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Page 1

The ASQ
Auditing Handbook

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Page 2

Also available from ASQ Quality Press:

The Management System Auditor�s Handbook
Joe Kausek

The Progressive Audit: A Toolkit for Improving Your Organizational Quality Culture
Robert Pfannerstill

The Internal Auditing Pocket Guide
J. P. Russell

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

The Process Auditing Techniques Guide
J. P. Russell

The Process Approach Audit Checklist for Manufacturing
Karen Welch

Process Driven Comprehensive Auditing: A New Way to Conduct ISO 9001:2000
Internal Audits
Paul C. Palmes

How to Audit the Process-Based QMS
Dennis R. Arter and Charles A. Cianfrani and John E. (Jack) West

Internal Quality Auditing
Denis Pronovost

Fundamentals of Quality Auditing
B. Scott Parsowith

ISO Lesson Guide 2000: Pocket Guide to Q9001:2000, Second Edition
Dennis R. Arter and J. P. Russell

Automotive Internal Auditor Pocket Guide: Process Auditing to ISO/TS 16949:2002
Roderick A. Munro

The Biomedical Quality Auditor Handbook
ASQ Biomedical Division

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

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Page 188

164 Part III: Auditor Competencies

Such problems may be avoided by stating in the opening meeting that the purpose
of the audit is to evaluate the effectiveness of the system by focusing on the processes,
not the people. The audit team leader may also state that the audit team will complete the
audit within the allotted time, but will remain on-site as long as necessary to complete
the audit objective. However, the audit team leader and the audit team members should
communicate any potential problems so that they may be resolved quickly and the audit
team leader can avoid having to extend the audit.

Rambling or Introducing Irrelevant Information

Some auditees are not intimidated by the audit but introduce irrelevant information dur-
ing the interview. They do so in a manner such that the information may be related but
is not pertinent to the topic. However, the result is that the time allotted for the interview
is wasted without providing the auditor with any relevant information. The auditor must
bring the auditee back to the topic of interest without alienating the person being inter-
viewed. This may be accomplished by politely interrupting the flow of conversation
when there is a slight pause, in order to remind the auditee that there is a limited amount
of time for the interview and that the audit plan may be adjusted if necessary. Another
method is to ask for specific evidence in the manner in which the process or operation is
performed or to show the person the checklist question that you are seeking to verify.

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A
uditors must create a favorable impression for auditee management, both in
appearance and ability. Auditors should dress appropriately for the opening
meeting. The credentials of the audit team members are presented at this time,

to instill confidence that the audit is being performed by competent, well-qualified
individuals.

The lead auditor conducts the opening and exit meetings, as well as separate daily
meetings with the auditee and the audit team members. By using appropriate aids and
handouts, the lead auditor ensures that the auditee is in agreement with the details out-
lined in the audit plan and understands the auditing methods to be used. In addition, the
auditor should ensure that the auditee is able to interpret data correctly, agrees with the
information presented in the audit report, and wants to implement the needed corrective
action.

The lead auditor is responsible for ensuring that a location has been set aside for pre-
sentations. The location may be a training room, a conference room, or even a break
area. The lead auditor should ensure that there is adequate space for expected meeting
attendees. This may include determination of seating arrangements, such as classroom
style, at a conference table, or at a U-shaped table. The lead auditor must secure the
equipment needed to make the presentation, such as flip charts, overhead projectors,
data projectors, pointers, and associated support equipment and supplies (electrical out-
lets, markers, extension cords). Finally, the lead auditor must ensure that visual-aid
materials will be prepared and available at the meeting. Such materials may include
copies of printed reports, copies of completed handwritten forms (for example, correc-
tive action requests), slides, and prepared charts.

The lead auditor should be certain to communicate the data analysis to the auditee
both orally and visually. Using simple statistical techniques to recognize patterns and
trends and evaluate their significance enables an auditor to prepare an audit report.
These results must be communicated to the auditee in a timely and effective manner,
and the inclusion of simple charts, matrices, or graphs in the audit report, or their dis-
play on a data projector, can assist the auditee in gaining the necessary understanding of
a problem.

165

Chapter 17

Presentation Techniques/Part IIIG

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truncated distributions, 230–231, 231f
trust, 46

U
u charts, 218, 218f
UCL. See upper control limit (UCL)
unethical activities, 46–50
unsafe activities, auditors and, 46–50
updates, daily, scheduling, 90
upper control limit (UCL), 219–224
upper specification limit (USL), 254–255
U.S. Federal Acquisition Regulations

(FARs), 20
USL. See upper specification limit (USL)

V
validation, 338

process, 166–167
variable data, 216
variance, 240
variations, control charts and, 215–216

verification, 338
of corrective action, 131–132
process, 166–167

vertical audits, 186
video conferencing, 158
voice mail, 156–157

W
walkie-talkies, 158
whistle-blower laws, 47–49
work activities, observing, 94–95
work environment, 338
working papers, 97–98

documenting audit trail and, 98
recording observations and, 98

World Wide Web. See Internet
written procedures, 71
written reports. See audit reporting

X
X


(average) charts, 216, 217f

Index 351

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Page 376

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