ASQC Quality Audit Division (QAD) Fall Business Meeting
Kansas City, MO
A. Call to Order and Quorum
Chairman, Charlie Robinson, called the meeting to order at 8:00
a.m. on October 14, 1995 and called for a quorum. There being
present at least 15 Regular Members in good standing, including at
least 7 Division Council members, a quorum was present.
B. Secretary's Report (Richard Powe)
The minutes for the February 25, 1995 QAD meeting in Baltimore, MD
and May 21, 1995 QAD meeting in Cincinnati, OH were previously
distributed and were approved as published.
C. Chairman's Report (Charlie Robinson)
Charlie indicated that it is a pleasure to work with the team that
the membership nominated and elected. He then presented QAD
medallions to each Regional Councillor in attendance. He will be
sending a QAD medallion to each Regional Councilor who was unable
to attend. Charlie briefly discussed the QAD/Customer-Supplier
Division (CSD) Resolution of Partnership and the membership
survey. The QAD & CSD officers met at breakfast during the Annual
Quality Congress on May 26, 1995 and the subject of a possible
merge of the two divisions was discussed. The QAD & CSD Officers
met again August 24-25, 1995 at which time the QAD/CSD Resolution
of Partnership was developed and signed. This resolution was
mailed to all QAD/CSD Members and requested feedback. 83 members
responded to Charlie. The responses came from all but two regions
(28 States). 78% were in favor of merging the two divisions, 13.3%
were unsure, and 8.4% opposed the merge. Other members have
provided feedback to other Officers. Clearly this is not a
controlled method of feedback but does provide an indication that
the possibility of a merge should continue to be studied. Charlie
then introduced the concept of conducting a survey and indicated
that it would be discussed later in the meeting. He indicated that
the purpose of the survey would be to: provide information that
will help the Division Council serve our membership more
effectively; and better understand our memberships thoughts on the
possible merge with CSD.
D. Treasurer's Report (Dick Baehr)
Based on information as of 9/30/95: Revenues: $65,713.48;
Expenses $36,193.59; Net Income: $29,519.89 Net Worth $266,768.56
E. Conference Committee Report (Norm Frank)
Our preparations for the conference are further along than ever
before. We have addressed the main concerns from the previous
Conference, namely room size. We have a high break even figure
this year so we need to make certain we do good job of promoting
the conference. We already have one registrant. Travel to and from
the airport was a concern and is being worked. The KCI Shuttle
will be providing extra service during the Conference.
F. Vice Chair-Administration Report (Wendy Finnerty)
Kurt J. Miller was presented to the QAD Executive Committee for
consideration as the Region 13 Councillor. Kurt was accepted and
now all regional councillor positions have been filled. The newly
developed Regional Councillor Handbook was a big help to the
Regional Councilors and the Energy and Environmental Division has
requested a copy to use as a benchmark for development of one for
their Division. A big Thank You goes out to Norm Frank for his
assistance in development of this Handbook.
E1. Auditing Committee Report (David Kelly)
ASQC uses Price Waterhouse to audit their books and does a random
audit of Divisions. Price Waterhouse audited the QAD books for
1994-95 and found no problems. ACTION ITEM: David Kelly is
investigating to determine if this Price Waterhouse audit can be a
substitute for the annual QAD audit of the books.
E2. Bylaws Committee Report (Robert Trepanier)
The current Bylaws are being reviewed by Larry McArther, the other
member of the Bylaws Committee for possible need for revision. The
current Bylaws were part of the newly revised Regional Councilor's
Handbook. Anyone who has questions or suggestions concerning the
Bylaws should contact either Robert Trepanier (802/877-4485) or
Larry McArther (717/282-8219). Any feedback will be reported in
Vista.
E3. Examining Committee Report (Jeff Jaswa)
Currently processing one nomination for Fellow and one application
for senior member.
Dennis Arter asked if the Examining Committee could process
recertification applications. Several attendees indicated that
this was a responsibility of the Sections, not Divisions, and that
if a Section did not have anyone performing that function the
recertification application would be processed by ASQC
Headquarters.
