Professional guidance for initial implementation, performance, and ongoing management of the internal auditing function. This book identifies and explaines the fundimental auditing skills and techniques needed to ensure your internal audit function is effective and efficient and addresses all requirements of International and National Standards.
This book addresses who does what, why, when and how.
Included with the book is one of the following Quality Management Systems or Environmental Management Systems checklist: ($50 value)
ISO 9001:1994 (Basic Quality Management Systems)
ISO 9001:2000 (Basic Quality Management Systems)
TL 9000 Release 2.5 (Telecommunications Quality Management Systems)
TL 9000 Release 3.0 (Telecommunications Quality Management Systems)
AS 9100:1994 (Aerospace Quality Management Systems)
AS 9100:2000 (Aerospace Quality Management Systems)
ISO/TS 16949 First Edition (Automotive Quality Management Systems)
ISO/TS 16949 Second Edition (Automotive Quality Management Systems)
ISO 14001:1996 (Basic Environmental Management Systems)
Instructions for receiving the checklist of your choice is provided with the book.
"synopsis" may belong to another edition of this title.
Paul Lewis, President & CEO Results International, an ISO 9001 registered business services firm. Paul has thirty plus years experience in product manufacturing and testing. Since 1982 he has been providing quality systems consulting services to manufacturing and service organizations. His specialty is leading organizations in development and documentation of their quality systems processes and procedures and providing quality system auditing services. He is an active member of the Institute of Internal Auditors (iiA) and the American Society for Quality (ASQ). He is a Certified Quality Auditor (CQA) and Certified Software Quality Engineer (CSQE) through the ASQ, and a Certified ISO 9000 Internal Auditor through the International Register of Certified Auditors (IRCA) in the United Kingdom. Paul has a degree in Business Management and formal training in Employee Assessment, Effective Negotiations, Quality Circle Leadership and Facilitation, Team Building, and Total Quality Management Systems.
Preface
By accessing this introduction you have expressed a desire to acquire meaningful information and informed recommendations regarding the development and implementation of an effective and efficient internal quality audit function. This book provides just that.
Addressed are the services internal quality system audits provide in support of the greater organization and the type of audit activities and audit skills needed to ensure "value added" audit operations.
Company executives will find this book of value in that it provides a good model for adequately addressing business goals/objectives or industry/customer requirements related to establishment of effective and efficient quality system self-audit capabilities. It also provides an overview of the activities, and level of audit proficiency, management should expect from internal quality system audits.
Audit management will find this book useful in support of their tasks of planning, organizing, directing, and controlling internal quality audit activities and personnel, and in maintaining the necessary professional standards of quality system audit performance and documentation needed to adequately address established requirements.
Lead auditors will find it a useful desk reference for understanding and implementing proven internal audit processes, procedures, and methods of documentation essential to the performance of adequate, effective and efficient audits.
New audit personnel should use this book as a training aid for learning the mechanics of internal auditing and to gain an understanding of the mission, objectives, and function of the internal quality auditor within the greater organization.
Consultants performing internal quality system audits on behalf of their clients will find this book a valuable guide for maintaining professional standards of performance and documentation needed to ensure quality services are provided.
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From the Introduction
Objective and Mission of Internal Quality System Auditing
Internal quality system audits are an independent and objective appraisal function within an organization. Properly performed, documented, and reported, internal quality system audits provide factual information to aid management in making informed decisions. The primary objective of internal quality system audits is to help ensure the adequacy and effectiveness of operations. Internal quality system audits are a managerial tool for measuring and evaluating both compliance to and effectiveness of quality assurance and quality control systems, processes, and procedures.
The internal quality audit function serves in a staff role as a "consultant" to line management which is responsible for planning, organizing, directing, and controlling day-to-day operations. A successful and effective internal quality audit is one in which the auditor is able to establish a team relationship with the auditee by functioning as a counselor, facilitator, and trusted partner. The mission of the internal quality audit function addresses three distinctly different levels of activity.
