Managing Organizational Risk Using the Supplier Audit Program

155 pages

English

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ASQ Quality Press - Lance B. Coleman

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155 pages

English

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Description

Risk elimination. Risk management. Risk mitigation. These terms are an increasingly important part of the lexicon of executive-level management as they strive to succeed in a business environment having global competition, geographically diverse suppliers, and new technologies. In this new, globally expansive marketplace, more than 50 percent of value creation is achieved outside of an organization's walls, or, in other words, through their suppliers. This, too, is where the majority of product realization risk lies.
This book defines what risk-based thinking is and how to apply it from the perspective of helping manage organizational risk through the supplier audit process. It provides a detailed and useful discussion of the practical application of risk-based supplier auditing principles. It can be a primer for those new to the profession of supplier auditing, and it also shares tips and best practices that would benefit experienced auditors as well.
The first section explores supplier management, supplier auditing, and the supplier audit process. The second section discusses the skills, both traditional and nontraditional, needed to ensure a successful supplier audit. Relevant aspects of ASQs Certified Quality Auditor (CQA) and Certified Supplier Quality Professional (CSQP) Bodies of Knowledge are discussed in detail.
The author's friends and colleagues from around the globe shared their own stories in Case in Point-vignettes interspersed throughout the book, providing first-hand case studies from, among others, the medical device, logistics, automotive, and aerospace industries.

Sujets

Business

Qualité, hygiène, sécurité, environnement

Auditing

Economie gestion

risk management

Economics

Informations

Publié par	ASQ Quality Press
Date de parution	06 avril 2018
Nombre de lectures	0
EAN13	9781953079190
Langue	English
Poids de l'ouvrage	4 Mo

Informations légales : prix de location à la page 0,2750€. Cette information est donnée uniquement à titre indicatif conformément à la législation en vigueur.

Extrait

Managing Organizational Risk Using the Supplier Audit Program

Also available from ASQ Quality Press:

Advanced Quality Auditing: An Auditor’s Review of Risk Management, Lean Improvement, and Data Analysis Lance B. Coleman, Sr. The Certified Supplier Quality Professional Handbook Mark Allen Durivage, editor The ASQ Auditing Handbook,Fourth Edition J.P. Russell, editor Proactive Supplier Management in the Medical Device Industry James B. Shore and John A. Freije The ASQ Supply Chain Management Primer ASQ’s Customer–Supplier Division and J.P. Russell, editor Quality Risk Management in the FDA-Regulated Industry,Second Edition José Rodríguez-Pérez The ISO 9001:2015 Implementation Handbook: Using the Process Approach to Build a Quality Management System Milton P. Dentch The Certified Six Sigma Yellow Belt Handbook Govindarajan Ramu Handbook of Investigation and Effective CAPA Systems,Second Edition José Rodríguez-Pérez Practical Design of Experiments (DOE): A Guide for Optimizing Designs and Processes Mark Allen Durivage Quality Risk Management in the FDA-Regulated Industry José Rodríguez-Pérez The Certified Pharmaceutical GMP Professional Handbook,Second Edition FDC Division and Mark Allen Durivage, editor Failure Mode and Effect Analysis: FMEA from Theory to Execution,Second Edition D. H. Stamatis

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

Managing Organizational Risk Using the Supplier Audit Program

An Auditor’s Guide Along the International Audit Trail

Lance B. Coleman, Sr.

ASQ Quality Press Milwaukee, Wisconsin

Library of Congress CataloginginPublication Data

Names: Coleman, Lance B., Sr., 1962– author. Title: Managing organizational risk using the supplier audit program : an auditor’s guide along the international audit trail / Lance B. Coleman, Sr. Description: Milwaukee, Wisconsin : ASQ Quality Press, [2018] | Includes bibliographical references and index. Identifiers: LCCN 2018006191 | ISBN 9780873899680 (hard cover : alk. paper) Subjects: LCSH: Materials management. | Risk management. | Auditing, Internal. Classification: LCC TS161 .C595 2018 | DDC 658.7—dc23 LC record available at https://lccn.loc.gov/2018006191

ISBN: 978-0-87389-968-0

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.

Ray Zielke: Director, Quality Press and Programs Paul Daniel O’Mara: Managing Editor Randall L. Benson: Sr. Creative Services Specialist

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 website at http://www.asq.org/quality-press.

