Ashbrooke Quality Assurance International Limited

Internal QMS Auditor Training Course

Practice Modules

The following is the Practice Module Case Study background to be used for all of the responses to the practice challenges:

Exercises

Using the Case Study Background information above, complete the following:

Identify the initial steps for the Document Review, itself.

Model Solution

 

Prepare and Audit Plan for LEL’s organization (conformance audit).

Print this PDF Audit Plan form for use with this exercise (4 copies).

Model Solution - QMS

Model Solution - Commercial Process only

 

Prepare an Audit Checklist for investigating the activities for LEL’s commercial process (includes enquiries, estimates, quotations, order receipt, order review, order changes). Note: Identify a minimum of 7 different issues and create the Audit Checklist using these issues, as appropriate.

Model Solution

 

Prepare an agenda for an Opening Meeting and explain the purpose for each agenda item.

Model Solution

 

Review the following three incidents; prepare a Nonconformance Report/Opportunity for Improvement, as appropriate, for each.  

Print this PDF Nonconformance/Opportunity for Improvement form for use with this exercise.

Incident No 1.  While in the Purchasing Department, the auditor asked the Purchasing Clerk her method of deciding which supplier to use when purchasing raw materials.  The Purchasing Clerk showed the auditor her copy of the Approved Suppliers List.  PM 3 (Purchasing), para 3.4.1 states  ‘suppliers and subcontractors shall be selected for inclusion and use on the basis of: 1) previous performance, 2) Supplier Questionnaire, or 3) site visit.’  A review of Purchase Order No. 134/03 placed with Roger Steel Stockholders revealed this was a new supplier.  The auditor asked how this supplier was selected for their list.  The clerk’s response was that this was the second time being used.  She further said she made it a policy to take one order before formally accepting them onto their Approved Suppliers List stressing that the first order must be fully acceptable by the Quality Department, as well.  The Purchasing Clerk showed the auditor their first Purchase Order No. 128/03 placed with Roger Steel Stockholders indicating an Acceptance Stamp from the Quality Department to support her statements.

Incident No. 2.  PM 1 (Sales and Marketing), para 1.5.3 states ‘All customer orders shall be reviewed for acceptance against any relevant quotation information.  Acceptance shall be indicated by the reviewer’s signature and date in the Order Acceptance Block stamped on the customer order document.’  During the investigation of customer orders, the auditor observed that Order No. OR/114/03-5 was not stamped or signed as required.  The Commercial Manager took exception when the auditor challenged this condition stating “This is a blanket customer order supporting a current contract already reviewed and agreed.  There is no need to review this order.”  The Commercial Manager showed the auditor the current contract (Order No. OR/114/03) to support his statements.

Incident No. 3.  The complete QMS was audited two weeks ago by an external auditor.  PM 8 (Internal Audits), para 8.10 states ‘Qualified external auditors may be used by LEL to conduct internal quality audits.’  Audit Report No. 2-03 was reviewed as being acceptably organized, well presented and properly documented.  The external auditor was obviously very experienced and well trained.  Upon investigation, the Quality Manager was not able to formally demonstrate the external auditor’s qualifications.  Further, no persons employed at LEL are trained internal auditors.

Model Solution - Incident No. 1

Model Solution - Incident No. 2

Model Solution - Incident No. 3

Model Solution - Incident No. 3 (Alternate)

 

Prepare an agenda for a Closing Meeting and explain the purpose for each agenda item.

Model Solution