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LEAD AUDITOR / AUDITOR COURSE
FOR QUALITY MANAGEMENT
SYSTEM
ISO 9001 : 2008
Institute ! Qu"#it$
Cn!e%e&"tin ! In%i"n In%ust&$
IRCA Registration No. : A17392
NABET Registration No. : LQ81 102
'OR()OO( / CASE STUDIES
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CONFEDERATION OF INDIAN INDUSTRY
Institute ! Qu"#it$ Near Bharat Nagara, II Phase, Magadi Main Road
Vishwaneedam Post, Bangalore – 560091
Tel: 00!"#"9#90 – 91, $a%: 00!"#"9#
No part of this publication may be reproduced, stored in retrieval system ortransmitted in any form or by any means; electronic, mechanical,photocopying, recording or other wise without prior written permission of Head, Institute of Quality, Confederation of Indian Industry
'OR()OO( / CASE STUDIES
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CONTENTS
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EXERCISE E01
INTERPRETING THE
ISO 9001: 2008 CLAUSES
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E01: INTERPRETNG THE
ISO 9001: 2008 CLAUSES
INSTRUCTIONS FOR E01
Objective:
Interpreting the I"' (%%&) $%%* Clauses, in the conte+t of an #udit
Met!"
-he following are &$ mutually independent incidents, describing the findings of
the auditors Identify and relate those incidents that are within the scope of I"'
(%%&)$%%* and mention the appropriate clause and!or sub clause of I"' (%%&)
$%%* .ou may relate these to one or more re/uirements of the "tandard
F!#$%t
0lease present your responses in the following format
"lNo
Whether covered
in "cope of I"'
(%%&)$%%*
Clause ! "ub Clause of I"' (%%&)
$%%*
1easons
N!te
• -his is a group e+ercise followed by individual work
• Nominate a time keeper, presenter
• #ll the groups to work on all the incidents
• #llocation of incidents to groups for presentation will be informed before
the presentation• -he output of the e+ercise is part of the formal continuous assessment
and will therefore be marked
Ti$e %&&!tte": Individual work 2% minutes
3roup work 2% minutes
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EXERCISE E01
&4 5.6 Co has its design center at "ingapore and a manufacturing plant at
New 7elhi #ll products specifications originate at "ingapore and the
manufacturing plant only manufacturers, as per the design specifications-he manufacturing plant has decided to apply for Certification for a Q8",
which e+cludes Clause 92
$4 -he 81 of a Company says :all our current procedures have been
repeated, replacing the word 01'C'1???@ to 01'C'1???; we have not done any other changes, in the documentationA
24 #n
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*4 # Company providing leasing services of earthmoving e/uipment to civil
contractors and builders has its usiness 'perations 7ivisions at its
head/uarters and si+ repair workshop around the country -he repair
shops provide the service of e/uipment maintenance to the
head/uarters, and have no interactions with the Company@s customers
'ne of the workshops is pursing certification to I"' (%%&)$%%* even
before the parent Company -he workshop management has e+cluded
the clauses 9$, 92, 9B and 9DB from their Q8"
(4 "ources of information on customer satisfaction only include customer
complaints and Questionnaire G "urveys but do not include focus groupsreports in various media, sector G industry studies
&%4 -he -raining 8anager of a Company says that increasing profits of the
Company amply demonstrates the effectiveness of their training plans
and programmes
&&4 a+mi ank is implementing I"' (%%&) $%%* for the realiation of its
various services -he ank has e+cluded 9D2 G 9DB from its Q8"
&$4 Corrective #ction 0rocedure of the company does not include results of
"elf #ssessment
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CASE STU'( ) CS1
'OCUMENTATION RE*IE+
OF A ,UALIT( MANUAL
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CS1: 'OCUMENTATION RE*IE+ OF
A ,UALIT( MANUAL
INSTRUCTIONS FOR CS1
Objective
7ocumentation 1eview of 3
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3roup Work 2% minutes
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,-%&it. M%/%e$e/t S.te$ M%/-%&
G!!"i&& E3-i4$e/t C!$4%/. Lt"56
54-56, Yallers Compound,
New Achievers Road,
Gopal Ram Nager
3
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INTRO'UCTION
3oodwill oundry, 8achine shop and #ssembly shop
With the e+pansion of the Company and with the technical skills available
with the oundry, 8achine
shop and Heat -reatment facilities -he final assembly of both mechanical
parts and electronic items is carries out at 3opal 1am Nagar Works from
where the management team functions
"ince the two facilities are separated by a distance of about $D kilometers,
considerable movement of semi finished material takes place between the
two sites #t present, the total employees strength of the Company is above
DD% and the product base is changing and e+panding, demanding modern
facilities in manufacturing and resources -he Company is therefore putting
its best efforts to change from inspection oriented approach to /uality
management system approach, in line with I"' (%%% >amily of standards,with the help of est Consultants 0vt td
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'ur success is based upon a number of factors, not least of which, is our
e+pertise G willingness to pursue new areas of businesses We are
particularly fortunate in being able to draw upon a skilled labour force
'ur subJcontractors provide us with specialist e+pertise in activities such as
nonJdestructive testing and heat treatment -hey complete a team, which
can offer a wide range of services to our customers
"ince &((%, when the present 8anaging 7irector took over, the company has
grown to its present strength of D9D employees
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,UALIT( POLIC(
-his manual is for guidance for company /uality management system
#ll personnel will be guided by the contents of this /uality management
system manual G no deviation from the methods described shall be
permitted
-he /uality controller is responsible for carrying out the directives in this
manual He shall have the organiational freedom to identify /uality
problems and procedure solutions
In matters affecting /uality, he may not be overturned by any other 7irector
or 8anager with the e+ception of 8anaging 7irector or 8anager with the
e+ception of 8anaging 7irector, and then only with client and design
Eustification approval
-he Quality 0olicy of the Company states
7+e !/!-# C-t!$e# #e3-i#e$e/t %/" 4%#e /! e!#t t! %ti.
c-t!$e# b. 4#!vi"i/ 3-%&it. 4#!"-ct !/ ti$e6 %t &e%t 4!ib&e
c!t5
GECL M%/%e$e/t i c!$$itte" t! c!/ti/-!-&. i$4#!ve i/ tei#
e/"e%v!-# t! bec!$e !#&" c&% c!$4%/.
