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Auditing Beyond Compliance , livre ebook

ASQ Quality Press - Janet Bautista Smith

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111 pages

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A propos
Informations
Extrait

Description

This publication introduces a portable audit model to facilitate a simple, flexible, and effective audit of single or multiple quality system standards and achieve both compliance and initiation of improvement initiatives. This model is similar to a universal adaptor plug, allowing easy connection and interchangeability of the multiple standards even under rapid system changes typical of modern day operations. This universal plug will allow focus on compliance verification and improvement at a high level of consistency with minimum process disruption and cost.
Emphasis is not only on compliance but also on improvement partnership with operations through the use of strategy models. These strategy models will help accentuate the internal audit role as a dynamic element and catalyst for improvement. Real life-based challenges (masked identity) are used in case studies to demonstrate the application of typical internal audit methodologies combined with an implementation engine such as Lean auditing strategies. This will clarify theories that are commonly viewed as abstract by the novice and, in some cases, misunderstood by experienced professionals.
This is the breakthrough from a dormant internal audit program into a proactive tool for added-value improvement. Lean methodology is integrated through simple models that don’t require one to be a Lean or Black Belt guru. The focus is using logical sense to understand and apply the concept.

Sujets

Business

Qualité, hygiène, sécurité, environnement

Auditing

Economie gestion

Economics

Informations

Publié par	ASQ Quality Press
Date de parution	13 juin 2012
Nombre de lectures	0
EAN13	9781953079893
Langue	English
Poids de l'ouvrage	2 Mo

Informations légales : prix de location à la page 0,1850€. Cette information est donnée uniquement à titre indicatif conformément à la législation en vigueur.

Extrait

Auditing Beyond Compliance

Also available from ASQ Quality Press:

The ASQ Auditing Handbook, Third Edition J.P. Russell, editing director

Quality Audits for Improved Performance, Third Edition Dennis R. Arter

The Internal Auditing Pocket Guide: Preparing, Performing, Reporting and Follow-up, Second Edition J.P. Russell

Process Driven Comprehensive Auditing: A New Way to Conduct ISO 9001:2008 Internal Audits, Second Edition Paul C. Palmes

AS9101D Auditing for Process Performance: Combining Conformance and Effectiveness to Meet Customer Satisfaction Chad Kymal

Lean Acres: A Tale of Strategic Innovation and Improvement in a Farm-iliar Setting Jim Bowie

Lean ISO 9001: Adding Spark to your ISO 9001 QMS and Sustainability to your Lean Efforts Mike Micklewright

The Quality Toolbox, Second Edition Nancy R. Tague

Mapping Work Processes, Second Edition Bjørn Andersen, Tom Fagerhaug, Bjørnar Henriksen, and Lars E. Onsøyen

Root Cause Analysis: SimpliIed Tools and Techniques, Second EditionBjørn Andersen and Tom Fagerhaug

The CertiIed Manager of Quality/Organizational Excellence Handbook,Third Edition Russell T. Westcott, editor

To request a complimentary catalog of ASQ Quality Press publications, call 800-248-1946, or visit our Web site at http://www.asq.org/quality-press.

Auditing Beyond Compliance

Using the Portable Universal Quality Lean Audit Model

Janet Bautista Smith ASQ/GE LSS Black Belt, CQA, CQE, CQM

ASQ Quality Press Milwaukee, Wisconsin

18 17 16 15 14 13 12 5 4 3 2 1

Library of Congress Cataloging-in-Publication Data

Bautista Smith, Janet Auditing beyond compliance: using the portable universal quality lean concept/ Janet Bautista Smith. p. cm. Includes bibliographical references and index. ISBN 978-0-87389-840-9 (softcover : alk. paper) 1. Auditing. I. Title. HF5667.B268 2012 657’.45—dc23 2012013441

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 Acquisitions Editor: Matt T. Meinholz Project Editor: Paul Daniel O’Mara 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, video, audio, 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 ASQ membership information, call 800-248-1946. Visit our Web site at www.asq.org/quality-press.

Printed on acid-free paper

Dedication

This book is lovingly dedicated to my son Daniel, my husband Chet, my father Ben, and my nephew Nathan.

This page intentionally left blank.

Contents

List of Figures and Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 1 Auditing Beyond Compliance Model . . . . . . . . . . . . . .