E4. Newsletter Report (Dennis Arter)
Dennis is in process of phasing out as Editor. This will take
place gradually over the next year or two. For the average 24 page
newsletter it costs approximately $18K. By contracting with ASQC
Headquarters we are will save about $2,000 per issue. The
newsletter is now available on the ASQC Bulletin Board and the
Internet (see page 3 of the August Edition of Vista to find out
how to access the Internet file). Dennis is the QAD coordinator
for the ASQC Bulletin Board and has established a QAD Forum and
file area there.
E5. Membership Committee Report (Mike Dempsey)
As of August 1995 we have 14,607 members. New member kits will be
distributed through ASQC.
|---------+--------+--------+----------+---------+------------+---------|
| | | | | | | |
| REGULAR | SENIOR | FELLOW | HONORARY | STUDENT | SUSTAINING | GRAND |
| | | | | | | TOTAL |
| | | | | | | |
|---------+--------+--------+----------+---------+------------+---------|
| | | | | | | |
| 12,829 | 773 | 59 | 1 | 206 | 739 | 14,607 |
| | | | | | | |
|---------+--------+--------+----------+---------+------------+---------|
E6. Publicity Committee Report (Mike Beeler)
Mike is developing a brochure that will provide information
regarding QAD. It was noted that this committee now has
responsibility for the QAD booth.
F. Vice Chair-Technical Report (Dennis Arter)
Dennis indicated that there has been a lot of activities in the
area of audits: Development of an Audit Handbook, revisions to
quality standards that deal with auditing, development of training
courses, etc. He then provided a short briefing regarding the
history of the quality sciences in America and throughout the
world.
F1. Certification Committee Report (Dale Reaver)
Registrar Agencies are driving certification of international
auditors. At an international conference of Registrars in Cairns,
Australia in June 1995, 57 delegates from 20 countries reached
agreement to create the International Auditor and Training
Certification Association (IATCA). The objectives of the IATCA
are: to support the widest possible acceptance of the certificate
of conformance of a supplier's quality system; universal
acceptance of the equivalence of auditor certifications and
auditor training course approvals; and to eliminate the need for
multiple certifications of auditors and approvals of auditor
training courses. Currently the IATCA plans on having two levels
of certification: IATCA Certified Auditor and IATCA Certified
Senior Auditor. The Certification Committee is working toward
obtaining IATCA recognition of the ASQC Certified Auditor Program.
F2. Program Committee Report (Chuck Carlson)
Principle area of involvement is supporting the AQC. The QAD has
been given a two-hour session at the 50th annual AQC in Chicago.
Our time is 10:15a.m. to 12:15 p.m. on Wednesday May 15th. The QAD
program description is due to ASQC by October 27th. The current
idea being discussed are: a three part two- hour presentation on
auditing (historical origins; contemporary use/application; future
directions). Chuck Carlson is the session manager and Mr. Lester
Easter is the Topic Session Manager. (Les Easter, Allied Tube and
Conduit, 16100 Harvey Lathrop Ave., Harvey, IL 60426,
708/339-1610).
F3. Publications Committee Report (J. P. Russell)
Development of the Quality Audit Handbook has been the primary
activity. The purpose of the Handbook is to interpret the
Certified Quality Auditor Body of Knowledge. The development is on
schedule and on budget for submission to Quality Press in June
1996. The budgeted cost is between $37K to 44K. Out of 3 submitted
quotes a Writer has been selected and an agreement signed. A
Writer Guide and a detail project plan was issued. Interfaces for
development of the Handbook was discussed. A Tie Breaker Committee
has been established (Gerry Sherman, Chair; Norm Frank; and Linda
Reinhart). Reviewers were selected (there were 300 responses to
the Vista article calling for reviewers). Interviewees (subject
matter experts) are being selected (18 of 25 identified).
The value of a QAD information brochure is being discussed the
Publicity Committee and the idea of providing a book of book
reviews is being explored.
F4. Standards Committee Report (Archie Bice)
The standards committee is devoting its time to helping the
Subcommittee to the U.S. Tag 176 develop the U. S. position on the
proposed content of ISO Standards 10011-1 and -2. An outline of
the proposed content as of the end of the standards committee
meeting on 10/13/95 is attached to these minutes.
G. Strategic Planning Committee Report (Dave Kildahl)
The present Strategic Plan was reviewed, discussed and updated.