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Secti!/ AA I-e 1 Rev 1 M%#c 2009 P%e 1 ! 20
CONTENTS
Tit&e Secti!/ N! ISO C&5 /!
Introduction
Quality 0olicy
Contents ## J
1ecord of 1evision J
Quality 8anual 'peration CC J
Quality 8anagement "ystem B% B
8anagement 1esponsibility D% D
1esource 8anagement F% F
0roduct 1ealiation 9% 9
8easurement, #nalysis *% *
Improvement
#nne+ure &
Q80 7iagram K
Internal #udit 0rocess (% *
#nne+ure $
'bEectives G 0rocess
8easures for 8aterials 7ept &%% 9
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Secti!/ I-e 1 Rev 1 M%#c 2009 P%e 2 ! 20
RECOR' OF RE*ISION
1ev No 7ate "ection 1evised 7etails of 1evision
& 8arch $D, $%%( 'riginal Issue J
$ 8ay $$, $%%( D 1esponsibility and
#uthority
: 9 :0roduction 0rocess
1evisedA
: * 7etails of C#3
added
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Secti!/ CC I-e 1 Rev 1 M%#c 2009 P%e ; ! 20
,UALIT( MANUAL OPERATION
-his manual is prepared by the 81 G approved by 7irector Quality
-he holder of the controlled copy shall not make further copies of the
manual If additional copies are re/uired, a re/uisition is to be sent to 81
When the holder of controlled copy of the manual ceases to be an authoried
copy holder, all the copies in his possession are to be returned to 81 with
due acknowledgement
-he 81 will review this 8anual periodically with the 7epartmental Heads to
affirm its ade/uacy Changes to the 8anual are made by the 7epartmental
Heads who revise the 8anual #ll the changes ! amendments cancel and
replace any previous copy of the 8anual #uthoried copyholders shall
maintain updated copy of the 8anual 7epartmental Heads maintain the
amended version for reference and use
=ncontrolled copies of this 8anual with no copy number4 may be issued but
these are not subEect to updating procedure "uch copies are for information
only -hese copies may be identified as =ncontrolled Copy@ on the contents
page of the 8anual
-he 81 will retain copies of all previous issues ! amendments of the 8anual
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Secti!/ =50 I-e 1 Rev 1 M%#c 2009 P%e ? ! 20
=50 MANAGEMENT RESPONSIILIT(
#4 -he management of the company is committed to the development,
implementation and continual improvement of the Q8" and has
a4 Communicated the importance of meeting customer re/uirements and
statutory re/uirements within the organiation
b4
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Secti!/ =50 I-e 1 Rev 1 M%#c 2009 P%e 8 ! 20
74 1esponsibility and #uthority
-he responsibility and authorities are known from the structure of the
organiation chart as shown below -he individual departmental structure
and their responsibilities are described in the departmental manuals
-he functional responsibilities are)J
8anaging 7irector, 8r >ernande) he is responsible for coordinating all
business and manufacturing activities of the company
oundry4
7irector "ales
7irector Quality
7irector 8aterials
7irector >inance
Q# J >inal
Q# K In 0rocess
Calibration ab
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Secti!/ =50 I-e 1 Rev 1 M%#c 2009 P%e 9 ! 20
3eneral 8anager 8r "achdeva) He is overall in charge of all matters relating
to product, process and systems He directly reports to 87 It is his
responsibility for proper utiliation of men, materials G machines in achieving
targets He is also responsible to provide training and approve the training
needs as recommended by individual departments He will support the 87 in
all the decisions and directives
7irector "ales, 8r Lapur) He is responsible for obtaining orders for supply of
products as also to /uote, negotiate and finalise technical and commercial
terms of contract, to carry out review of /uotations, contract andamendments to orders He should also ensure timely delivery orders
7irector Quality, 8r anerEee) He is responsible for all matters relating to
manufacturing standards He has the responsibility for preparing, maintaining
and revising the /uality manual in order to reflect changes in manufacturing
methods, 1eceipt G checking of incoming materials, identification, storage
arrangements and issue of these materials to manufacturing departments,
checking final test reports used for presentation to the Customer for
acceptance prior to issue of materials to dispatch
7irector 8aterials, 8r Masbir "ingh) He is responsible for all purchase and
store functions, selection and approval of vendors and sub contractors,
release of purchase orders, vendor evaluation and advice to vendors and sub
contractors, receiving and storage of raw materials and identification and
issue of raw materials and engineering stores
7irector >inance, 8r 0atel) He is responsible for all matters related to
finance, accounting, wages, costing etc He supports the 87 in all his
functions concerning financial matters and any other special task assigned by
the 87
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Secti!/ =50 I-e 1 Rev 1 M%#c 2009 P%e 10 ! 20
-he inJcharge, 8achine "hop, 8r Nair) #ssembly, 8r 7eshpande) Heat
-reatment, 8r 1eddy have supporting functions in their respective areas to
the 3eneral 8anager
-he 7irector Quality is supported by 8r Mabbar #hmed in >inal inspection;
8r 0arab in InJprocess and 8r Magannath in aboratory -he aboratory inJ
charge is designated as the 8anagement 1epresentative 814
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Secti!/ =50 I-e 1 Rev 1 M%#c 2009 P%e 10% ! 20
ANNEXURE TO SECTION =50
COMPAN( LE*EL ,UALIT( O@ECTI*ES
-he Quality 0olicy of the Company has been translated into the following
Company level Quality 'bEectives)
&4 Improvement in customer satisfaction inde+
$4 1eduction in number of customer complaints ! repeat complaints
24 Improvement in delivery schedule adherence
B4 1eduction in reEects and reworks
D4 Cost reduction ! value improvements
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Secti!/ >50 I-e 1 Rev 1 M%#c 2009 P%e 11 ! 20
