© QUALITY COUNCIL OF INDIANA CQA 2012
INTRO-1 (1)
THE QUALITY AUDITOR PRIMER
Eighth Edition - June, 2012 © by Quality Council of Indiana - All rights reserved. Bill Wortman Quality Council of Indiana 602 West Paris Avenue West Terre Haute, IN 47885 TEL: 800-660-4215 FAX: 812-533-4216
[email protected] http://www.qualitycouncil.com 007
© QUALITY COUNCIL OF INDIANA CQA 2012
INTRO-7 (2)
CQA Primer Content Outline I. CERTIFICATION OVERVIEW . . . . . . . . . . . . . . . . . I-1 CERTIFIED AUDITOR EXAM . . . . . . . . . . . . . . . . . I-2 CQA BODY OF KNOWLEDGE . . . . . . . . . . . . . . . . I-5 CQA PRIMER CONTENT VS BOK . . . . . . . . . . . . I-16 II. AUDITING FUNDAMENTALS . . . . . . . . . . . . . . . . II-1 QUALITY & AUDITING TERMS . . . . . . . . . . . . . . . II-2 AUDIT TYPES . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-12 METHODS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-12 RELATIONSHIPS . . . . . . . . . . . . . . . . . . . . . . . . II-18 PURPOSES . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-20 COMMON ELEMENTS . . . . . . . . . . . . . . . . . . . . II-24 AUDIT PURPOSE & SCOPE . . . . . . . . . . . . . . . . . II-25 AUDIT BENEFITS . . . . . . . . . . . . . . . . . . . . . . . II-26 AUDIT CRITERIA . . . . . . . . . . . . . . . . . . . . . . . . . . II-27 AUDIT RESPONSIBILITIES . . . . . . . . . . . . . . . . . II-35 PROFESSIONAL CONDUCT . . . . . . . . . . . . . . . . II-36 LIABILITY ISSUES . . . . . . . . . . . . . . . . . . . . . . . . II-34 ETHICAL RESPONSIBILITIES . . . . . . . . . . . . . II-36 LEGAL CONSEQUENCES . . . . . . . . . . . . . . . . II-45 AUDIT CREDIBILITY . . . . . . . . . . . . . . . . . . . . . II-50 REFERENCES . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-52 QUESTIONS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-55
© QUALITY COUNCIL OF INDIANA CQA 2012
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I-1 (8)
CERTIFICATION OVERVIEW
Professionalizing Quality Education
AN INVESTMENT IN KNOWLEDGE ALWAYS PAYS THE BEST INTEREST. BENJAMIN FRANKLIN
© QUALITY COUNCIL OF INDIANA CQA 2012
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I-2 (9)
CERTIFICATION OVERVIEW
Certified Quality Auditor Exam The Certified Quality Auditor Is a professional who understands the standards and principles of auditing and the auditing techniques of examining, questioning, evaluating and reporting, in order to evaluate a quality system’s adequacy and deficiencies. Exam Duration The current test will last 5 hours and will begin at an advised time (typically 8:00 or 9:00 a.m.). Exams occur twice per year. Eligibility CQA participants must register with ASQ Headquarters. Eligibility entails a combination of eight years work experience and/or higher education. Three years of this requirement must be in a decision making position.
© QUALITY COUNCIL OF INDIANA CQA 2012
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CERTIFICATION OVERVIEW
Bibliography Sources (1) ANSI/ISO/ASQ 19011 (2011): Guidelines for Auditing Quality Systems - Auditing. (2) ISO 9001:2008. Quality management systems – Requirements. ISO. (3) ISO 9001:2008 Pocket Primer (2009). Greg Wies - Quality Council of Indiana. (4) Juran Quality Handbook, Sixth Edition. Juran and De Feo (2010) - McGraw Hill. (5) Management Audits 3rd edition (1997) - Allan J. Sayle. (6) The ASQ Auditing Handbook, 3rd edition - J. P. Russell, Editor (2005) - ASQ Quality Press. (7) The Management System Auditor’s Handbook. Kausak J. (2006) - ASQ Quality Press. (8) Quality Audits for Improved Performance,(2003) - Dennis R. Arter - ASQ Quality Press. (9) Quality Dictionary (2010). Omdahl - QCI.