The revised Plan with progress status will be reported in Vista or
by separate mailing.
H. QAD/CSD Survey and Resolution of Partnership (Richard Powe)
The QAD Strategic Plan indicated a need to conduct a member survey
to determine needs. Based on a meeting between the CSD and QAD
Executive Committees in August 1995 an action item was established
to develop a proposed joint QAD/CSD member survey to help enhance
the value of Division Membership, determine member needs, and
explore the possibility of merging the two divisions. A draft
Survey Plan and Survey Questionaire was presented at this business
meeting. The estimate of cost for the survey was $8,500 with cost
shared by the divisions. Feedback regarding changes in the Plan
and Questionaire were provided and will be resolved by Richard
Powe and Jeff Israel (CSD Secretary). The response to the question
regarding the method in which the survey results will be analyzed
is attached to this report.
I. Open Forum (Charlie Robinson)
Charlie Robinson asked the attendees to help brainstorm the
question: Are we being wise stewards of our money? Brainstorming
Ideas and weighted value results are:
TOPIC WT
- Send a copy of ISO 10011 to every member 20
- Subsidize student participation at QAD Conference 9
- Fund internet activities for QAD 12
- Grant to local sections for resource material 10
- Subsidize travel 21
- Subsidize training 9
- Develop CQA Prep Lesson Plan 20
- Scholarship Fund 12
- Liaison with Universities to promote auditing 0
- Dinner at AQC 7
- Trinkets at AQC (Booth Handouts) 11
- Dinner cruise 1
- Audit research funding 12
- Fund world wide initiative to promote CQA 7
- Join other professional societies 1
- Subsidize Speakers List 9
ACTION ITEM: Charlie is to have further discussion on subject at
next meeting
J. Next Division Meeting and Adjournment
The 1996 QAD Conference will be in Kansas City, MO at the Westin
Crown Center, on Thursday and Friday, February 22 and 23, 1996.
The next QAD business meeting will be on Saturday February 24,
1995 at the same location as the conference. The General Business
Meeting was completed at 2:00p.m.
ATTENDEES
The following members of the ASQC Quality Audit Division attended
the October 1995 General Business meeting on Saturday October 14,
1995, in Kansas City, MO. They are awarded 0.6 ASQC
Recertification Units for this participation.
Arnott, Ralph
Frank, Norman C.
Powe, Richard
Arter, Dennis
Goss, Mike L.
Regel, Terry L.
Baehr, Richard M.
Kelly, David
Robinson, Charlie
Beeler, Mike
Kildahl, David
Russell, J. P.
Boyle, John J.
Love, Ken
Sawyer, John E.
Carlson, Wallace
Miller, Kurt J.
Spichiger, James O.
Finnerty, Wendy
Mutziger, Donald
White, Quitman
______________________
Richard E. Powe, QAD Secretary
ATTACHMENT TO ASQC QAD MEETING MINUTES
ISO 10011-1 &-2 Outline
Section 1 - Guidelines for auditing quality systems
0.0 Introduction
1.0 Scope
2.0 Normative references
3.0 Definitions
4.0 General Principles
4.1 Quality audits are performed to evaluate control of activities
affecting quality
4.1.1 Customer/Stakeholder
4.1.2 Compliance, effectiveness, suitability
4.1.3 System, process, product
4.2 Audit personnel are competent and qualified
4.2.1 Objectivity and independence
4.2.2 Knowledge of audit process
4.2.3 Knowledge of activity audited
4.2.4 Communication skills
4.2.5 Ability to analyze
4.2.6 Work to code of conduct and ethics
4.2.7 Confidentiality
4.2.8 Qualified audit personnel
4.3 Audits are planned
4.3.1 Purpose
4.3.2 Scope
4.3.3 Resources
4.3.4 Authority
4.3.5 Standards
4.3.6 Process knowledge
4.3.7 Audit plan
4.3.8 Desk audit (Review of internal/external
documentation, including previous history of audits, etc)
4.3.9 Checklist
4.4 Audits are performed to established requirements
4.4.1 Requirements defined by client
4.4.2 Document levels - client requirements are
translated into working documents
4.5 Audit results are an evaluation of controls (Methods,
manpower, material, machining, etc)
4.5.1 Audit results are based on objective information