>50 RESOURCE MANAGEMENT
-he 8anagement of the Company has determined G provides resourcesneededa4 -o implement, maintain and continually improve the Q8"
b4 -o enhance customer satisfaction
Human 1esources
It is ensured that all the personnel engaged in performing work affecting the
products are competent on the basis of appropriate education, training, skills
and e+perience
Competence, #wareness and -raining
-he company has the following activities to ensure competence, awareness
and -raining
a4 7etermination of competence levels for different positions
b4 0rovision of -raining to ensure that competence levels are achieved
-hese activities are coordinated through the Company "ecretary
Infrastructure
-he company is e/uipped with facilities such as well designed and well
furnished rooms, dining area, transportation etc which are maintained in
good condition at all times
-he company is also e/uipped with facilities G e/uipment to provide
amenities such as central air conditioning to the offices, stand by power andcommunication, through a team of e+perienced G competent personnel
Head of
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Secti!/ ?50 I-e 1 Rev 1 M%#c 2009 P%e 12 ! 20
?50 PRO'UCT REALISATION
#4 0lanning for 0roduct 1ealisation
-he company plans and develops processes, which are consistent with the
other processes of the Q8" In planning for product realiation, the /uality
obEectives and customer re/uirements are considered 8onthly and weekly
product plans are prepared and issued by 7irector 8aterials -hese plans are
based on the availability and procurement of materials
4 Customer related processes
-he company makes efforts to determine the specified and implied needs of
the customer which are necessary for customer satisfaction -he statutory
and regulatory re/uirements related to the products are compiled by the
company -he "ales office has the responsibility of identifying needs of the
customer -he concerned department heads are responsible for the
compliance of the statutory G regulatory re/uirements applicable to the
products
-he customers of the company can be corporate bodies or distribution
agents -he re/uirements for the product are clearly specified and agreed
upon -his is based upon the company brochure and e+isting! agreed
specifications In all cases the re/uirements are reviewed, to ensure that the
re/uirements are clearly defined, and the company has the ability to meet
the specified re/uirements If any differences e+ist in the specified
re/uirements and the proposal, these are resolved at the time of preparationof contract -he record of review is maintained by "ales office
-he company has implemented effective arrangements for communicating
with the customers in relation to product information, periodic updates,
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Secti!/ ?50 I-e 1 Rev 1 M%#c 2009 P%e 1; ! 20
en/uires, contracts or direct orders and customer feedback including
customer complaints
C4 7esign G 7evelopment
-he products provided by the company are standardied and as such there is
no re/uirement of designing the products -he
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Secti!/ ?50 I-e 1 Rev 1 M%#c 2009 P%e 1< ! 20
their respective procedure Neither the company nor its customers perform
verification at the supplier premises
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Secti!/ ?50 I-e 1 Rev 1 M%#c 2009 P%e 1= ! 20
B4 Customer property
-he company e+ercises utmost care with the customer@s property when the
customer provides any product or information for incorporation into the
products supplied =tmost care is taken to ensure that the customer does not
lose or suffer damage to his belongings -he overall responsibility rests with
the 8anager 0ersonnel G #dministration who ensures the security of
customer belongings through a well K organied security force
D4 0reservation of product
-he products provided by the company are handled, packed, stored andpreserved as appropriate
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Secti!/ 850 I-e 1 Rev 1 M%#c 2009 P%e 1> ! 20
850 MESUREMENT6 ANAL(SIS IMPRO*EMENT
#4 -he company has planned and implemented measurement, analysis and
improvement processes needed to)J
a4 7emonstrate conformity of the product
b4
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Secti!/ 850 I-e 1 Rev 1 M%#c 2009 P%e 1? ! 20
74 8onitoring G 8easurement of process
-he respective department heads monitor the processes under their control
on a dayJtoJday basis When the results are below the planned level,
immediate corrections are taken
or the products provided by the company, there is an elaborate system of
inspection and tests #t all relevant stages of manufacture and additionally,
where specified by the customer, the products are inspected or tested as per
/uality plans >inal tests are recorded and the records are maintained by therespective /uality department Intermediate test records may or may not be
available as many of these tests!inspections are carried out by the production
personnel
>4 Control of nonconforming products
-he company takes care to ensure that nonconformities in the products are
reduced or eliminated It is realied by the company, that the
nonconformities in the products are very much related to human interaction
Hence it is difficult to identify a nonJconformance at the time of occurrence
-he management of the company has however therefore formulated a
:Corrective #ction 3roupA C#34 -he membership of the C#3 is decided by
the
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Secti!/ 850 I-e 1 Rev 1 M%#c 2009 P%e 18 ! 20
34 #nalysis of data
-he individual departmental heads collect appropriate data on issues
described earlier for e+ample customer complaints, process and product
conformance, nonconformance, internal audits etc
