases for business, educational, or instructional use. For information, please contact ASQ Quality Press at 800-248-1946, or write to ASQ Quality Press, P.O. Box 3005, Milwaukee, WI 53201-3005. To place orders or to request a free copy of the ASQ Quality Press Publications Catalog, including ASQ membership information, call 800-248-1946. Visit our Web site at http://www.asq.org or http://www.asq.org/ quality-press.

 Printed on acid-free paper

Contents

Lîst of Fîgures and Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Introductîon. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 1 What Is a Process? . . . . . . . . . . . . . . . . . . . . . . . Process Descrîptîon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Contro of Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Processes Make the System . . . . . . . . . . . . . . . . . . . . . . . . . Advanced Process and System Modeîng . . . . . . . . . . . . . . Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 2 Prepare for the Audît . . . . . . . . . . . . . . . . . . . . . Sectîon I: Organîzîng the Audît . . . . . . . . . . . . . . . . . . . . . . Sectîon II: Process Audît Preparatîon Actîvîtîes . . . . . . . . . .

Chapter 3 Start the Audît . . . . . . . . . . . . . . . . . . . . . . . . . . Openîng Meetîng . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Tour . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Other Meetîngs durîng the Audît . . . . . . . . . . . . . . . . . . . . . Data Coectîon Pans . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 4 Use Process Audît Technîques . . . . . . . . . . . . . . Sectîon I: Investîgatîng (Coectîng Evîdence) . . . . . . . . . . .

v

vîî îx

1 3 7 9 12 12

13 14 25

41 42 46 47 48

51 51

vî

Contents

Sectîon II: Usîng Pan-Do-Check-Act for Contro and Anayze-Change-Do-Prosper for Improvement . . . . . . . Sectîon III: Audîtîng Open-Ended Requîrements . . . . . . . . .

Chapter 5 Verîfîcatîon Audîts: Checkîng Products, Servîces, and Processes . . . . . . . . . . . . . . . . . . Verîfîcatîon Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Need . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Preparîng . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Performîng . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Concusîon . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

63 73

81 82 82 85 88 89

Chapter 6 Analyze and Report Fîndîngs . . . . . . . . . . . . . . . 91 Anayze Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91 Compîance/Conformance Audît Data . . . . . . . . . . . . . . . . . 94 Performance Audît Data . . . . . . . . . . . . . . . . . . . . . . . . . . . 96 System Audîts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98 The Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 Cosîng Meetîng . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102 Endîng the Process Audît . . . . . . . . . . . . . . . . . . . . . . . . . . 103 Cosîng Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104

Appendîx A IDEF3 Model Descrîptîon . . . . . . . . . . . . . . . . . . . 105 Appendîx B Process Control Checklîst . . . . . . . . . . . . . . . . . . 107 Appendîx C Process Audît Report and Correctîve Actîon Record . . . . . . . . . . . . . . . . . . . . . . . . . . . 109 Appendîx D Standard Flowchart Symbols . . . . . . . . . . . . . . . 111 Appendîx E Example Process Map . . . . . . . . . . . . . . . . . . . . . 113 Appendîx F Turtle Dîagram . . . . . . . . . . . . . . . . . . . . . . . . . . . 115 Appendîx G Lean—Eîght Wastes . . . . . . . . . . . . . . . . . . . . . . 117 Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119 Notes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137

List of Figures and Tables

Fîgure I.1Process audîtîng steps. . . . . . . . . . . . . . . . . . . . . x Fîgure 1.13. . . . . . . . . . . . . . . . . . Process înputs and outputs Fîgure 1.25. . . . . . . . . . . . . . . . . . . . . . . Process equîîbrîum Fîgure 1.3Process feedback oop8. . . . . . . . . . . . . . . . . . . . . Fîgure 1.49H bracket process contro . . . . . . . . . . . . . . . . . . . Fîgure 1.5Product organîzatîon . . . . . . . . . . . . . . . . . . . . . . . 10 Fîgure 1.6Busîness systems mode . . . . . . . . . . . . . . . . . . . . 11 Fîgure 2.1Audît strategy: Eement method schedue. . . . . . . 15 Fîgure 2.2Contro eves trîange . . . . . . . . . . . . . . . . . . . . . . 17 Fîgure 2.320Process audîtîng scope . . . . . . . . . . . . . . . . . . . . . Fîgure 2.4Audîtîng strategîes: Department/functîon/ area/actîvîty. . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22 Fîgure 2.5Audîtîng strategîes: Department/functîon/ area/strategîes . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24 Table 2.1. . . . . . . . . . . . . . . . . Creatîng a PFD for the audît 28 Fîgure 2.6PFD for manufacturîng parts . . . . . . . . . . . . . . . . . 31 Fîgure 2.7Tree dîagram for a process . . . . . . . . . . . . . . . . . . 33 Fîgure 2.835. . . . . . . . . . Tree dîagram for a manufacturîng run

vîî

vîîî

Lîst of Fîgures and Tables

Fîgure 2.9Tree dîagram by cause . . . . . . . . . . . . . . . . . . . . . 36 Fîgure 2.10Spîder dîagram of process audîtîng. . . . . . . . . . . . 38 Fîgure 3.1. . . . . . . . . . . . . . . . . . . . . Areas of îmîted access 44 Fîgure 3.2Reference and îdentîfîcatîon numbers. . . . . . . . . . 47 Fîgure 3.348Data coectîon pan . . . . . . . . . . . . . . . . . . . . . . . Fîgure 4.1Sampe takîng and testîng for the tracîng process53. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fîgure 4.2Process performance îndîcators58. . . . . . . . . . . . . . Table 4.1The PDCA process technîque . . . . . . . . . . . . . . . . . 65 Fîgure 4.3PDCA evîdence . . . . . . . . . . . . . . . . . . . . . . . . . . . 67 Fîgure 4.4Pan ît–do ît–check ît–act on ît70. . . . . . . . . . . . . . . Table 4.2The ACDP process technîque. . . . . . . . . . . . . . . . . 71 Fîgure 4.5ACDP evîdence . . . . . . . . . . . . . . . . . . . . . . . . . . . 72 Table 4.3. . . . . . . . . . . . Types of open-ended requîrements 75 Fîgure 6.1Sort your data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 Fîgure 6.2Tests94. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fîgure 6.3Report form 100. . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Introduction

hîs book focuses on methods and technîques to conduct process audîts for verîfîcatîon and vaîdatîon purposes. ab T e înformatîon to management and oversîght organîzatîons Interna and externa process audîts provîde very vau- about day-to-day work and operatîons. Thoughprocess audît îs defîned în severa texts, there îs no standard of common conventîons or accepted practîces. Whîe management sys- tem audîts are about what Joseph Juran caed the “Bîg Q,” process audîts are about the “îtte q,” for quaîty assurance and quaîty contro purposes. In thîs book we wî foow the steps shown în Fîgure I.1. Every attempt has been made to focus on process audît tech- nîques and not repeat common system audît practîces found în books such as the thîrd edîtîon ofThe ASQ Audîtîng Hand- book. Readers ofThe Process Audîtîng and Technîques Guîde shoud aready know basîc audîtîng technîques, such as how to conduct întervîews or deveop a checkîst. The technîques presented în thîs book can be used by audîtors who conduct fîrst-, second-, or thîrd-party audîts on any standard, proce- dure, or work înstructîon. ISO 9001 exampes are used în the

î

x