Printed on acid-free paper

This book is, first and foremost, dedicated to my beautiful wife of over 31 years, Lorraine. You graciously put up with all the foibles inherent in living with a continuously improving, lean thinking, quality engineering, comic book reading, auditor-for-life kind of husband. You remain both my love and my inspiration. Next, to the newest addition to our family, my wonderful grandson Sheldon Kenneth Johnson Jr. Truly, the best is yet to come. I also want to dedicate this book to my children from birth—Larissa, Lauren, Lance Jr., and Latrice—as well as to my adoptive children, Sheldon Sr. and Veronica. A parent’s greatest wish is for happy, healthy children that have an expanded worldview, with the potential to do more and tobemore. You, my children, have granted me that blessing. And last, but not least, I dedicate this book to my two dogs, Leo and Shii, for always making my return home a cause for celebration, even on the worst of days.

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Table of Contents

List of Figures and Tables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Acknowledgments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part I: Supplier Auditing and the Supplier Audit Program Chapter 1: Managing Organizational Risk Using the Supplier Audit Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Chapter 2: Conducting a Successful RiskBased Supplier Audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Execution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Closure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Auditing “Hacks” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Desk Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Virtual Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Case in Point: We May Have Become a Little Complacent: Or a Practical Application of Risk-Based Thinking . . . . . . . . . . . . . . . . . . . . . . . . . . . Case in Point: Catfight: A Tale Showing the Pros and Woes of Virtual AuditingBy Shauna Wilson. . . . . . . . . Chapter 3: International Auditing . . . . . . . . . . . . . . . . . . . . . . . . . Travel Logistics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Audit Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Other Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

vii

ix xi xiii xv

21 22 30 41 43 43 45 47

51 57 57 59 61

viii Table of Contents

Case in Point: The Congolese Bienvenue: When Audit Logistics Are Unusually DifficultBy James Metto. . . . Case in Point: International Audit Logistics: A Funny Thing Happened on the Way Down the Audit Trail By Kristen Wagner. . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part II: Supporting Skills Chapter 4: Auditor Soft Skills and Ethical Considerations . . . . Case in Point: Differing Point of View . . . . . . . . . . . . . . . . Case in Point: Managing a Difficult and Nontransparent Auditee: The Power of Subliminal Messaging By Janet Bautista-Smith. . . . . . . . . . . . . . . . . . . . . . . . . Case in Point: You Can’t Judge a Book by Its Cover By Sheronda Jeffries. . . . . . . . . . . . . . . . . . . . . . . . . . . .Chapter 5: The TwentyFive Questions . . . . . . . . . . . . . . . . . . . . . Planning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Execution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Closure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Case in Point: The Power of the Process Approach: Driving Smarter Questions That Lead to More Meaningful Audit Findingsby Denis Devos . . . . . . . . . Chapter 6: A Little Data’ll Do Ya: Basic Statistics and Data Analysis for Auditors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Z-Score . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Case in Point: “But the Screen Didn’t Turn Red!”: The Importance of Identifying and Responding to Negative Trends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Conclusion: So, What Was This All About Anyway? . . . . . . . . . Appendix: ISO 19011:2018 User’s Guide . . . . . . . . . . . . . . . . . . . Glossary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

73 80

84 87 87 88 89 89

95 97

107 111 115 119 121 123

List of Figures and Tables

Figure I.1 Figure I.2 Figure I.3 Figure I.4 Figure 1.1 Figure 1.2 Figure 1.3 Figure 1.4 Figure 1.5 Table 1.1 Table 1.2 Table 1.3 Table 1.4 Figure 1.6 Figure 1.7 Figure 2.1 Figure 2.2 Figure 2.3 Figure 2.4 Figure 2.5

Figure 2.6

Figure 2.7 Figure 2.8

Supply chain system model. . . . . . . . . . . . . . . . . . . . . . . . . . . SCOR model. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Supplier life cycle management model. . . . . . . . . . . . . . . . . . Peter Kraljic’s adapted portfolio segmentation model. . . . . . Supplier auditing decision tree. . . . . . . . . . . . . . . . . . . . . . . . Supplier management process. . . . . . . . . . . . . . . . . . . . . . . . . Risk-based thinking process map. . . . . . . . . . . . . . . . . . . . . . OTD issues versus quality issues . . . . . . . . . . . . . . . . . . . . . . OTD issues versus business risk. . . . . . . . . . . . . . . . . . . . . . . Impact assessment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Frequency of occurrence assessment. . . . . . . . . . . . . . . . . . . Supplier audit priority list. . . . . . . . . . . . . . . . . . . . . . . . . . . . Risk level versus finding classification. . . . . . . . . . . . . . . . . . Finding classification risk matrix. . . . . . . . . . . . . . . . . . . . . . Risk level definitions for audit finding classification. . . . . . . Audit team complement decision tree. . . . . . . . . . . . . . . . . . . Process map. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Publishing work cell. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Document page revision process map. . . . . . . . . . . . . . . . . . . Document page revision process map showing hazards and risks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Document page revision process map showing hazards, risks, and controls. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . The “W” factor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Documentation of audit finding. . . . . . . . . . . . . . . . . . . . . . .