-his data is analyed in the respective sections to verify and confirm the
suitability of the Q8" and to evaluate areas for continual improvement of the
Q8"
H4 Continual improvement-he company strives to continually improve the effectiveness of the Q8"
primarily during the management review meetings and other means such as
achievement of /uality obEectives, audit results, analysis of data, corrective G
preventive actions
I4 Corrective action
-he C#3 identifies the nonconformities during the processing of product and
delivery 'ther opportunities such as internal /uality audit, monitoring of
service process etc are used to identify areas for improvement
# documented procedure 3
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Secti!/ 850 I-e 1 Rev 1 M%#c 2009 P%e 19 ! 20
M4 0reventive action
-he documented procedure 3
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Secti!/ 850 I-e 1 Rev 1 M%#c 2009 P%e 20 ! 20
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ANNEXURE ) 2
GOO'+ILL E,UIPMENT COMPAN( LIMITE'
MATERIALS 'EPARTMENT
O@ECTI*ES
PROCESS MEASURERS
GECBMATBP;
Copy No ) %D
Issue 7ate ) $$!%2!$%%(
Issued y ) 81
1evision No ) %
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O@ECTI*ES FOR MATERIALS 'EPARTMENT
&4 1eduction in ead -ime for 0rocurement
$4 1eduction of 1eEections of Incoming 8aterials due to Improper
Communication of "pecifications to "uppliers
24 Improvement in 7elivery #dherence by "uppliers
B4 1eduction in ead -ime of 0ayment to "uppliers
D4 1eduction in Inventory -urns 'ver time at 1eceipt "tores
F4 Increase in "uppliers with :7irect 'n ineA "tatus
94 Cost 1eduction ! alue Improvement by Ley "uppliers
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PROCESS AN' PRO'UCT MEASURES
LINDE' TO OE@CTI*ES
"lNo 0rocess!0roduct 8easure 1elation to 'bEective
%& 1eduction of -ime from 1eceipt ofindent!purchase 1e/uest to issue of 0'
&
%$ 1eduction of 0roduction ead -ime of Ley"uppliers
&,2,9
%2 1eduction of Changeover!"etup -ime in0roduction #rea of Ley "uppliers
&,2,9
%B 1eduction of "pecification 8ismatchbetween indent ! 1e/uest and 0urchasing7ata found during #udit
$
%D 1eduction of :"tore 1eceipt ! InspectionClearanceA -ime
&,B,D
%F Improvement in "traight 0ass 1atio 'L8aterial ! 1eceived material4 of Ley"uppliers
$,F
%9 8onitoring of Item Wise days ofInventory based on Item wise closingstock and shop consumption pattern4
&,D
%* 8onitoring of ead -ime of 0rocurement,"upplier wise
&,2
%( 1eduction of -ime of 0reparing, 0aymentInstruction after 8aterial is ok
B
&% 1eduction in 1epeat Nature of 1eEectionat 1eceipt "tage
$,F
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EXERCISE E02
PREPARATION OF AN
ONSITE AU'IT PLAN
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E 02 : PREPARATION OF AN
ONSITE AU'IT PLAN
INSTRUCTIONS FOR E02
Objective
0repare an 'nJ"ite #udit 0lan after completing the 7ocumentation 1eview of
3
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EXERCISE E0;
CHECDLIST FOR AU'ITINGA ,MS PROCESS
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E0; : CHECDLIST FOR AU'ITING
A ,MS PROCESS
INSTRUCTIONS FOR E0;
Objective
0repare two checklists for
& auditing a Quality 8anagement "ystem 0rocess
$ verifying compliance with the re/uirements of a clause of I"'(%%&)
$%%*
Met!"
• 1ead the te+t of the e+ercises enclosed
• 0lease refer to section * of your course notes and prepare
separate checklist for both the e+ercises
• >or e+ercise No & consider the 07C# principle in terms of
inputs, outputs, result, process measures, linkages with /uality
obEectives G continual improvement
F!#$%t
0lease present you response in any format preferred by you and submit the
same to the tutors
N!te
• -his is a group e+ercise
• Nominate a time keeper
• -he output of the e+ercise is part of the formal continuous assessment
and will therefore be marked by tutors and feedback would be given to
the participants
Ti$e %&&!tte":
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EXERCISES
& .ou are conducting an audit of a medium sied manufacturing company
-he document review has raised a concern about how the organiation
ensures the competence of staff
0repare a checklist that would guide you through a process audit of this
area and state the relevant I"' (%%& clauses
$ What obEective evidence could be available in order to verify compliance
with re/uirements of Clause 9$2 of I"' (%%&O In your presentation,make links to other I"' (%%& clauses as necessary
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EXERCISE E0<
OPENING MEETING
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E0< : ROLE PLA( ON OPENING MEETING
INSTRUCTIONS FOR E0<
Objective
-o conduct an 'pening 8eeting in line with what has been covered in the
course notes
Met!"
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• #s this is a second party audit there is no certificate at stake #lso the
organiation is a prestigious one giving you reasonably good products
• -he tutors will allocate the roles to be played by the different teams in
this 'pening meeting Eust before the role play
N!te
• -his is a group e+ercise
• Nominate a time keeper, -eam leader and #udit team members
• -his roleplay e+ercise is part of the formal continuous assessment and
will therefore be marked
Ti$e %&&!tte"
0reparation ) 2% minutes
1ole 0lay ) &D minutes
>eedback ) &D minutes
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CS2 CS;
ONSITE COMPLAINCE AU'IT
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CS2 AN' CS; : ONSITE
COMPLIANCE AU'IT
INSTRUCTIONS FOR CS2 AN' CS;
Objective
-o conduct an 'nsite #udit of 3
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G-i"e&i/e !# CS2 CS; P#ee/t%ti!/
0lease present your responses in the following format on the 'H0
0aragraph
Number
NC1!0NC1!
"tatement
Clause!
"ubclause No
Quality 8anual
"ection ! 0rocedure
No
G-i"e&i/e !# CS; R!&e P&%.