Verification of Conformity
This is the most fundamental audit function. Its purpose is to determine whether objectives are being achieved by means consistent with established procedures and/or specifications. It requires that the auditor have familiarity with the specific business of the enterprise and their method(s) of operation and an understanding of company quality goals and objectives.
Procedure Review
Review established procedures for adequacy. This level of activity is more complex than verification of conformity. It requires that the auditor have an understanding of nationally and internationally recognized quality system standards, industry and governmental requirements, customer requirements, and general good business practices.
Evaluation of Effectiveness
The determination of whether quality systems are producing intended or required results (and if not, why not?) is the most demanding mission of an internal quality audit function and potentially the most beneficial to the organization. It requires that the auditor be competent in the skills needed to perform objective evaluations and reach informed conclusions. Changes to policies, procedures, and/or operations may be based on this activity.
In summary, the auditee expects to learn three things from an internal quality system audit. These are, in order of importance: whether the quality system(s) under review are achieving their objectives; whether documented procedures established to meet these objectives are adequate; and whether these objectives are being achieved by means consistent with established procedures.
Introduction (cont.)
Determination of most appropriate method for accomplishing Internal Quality Audits
Company size and complexity of operations should be primary considerations when determining the manner in which organizations address and manage internal audits of their quality systems.
Companies that do not have existing staff qualified to perform internal quality audits will typically acquire the services of a qualified consultant to perform, or lead, their internal audit activities. The benefit being effective and efficient audits without the expense of maintaining a qualified staff full time.
Companies with existing quality organizations or established internal audit organizations (financial and/or operational auditing functions) will typically have members of their staff formally trained on internal quality audit requirements and, perhaps, obtain certification as quality system auditors. The American Society for Quality (ASQ), the International Register of Certified Auditors (IRCA), and the Registrar Accreditation Board (RAB) all have programs for certifying quality system auditors.
Regardless of the size or complexity of the business/organization or whether internal quality system audits are being performed by employees of the company or subcontracted through consultants, management of the internal quality audit function and audits performed should be accomplished by individuals having met national and/or international training/qualification requirements and, preferably, obtained certification as quality system auditors.
Introduction (cont.)
Overview (Books Presentation)
This book is intended for use as a reference document; therefore, information and examples are presented in the seven sequential functions, or steps, typical of effective and efficient internal quality audit operations.
Key to the Text
An overview of recommended processes, procedures, and methods of operation is provided in the flow chart at the end of this introduction. Identified are:
1) The groups/individuals typically involved in accomplishing internal quality system audits,
2) Their function in the process and when performed, and
3) Reference to corresponding sub-sections of the book addressing accomplishment of each function. For example: The first symbol (process) on page one of the flow chart identifies the manager of audit operations as responsible for development of a Master Audit Plan and Master Audit Schedule. The number in parenthesis (1.1) refers to the corresponding sub-section in the text that provides guidance and recommendations regarding their purpose, development, and use.
Note:
The flow charts contained in this book identify the four individuals or groups typically involved in management and accomplishment of internal quality system audits (executive management, audit management, auditors, and the auditee). In smaller companies or organizations audit management may also be performing audits, or for some companies, management of the internal quality audits function and/or accomplishment of audits may be subcontracted to a consultant. Regardless of the methodology, the mission and objectives of the internal quality audit function do not change, and the type of auditing activities and skills required to adequately perform them remain the same.
Appendix "A" Provides a recommended audit numbering system to ensure adequate identification and control of audit projects.
Appendix "B" Contains a 38 page Quality Systems Checklist (criteria checklist) for use in development and/or review of systems, processes, and/or procedures designed to the address internationally recognized ISO 9001 quality system requirements.
Appendix "C" Provides a recommended method for developing "effective" flow charts of processes and/or procedures. For a flow chart to be considered effective, it must clearly identify who is responsible for what, and when. The flow charts in this book were developed using this method. See Appendix "C" for definition of symbols used.
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