4.5.2 Audit results are communicated
- Client determines distribution
- Results are both oral and written
- Results are timely
4.6 Audit programs are managed
4.6.1 Audit programs are defined and documented
4.6.2 Audit mgmt personnel are knowledgeable of the audit pgm
4.6.3 Audits are scheduled
4.6.4 Audit programs are evaluated and continuously improved
4.7 Audits are an effective management tool
5.0 Managing the audit program
5.1 Defining objectives and scopes
5.2 Planning and developing the audit program
5.3 Managing the audit program by competent, qualified people
5.4 Identifying and allocating resources for the program
5.5 Establishing responsibilities and authorities
5.6 Implementing and maintaining the audit program
5.7 Continual evaluation and improvement of the audit program
5.8 Establishing audit records
5.8.1 Defining necessary records
5.8.2 Determining retention times
- Liability
- Regulatory
- Customer
5.8.3 Maintaining confidentiality and security
6.0 Conducting the audit
6.1 Planning the audit
6.1.1 Establishing the audit purpose, scope, and authority
6.1.2 Determining resources
6.1.3 Notifying the auditee
6.1.4 Establishing the audit team
- Process knowledge
6.1.5 Reviewing client requirements
- Including confidentiality
6.1.6 Scheduling the audit
6.2 Preparing for the audit
6.2.1 Scheduling activities
6.2.2 Preparing the audit plan
- language of the audit
6.2.3 Orienting the auditors
6.2.4 Identifying and reviewing documents and records
6.2.5 Preparing team assignments
6.2.6 Preparing audit logistics
6.2.7 Conducting a pre-audit visit
6.2.8 Preparing a checklist and other working papers
6.2.9 Developing an audit sample or test plan
6.3 Performing the audit
6.3.1 Conducting the opening meeting
6.3.2 Collecting objective information
- observing
- interviewing
- testing transactions and interactions
6.3.3 Communicating with the auditee
6.3.4 Evqluating information
6.3.5 Verifying audit information
6.3.6 Identifying findings
6.3.7 Holding a team caucus
6.3.8 Conducting the closing meeting inc giving an oral report
6.4 Reporting the audit
6.4.1 Communicating formal audit results to the client
- Timeliness
6.4.2 Preparing the formal report
(This section would include minimum report content
including emphasis on system controls and interfaces)
6.4.3 Maintaining confidentiality of the report
6.4.4 Reviewing and approving the report
6.4.5 Determining distribution of the report
- Client controls distribution
6.6.6 Processing audit records
7.0 Following up and closing out the audit
(Content similar to 10011-1, Sec. 6 & 7)
Section 2 - Criteria for qaulity auditors
0.0 Introduction
1.0 Scope
2.0 Normative references
3.0 Definitions
4.0 Attributes
(Content similar to 10011-2, Sec. 7)
5.0 Knowledge and skills
5.1 Knowledge and skills of the referenced standards
5.1.1 Understand and interpret applicable requirements
5.1.2 Apply referenced standards to audit situation(s)
5.2 Knowledge and skills of audit principles, practices,
and techniques
5.2.1 Preparation of the audit plan
5.2.2 Interviewing people
5.2.3 Communicating with people
- Orally
- In writing
5.2.4 Managing time for the audit
5.2.5 Handling objective information
(Collecting, analyzing, interpreting, and evaluating evidence)
5.2.6 Implementing an audit plan
5.2.7 Reporting audit results
5.3 Knowledge and skills of quality principles, practices, and
techniques
5.3.1 Quality tools
(ISO 10004)
5.3.2 Quality Management Systems
5.3.3 Sampling techniques
5.4 Knowledge of the business-specific practices
5.4.1 Typical business control systems
5.4.2 Usual organization
5.4.3 Regulatory issues
5.4.4 Applicable technical processes
5.4.5 Business terminology
6.0 Demonstration of competence
6.1 Reference standards
6.2 Audit principles, practices, and techniques
6.3 Quality principles, practices, and techniques
6.4 Business-specific practices
6.5 Possession of auditor attributes
7.0 Professional development
7.1 Current interpretations
7.2 Current applications