& -he preparatory work of the role play of the auditors G the role of the
observers for all the incidents should make use of the following
guidelines -hese guidelines would facilitate the conduct of an audit
interview in a structured and systematic manner
⇒ =se a checklist effectively and follow audit trails
⇒ 3ain an understanding of the process, including its purpose,
inputs, outputs, controls and related /uality obEectives
⇒ uild rapport with the auditee
⇒ Question
⇒ isten
⇒ 8ake notes
⇒ "earch documents
⇒ "elect sufficient and relevant samples
⇒ 0rovide feedback to the auditee
$ When & group plays the role of the auditor, the other groups will
provide feedback
2 -he incidents that would be taken up for the role play would be
communicated to the participants at an appropriate time before the
presentation
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N!te
• -hese are group e+ercises followed by individual work
• Nominate a time keeper, presenter
• #ll the groups to work on all the incidents
• #llocation of incidents to groups for presentation will be
informed before the presentation
•
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Work ook ! Case "tudies #pril $%&% 51
CS2
ONSITE AU'IT IN
MANUFACTURING AREAS
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CS2 ) IMPLEMENTATION AU'IT
IN A MANUFACTURING AREA
&4 #fter reaching "rirampur Works, the #uditor met the Works 8anager in
his office #fter brief introduction formalities with the Works 8anager
and "hop Incharges of Heat -reatment and machine "hop, the #uditor
en/uired about the Quality 0olicy and 'verall 'bEectives -he #uditor
noted that the replies were in line with the company documents he
had seen earlier
-he #uditor asked the Works 8anager how the obEectives are
established here, in line with overall obEectives -he Works 8anager
replied that the obEectives are established at the "rirampur Works and
he monitors these obEectives closely -he #uditor en/uired whether
obEectives are also established for the "hops such as machine "hop
and >oundry G Heat -reatment -he Works 8anager clarified that
obEectives for individual shops are not established since he reports to
the 38 on the overall performance of the Works He added further
that the "hop Incharges of Heat -reatment and 8achine "hop onlyassist him in achieving these obEectives
$4 In the Heat -reatment section, the #uditor noticed a pile of forgings on
the floor =pon en/uiry, he learnt that these are a batch of forgings,
which has completed that Heat -reatment cycle at &$%%P C for si+
hours and was waiting to be moved over -he #uditor counts &( pieces
and asks for records or instructions -he supervisor says that records
are in his office
In the office, the area is untidy and several process cards are lying
around 'n the wall, the pockets for storage of process cards are
/uite empty
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#fter searching for /uite some time, the "upervisor showed a card and
said, :here, this is it 0art no B*F$D&F and Eob no %B!D9(A -he
#uditor sees the card and points out that there are $$ pieces in this
Eob and two of them are to be test pieces
-hey go back to the pile of forgings, and the "upervisor recounts
them -hen he remarks that this might have been all they received for
Heat -reatment He says he would ask someone in the section to look
for the other pieces He was not sure whether the test pieces had
been sent to the aboratory
-he #uditor re/uested to have a look at the furnace He noticed thatthe furnace is loaded for the ne+t items but at the back, he noticed an
item similar to the forgings -he "upervisor was /uite annoyed but
asked one of the operators to take out the forging -he #uditor
en/uired about the controls and interactions of the Heat -reatment
process with the other sections -he "upervisor replied that he had
the process sheet and work instructions in his office
24 In the Heat -reatment office, the #uditor noticed some
recording instruments and asked the "upervisor which one was for the
furnace Eust seen -he "upervisor pointed to the no 2 recorder and
said that out of B recorders, two are not functional and so he uses the
two operating ones, as and when re/uired -he #uditor went through
the record and observed that the temperature was held stable only for
D hours as against the F hours re/uired #n operator was called in and
he clarified that the time is counted by all operators from the start of
the curve and upto return of the curve on the recorder@s temperature K
time graph
-he #uditor asked the "upervisor whether that is the way -he
"upervisor replied that he had no complaints so far from the hardness
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machine operators -he #uditor asked the furnace hands whether they
are trained for the Eob and whether they understand the importance of
the process -he furnace hands were blank and the "upervisor
/uipped that they have been in the section for /uite a long time
B4 -he #uditor got further interested and en/uired the "upervisor
whether any analysis of previous results of the products or process has
been made or any feedback has been given by other departments,
particularly Q# -he "upervisor was /uite surprised and said that
everyone in the shop are so busy with the production Eobs that they
have no time for other work -he #uditor then en/uired whether any
Internal Quality #udits have been carried out -he "upervisor said yesand showed copies of audit reports -he #uditor noticed that the
reports were not available in se/uence and it was not possible to find
out the dates of previous audits None of the available reports made a
reference to the points which the #uditor was looking for
D4 -he "upervisor contacted the 3eneral 8anager on phone and en/uired
whether he was aware of any analysis done earlier -he 3eneral
8anager was also not aware and asked what needs to be analysed and
why he sounded /uite irritated4 He asked the "upervisor to note
down what the #uditor is looking for so that he can arrange the same
to be done /uickly by outside agency
F4 -he #uditor asked the "upervisor whether the instruments are
calibrated regularly -he "upervisor replied that an
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are replaced by the
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analysis thereon -he 38 said that monthly review meetings are held
where the respective shop "upervisors present the details of
performance related to production and process problems, if any
1egarding the monitoring of process and analysis, he confirmed he has
received a message from the Heat -reatment and assembly shops
when the areas were audited and that the 38 would organie a review
in the near future -he ead #uditor e+plained that it is not for an
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reviewed in the monthly production meetings It is e+pected that each
department adheres to /uality re/uirements specified by 7irector
Quality -he 38 was not clear on what the #uditors were looking for
-he ead #uditor e+plained that /uality parameters, in other words,
the specified values of the characteristics of the products need to be
declared and achieved in the departments ased on these, obEectives
and targets for achievements in relation to /uality are to be
established and monitored -he 38 responded that some such activity
was being carried out in the machine shop and the electronics
assembly shop -he records were called for and upon e+amination the
#uditors found that in both the shops the achievable targets were
established -hese were being monitored also, but no at regularintervals -he #uditors made notes on the above finding
&%4 -he ead #uditor asked the 38 as to how the * /uality management
principles are incorporated in the system, specifically in relation to
involvement of people, process approach and continual improvement
-he 38 e+plained that people at all levels are aware of Customer
specifications and the re/uirements of /uality products Hence the
Company has succeeded in involving people to a considerable e+tent