Chapter 2 Advocate the Philosophy . . . . . . . . . . . . . . . . . . . . . . . . . How Do You Audit Beyond Compliance? . . . . . . . . . . . . . . . . . . How Do You Advocate the Philosophy of Auditing Beyond Compliance?. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . What Tools Will Lead to These Discoveries During Auditing Beyond Compliance? . . . . . . . . . . . . . . . . . . . . . . . . Auditing Beyond Compliance —Alignment with the Business Plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 3 Selection of Concept Transporter . . . . . . . . . . . . . . . . . . Business Mission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The Tiered or Layered Audit Program. . . . . . . . . . . . . . . . . . . . . . Tribal Knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 4 Develop a Dynamic Universal Roadmap . . . . . . . . . . . Using the PUQL Audit Template . . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 5 Application of the PUQL Audit Model. . . . . . . . . . . . .

vii

5 5

15 16 18 19

23 27

viiiContents

Chapter 6 Lean-Six Sigma (LSS) Tools Integrated with the Audit Program. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Open Communication, Not Silos . . . . . . . . . . . . . . . . . . . . . . . . . . SIPOC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Value Stream Map. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Fishbone Diagram. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 Whys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Identiîcation of Common Wastes. . . . . . . . . . . . . . . . . . . . . . . . . Pareto Chart Analysis of the Vital Few . . . . . . . . . . . . . . . . . . . . . Critical-to-Quality (CTQ) Metrics . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 7 Typical LSS Measures of Success. . . . . . . . . . . . . . . . . . Effective Measurements of Success . . . . . . . . . . . . . . . . . . . . . . . . Inconspicuous, Difîcult-to-obtain Deliverables. . . . . . . . . . . . . . PUQL Change Validation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 8

Identiîcation of Wastes. . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 9 Other Lean-Based Audit Report Formats . . . . . . . . . . . Audit Report Cover Sheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Project Charters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Chapter 10

Avoiding an Untimely End of the Program . . . . . . . .

References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

37 37 39 44 45 46 48 49 52

55 55 57 62

71 72 77

List of Figures and Tables

Figure 1.1

Table 2.1 Figure 2.1 Figure 2.2

Figure 3.1 Figure 3.2 Figure 3.3

Figure 4.1 Figure 4.2 Figure 4.3

Figure 5.1 Figure 5.2 Figure 5.3 Figure 5.4 Figure 5.5 Figure 5.6

Figure 6.1 Figure 6.2 Figure 6.3 Figure 6.4 Figure 6.5 Figure 6.6 Figure 6.7

Audit Beyond Compliance model . . . . . . . . . . . . . . . . . . . . . . . .

Examples of auditing beyond compliance . . . . . . . . . . . . . . . . . Audit metrics aligned with company plan . . . . . . . . . . . . . . . . Alignment of the auditing beyond compliance model with the business plan. . . . . . . . . . . . . . . . . . . . . . . . . . . .

Scale of Scrutiny.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Tiered audit structure outline. . . . . . . . . . . . . . . . . . . . . . . . . . . . Layered (tiered) audit: purpose and beneîts. . . . . . . . . . . . . . .

PUQL phases: Concept Concept Transporter Concept Converter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PUQL system concept . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PUQL audit template. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

PUQL audit of documentation requirements . . . . . . . . . . . . . . PUQL audit of human resources . . . . . . . . . . . . . . . . . . . . . . . . . PUQL audit of control of non-conforming product . . . . . . . . . PUQL audit of internal audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . PUQL audit of container seals (Custom Trade Partnership Against Terrorism Security policy) . . . . . . . . . . . . PUQL audit of customer requirement: order completion process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Major types of information ow. . . . . . . . . . . . . . . . . . . . . . . . . Typical SIPOC diagram for a corrective action program . . . . . S-Square layout of sub-process D . . . . . . . . . . . . . . . . . . . . . . . . Simpliîed SIPOC diagram. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Analysis of evidence using a simple owchart andcycle time review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Value stream map of product X . . . . . . . . . . . . . . . . . . . . . . . . . . Analysis of corrective and preventive action effectiveness using îshbone diagram. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10 13

17 18 21

24 25 26

30 31 32 33

38 40 42 43

43 44