With respect to process approach, the 38 e+plained that the processes
in each area of 8anufacturing are identified with their respective
inputs and outputs When the ead #uditor asked about the interJ
relationships and monitoring of processes, the 38 replied that there is
no special effort re/uired since the problems are reviewed in the
8onthly 0roduction meetings held in the 38@s office -he ead #uditor
en/uired whether the other 7epartments such as "ales, 8aterials and
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improvements have not been considered so far -he #uditors made
e+tensive notes and said that they would continue the #udits in the
other areas and then come back to 38, at a later time, if re/uired
-hus saying, the two #uditors departed from 38@s office
&&4 -he ead #uditor proceeded to the 0urchase 7epartment and the
second #uditor proceeded to the assembly area -he #uditor was
introduced to the #rea "upervisor and the "enior Inspector in the
#ssembly #rea -he "upervisor welcomed the #uditor and informed
him that he has limited time for an hour after which he would leave for
an important meeting -he #uditor made note of the point and
informed the supervisor that he would try to relieve the gentlemen, asearly as possible
-he #uditor asked the "upervisor to e+plain the processes in the
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Works 0rocess Cards W0C4 which were originated in the
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the
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&D4 'ne of the 3uides took one of the #uditors to the Calibration ab
and introduced to him to the Incharge -he #uditor asked the abJ
Incharge to e+plain the functions carried out by the ab -he abJ
Incharge e+plained that the ab caters to the product testing for
physical and chemical properties "ome of the testing work is given to
a well known aboratory in the neighborhood -he abJIncharge also
e+plained that the ab carried out calibration of instruments, gauges
etc -he #uditor asked him whether the ab sends the -echnicians for
on the work spot calibration also >or this the abJIncharge mentioned
that at the work spot, calibration is attended to by the
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reports from the outside aboratory -he abJIncharge promptly
produced a file which had many certificates, nearly filed with
separators, which had the identification of the instruments -he
#uditor leafed through the file and picked up a report which had a
number of temperature reading He noticed that there were deviations
in the instrument reading with respect to the actual setting -he
#uditor asked whether the accuracy of the instrument is acceptable
-he abJIncharge replied that it is for the
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has a variety of
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CS;
ONSITE AU'IT IN
SER*ICE AREAS
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CS;: IMPLEMENTATION AU'IT
IN SER*ICE AREA
&4 -he ead #uditor was taken to the 7irector K "ales #fter the brief
introduction and formalities, the 7irector "ales e+cused himself for a
few minutes stating that he has an important and urgent message in
the communication room, where hot lines have been established to
proEect sites of the Customers In the mean time, tea and snacks
were served to the ead #uditor #fter full $% minutes, the ead
#uditor asked the 3uide whether he could arrange for the second
person in the 7epartment to arrive with an organiation structure of
the 7epartment -he "ales 8anager for "tandards 0roducts soon
responded and an+iously presented the 7epartmental 'rganiation
Chart which also had the roles and responsibilities of different
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$4 -he ead #uditor asked as to how the en/uiries and /uotations are
handled -he "ales 8anager replied that the first task is to enter into
a log book and complete the relevant details -he ead #uditor asked
whether he could see the log book, the 8anager offered to lead into
the "ales 'ffice where the other staff are working -he ead #uditor
and the 8anager went to the adEoining 'ffice and the 8anager started
to look around for the log book He went over to a desk where one of
the "ales engineer was working #fter a long time and after
discussions, the 8anager brought the log book -he #uditor could see
that many of the entries had Eust numbers and the 8anger was in the
meantime e+plaining that the young
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produced two more log books, one for /uotation and one for order
-he #uditor could not identify any coJrelation between the three log
books He reiterated that there is no follow up of information in a
se/uence and that the process is not uniformly followed -he 8anager,
who was /uite embarrassed, stated that he would look into the matter
24 -he ead #uditor asked whether the inputs, outputs and interactions
for the sales order processing have been identified -o this the
7irector "ales replied :we all know our Customers re/uirements well
and also any additional re/uirements such as the recent order JB&,
wherein special types of process Instrumentation was called forA -he
ead #uditor asked as to what was the action taken -he 8anagerreplied that clarification was sought from
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case of product supply only, defects are informed to us and then
rectified by our staff
-he ead #uditor e+plained that the I"' (%%& "tandard re/uires the
organiation to be proJactive, rather than passive It e+pects the
organiation to look for Customer "atisfaction as well as
dissatisfaction -he 7irector "ales replied that the company has done
whatever possible towards customer "atisfaction He said for
Corporate and bigger Customer there is a proper communication
whereas for smaller Customers and for product supply contracts there
is no definite way of obtaining feed back He said that many of such
Customers appear to be /uite satisfied "till he said he will look intothe matter and do something
D4 -he ead #uditor asked how the Customers re/uirements are reviewed
before acceptance of the order -he 7irector "ales replied that all the
"ales abrication
"hop about the order and procurement is already arranged -here
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were no records of negotiation meetings and the
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replied that there are "ection Heads who keep the detailed process
diagrams for their respective areas of work, whereas the 7irector
maintains overall process diagram for the department While
responding to the interactions of processes, asked for by the #uditor,
the 7irector stated that the process interactions within the department
are identified in the overall process diagram -he #uditor then
en/uired about interactions with the processes of other departments
-o this, the 7irector replied that purchasing is an independent function
and therefore no interactions need to be determined with the
processes of other departments -he #uditor took notes of this -he
#uditor asked as to how the processes in the 8aterials 7epartment are
being monitored -he 7irector K 8aterials replied that this is carriedout by the individual "ection Heads and he sets targets for them -he
#uditor then asked 7irector K 8aterials whether he has any plans for
improvement -he 7irector stated that he increases the target by
&% every year
*4 -he ead #uditor proceeded to the 0urchase "ection and asked the
8anager 0urchase as to how the "uppliers are selected -he 8anager
0urchase said that the decision is with the 7irector 8aterials We
maintain a list of suppliers but e+pressed that it is not always possible
to adhere to this list -he ead #uditor asked whether the selection of
"uppliers has been identified as a part of purchasing process -o this,
the 8anager replied that it is identified as a process and the inputs
and outputs are clearly identified -he ead #uditor asked if there are
any interactions identified with other 7epartments or processes -he
8anager said that the selection of "uppliers is a prerogative of the
0urchase 7epartment alone -he ead #uditor asked whether any
controls and monitoring are identified -he 8anager replied that the
7irector 8aterials decides on the supplier and hence he e+ercises
control
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-he ead #uditor asked for the list of approved "uppliers and the list
was promptly produced He noticed that the list was a running list of
addresses, with names of contact persons and telephone numbers
-he ead #uditor asked as to what these "uppliers are approved to
supply -he 8anager replied that the "uppliers are mostly
components and raw materials "uppliers -he ead #uditor asked the
8anager whether there is a fre/uent transport of material between the
units of the company; and between the company and its Eob work sub
contractors -he 8anager replied :yes we have lot of movement of
materials and we try to restrict the transport vehicles to a few
identified transport contractors We take lot of care of our products
and semi finished goods and we are very particular about the handlingand transportA -he ead #uditor asked whether such transporters and
Eob work sub contractors are listed in the approved list -he 8anager
said that may be one or two are listed, but you will have to search for
it -he ead #uditor asked whether the 8anager knows as to how
many times the orders are placed on non listed "uppliers -he
8anager was not sure, but he said that maEority of orders are placed
on the listed "uppliers
(4 -he ead #uditor was going through some 0urchase 'rders and
noticed that there was a section on certain electronic items which
needed testing by the supplier before dispatch He asked the 8anager
0urchase whether anybody from the Company visits this "upplier for
seeing or witnessing the tests as there was a mention of testing prior
to dispatch -o this, the 8anager replied that in some cases, an
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serious discussions -he ead #uditor clarified that what he was
looking for -he 7irector took out a neatly preserved folder which
appeared to be very fresh and not opened He handed over the folder
to the ead #uditor and remarked :-he 8anagement 1epresentative
gave this to me last week and I am afraid I have not made really much
of itA -he ead #uditor reJconfirmed that he was looking for some
specific interaction concerning testing at "uppliers works, prior to
dispatch When he looked through the process map, there was no
interaction regarding inspection -he ead #uditor asked as to who
decides on inspection at "uppliers works -he 7irector 8aterial said
that it depends on the item or the sub assembly and may be the
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supplier was entered in a new page and data of analysis was available
with some remarks by the 7irector
&&4 -he
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mentioned that he had a 8echanical
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see the draft notes prepared -he 7irector took out some sheets of
paper and showed it to the #uditor
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established a /uality policy He also e+pressed that the operators were
not aware of the importance of their activities with regard to the
/uality of the products In this conte+t, the #uditor wanted to know as
to how such information is communicated -he 7irector
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be in this process, some areas have been over looked and he assured
the #uditor that he would immediately arrange for e+haust fans -he
#uditor asked whether any other factors are considered from the point
of working -he 3eneral 8anager said Swhat else do you thinkOS
$%4 -he #uditor asked the 3eneral 8anager whether the company has
strategic decisions taken towards improvement -he 3eneral 8anager
said, the company has been growing continuously by the grace of 3od
#s you might have seen from the Quality 8anual and the company
brochures, we have been growing in sie and e+panding into a new
business -he #uditor wanted to know if any improvement in the
systems and particularly /uality management system is beingperceived -he 3eneral 8anager said that Sas management, we are
happy with the growth of the company and now we have implemented
the systems as per I"' (%%& "tandardsS
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Work ook ! Case "tudies #pril $%&% '
EXERCISE E0=
NCR +RITING
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E0= : NCR +RITING
INSTRUCTIONS FOR E0=
Objective
Write and grade Non Conformance 1eports NC1s4
Met!"
0lease write and grade NC1s for the given incidences If you do not think that
there is sufficient obEective evidence of nonconformity then you should state
your reasons in the space below the report .ou should also state what the
auditor should do ne+t
F!#$%t
0lease present your responses in the given format, on 'H0! flip chart
N!te
• -his is a group e+ercise
• Nominate a time keeper, presenter
• -he output of the e+ercise is part of the formal continuous
assessment and will therefore be marked
Ti$e %&&!tte" : BD minutes
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EXERCISES
I/ci"e/t N-$be# 1
7uring an audit of management review activities you notice from the minutesof management review meetings that the meetings are not attended by any
of the top management team When you /uery this, the management
representative tells you that management review has evolved into a two tier
process, as it was proving so difficult to get all of the departmental and top
managers available at the same time -he process is now that departmental
managers meet and conduct the first level of management review -he
management representative prepares a summary report including actions
and recommendations -his is passed round each of the top management
team for comment, and the 8anaging 7irector finally agrees the action plan
I/ci"e/t N-$be# 2
7uring an audit of internal audits you are shown internal audit reports from
the last audit -hese include a non conformity report stating that 2 people in
the purchasing department had not been trained in the use of the approved
supplier list -he corrective action taken was to train the 2 members of staff-he audit report has been closed -he management representative tells you
that no further investigation was made as the corrective action was obvious
-he internal auditor had checked the training records of the staff concerned
before closing the reports
I/ci"e/t N-$be# ;
In the 0urchasing 7epartment the auditor asks how the new subcontractor
for -85 &%& items was selected -he purchasing clerk e+plains was placed
with a subcontractor which they had never used before, only because the
price /uoted was e+tremely low -he clerk states that no other evaluation
was conducted
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Q8" #=7I- Incident Number??????
NON CONFORMIT( REPORT
Company under #udit) 3
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EXERCISE E0>
AU'IT SUMMAR( REPORT
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E0>: AU'IT SUMMAR( REPORT
INSTRUCTIONS FOR E0>
Objective
-o prepare an accurate, meaningful, #udit "ummary 1eport
Met!"
• Now that the audit at 3
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Work ook ! Case "tudies #pril $%&% &
AU'IT SUMMAR( REPORT
Ete#/%& A-"it ! Re4!#t N!:
O/ be%& ! 5
A-"it '%te 55
A-"it Te%$ 55
Sc!4e
Objective
A-"it C#ite#i% 15
25
;5
SUMMAR( STATEMENT ) E/c&!e"
Rec!$$e/"%ti!/ C!/c&-i!/
E/c&!-#e
15 S-$$%#. St%te$e/t
25;5
Si/e" b.: Le%" A-"it!# '%te
N!te
& -his audit is based on limited samples and other nonJconformancesmay e+ist
$ -his report and its contents should be treated as confidential
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EXERCISE E0?
ROLE PLA( ON CLOSINGMEETING
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E0? : ROLE PLA( ON CLOSING MEETING
INSTRUCTIONS FOR E0?
Objective
-o conduct a Closing 8eeting in line with what has been covered in the course
notes
Met!"
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do not necessarily know them well
• -he team leader to chair the meeting and be responsible for controlling
and running the meeting to plan
• #s this is a second party audit there is no certificate at stake #lso the
organiation is a prestigious one giving you reasonably good products
• -he tutors will allocate the roles to be played by the different teams in
this closing meeting Eust before the role play
N!te
• -his is a group e+ercise
• Nominate a time keeper, -eam leader and #udit team members
• -his roleplay e+ercise is part of the formal continuous assessment and will
therefore be marked
Ti$e %&&!tte"
0reparation ) 2% minutes
1ole 0lay ) 2% minutes
>eedback ) 2% minutes
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Work ook ! Case "tudies #pril $%&%
EXERCISE E08
E*ALUATING PROPOSALSFOR EFFECTI*ENESS OF
CORRECTI*E ACTION
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E08 : E*ALUATING PROPOSALS FOR
EFFECTI*ENESS OF CORRECTI*E ACTION
INSTRUCTIONS FOR E08
Objective
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Ti$e %&&!tte" : 2% minutes
PROPOSALS FOR CORRECTI*E ACTION B E08
I/ci"e/t 2
NC) -he internal audit resulted in correction, but there is no evidence that
the cause of the non conformity was determined, or that action was taken to
prevent its recurrence # review of the actions taken failed to identify that
action had not been taken to prevent recurrence of the problem *D$4
P#!4!e" %cti!/
a4 Internal auditors will be trained to distinguish between correction and
corrective action
b4 NC1 format is modified -he internal auditors need to put their
comments on the effectiveness of the corrective action taken before
closing the NC1s
I/ci"e/t ;
NC) # subcontractor of -85&%& item was selected on the basis of price and
no further evaluation Ff the supplier was made 9B&4
P#!4!e" c!##ective %cti!/
7irector 8aterials along with 7irector Quality shall review the re/uirements
with -85&%& items "uppliers, those participated in the bid shall be
evaluated with the identified re/uirements -he selection of the supplier shall
take place based on the ability to supply -85 &%& items as per re/uirements
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Work ook ! Case "tudies #pril $%&% 91
SPECIMEN EXAMINATION
PAPER
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INTERNATIONAL REGISTER
OF CERTIFICATE' AU'ITORS
,MS AU'ITOR EXAMINATION PAPER ,MS = ) SPECIMEN PAPER
FOR USE ON THE
ISO 9000:2008 SERIES AU'ITORLEA' AU'ITOR TRAINING COURSE
IRCA 22
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I/!#$%ti!/ !# c%/"i"%te
-his e+amination paper is in four sections 0lease attempt all sections
-he time allowed is two hours -here is no additional time allowed for reading the /uestionpaper -here are a ma+imum of *% marks available; the pass mark is 9% DF marks4 andyou must also achieve at least B% in each of the four sections
.our answers must be written on the sheets that are supplied #dditional loose sheets will notbe accepted
-he phrase SI"' (%%&S and :standardA always refer to I"' (%%&)$%%*-he word SclauseS refers to a paragraph or section of I"' (%%& that is identified by anumber such as DB& or a number and letter such as 9&b
-his e+amination is open book
Secti!/ 1 i !#t 10 $%#J
Comprises /uestions which re/uire you either to place a circle around the letter a, b, c, d or e4to indicate which you Eudge to be the best answer .ou must only give one answer for each/uestion If it is not clear which option you have selected, you will be awarded ero marks
Secti!/ 2 i !#t 20 $%#J
Comprises /uestions that re/uire a brief written answer in the space provided
Secti!/ ; i !#t 20 $%#J
Comprises /uestions that re/uire a detailed written answer that will normally fill the spaceprovided
Secti!/ < i !#t ;0 $%#J
Comprises a number of audit situations for which a nonconformity report NC14 may bere/uired
E%$i/%ti!/ !# A-"it!# ! ,-%&it. M%/%e$e/t S.te$
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0age $ of &$
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Secti!/ 1 !#t 10 $%#J
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&F 7ata supporting the e+istence or verity of something is called)
a obEective evidenceb a deficiencyc a nonconformity report
d all of the abovee none of the above
&%9 What information is being sought during a third party audit of a /uality systemO
a a list of nonJconformities to I"' (%%&b obEective evidence of conformity with I"' (%%&c a management commitment to /uality assuranced all of the abovee none of the above
&%* -o act as an auditor of a /uality system a person has to
a be registered as a certificated auditorb have a detailed knowledge of the product or service of the organiation to be auditedc have been a /uality systems managerd all of the abovee none of the above
&%( -he process approach to a /uality management system seeks to help organiations)
a manage numerous linked activitiesb understand and fulfil re/uirements c continually improve processesd all of the above
e none of the above
&&% -he e+tent of documentation of the /uality system should be determined by)
a the comple+ity of processes and their interactionsb the e+pectations of auditeesc the culture of the /uality departmentd all of the abovee none of the above
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Secti!/ 2 !#t 20 $%#J
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$2 I"' (%%% identifies a :process approachA as one of the * /uality principles thatsupport the achievement of /uality obEectives
a
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Secti!/ ; $%i$-$20 $%#J
2& .ou are planning a process audit of an organiation that consists of the followingdepartments)
B sales and marketingB purchasing
B warehouseB packing and despatchB support services
-he top management team consists of the 8anaging 7irector and departmentalmanagers from each of the above areas
a4 What would be your two main considerations in deciding the se/uence of
activities for the auditO B marks4
b4 How would you approach the audit of continual improvement in this
organiationO F marks4
E%$i/%ti!/ !# A-"it!# ! ,-%&it. M%/%e$e/t S.te$
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2%$ .ou are conducting an audit of a medium sied organiation 7uring thedocument review you have raised a concern about the organisation@s system forensuring the competence staff
0repare a checklist that would guide you through a process audit of competence of staff and state the relevant I"' (%%& clauses &% marks4
Work ook ! Case "tudies #pril $%&% 100
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Secti!/ < !#t ;0 $%#J
-hree incidents that occur during a third party audit of a supplier are described below -heycontain situations for which nonconformity reports may be re/uired
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I/ci"e/t N-$be# 1
'-#i/ %/ %-"it ! $%/%e$e/t #evie 4#!ce6 te %-"it!# /!tice #!$ te
#ec!#" ! te $%/%e$e/t #evie $eeti/ t%t te $eeti/ %#e /!t%tte/"e" b. %/. ! te t!4 $%/%e$e/t te%$5 +e/ te %-"it!# 3-e#ie ti6
te $%/%e$e/t #e4#ee/t%tive e4&%i/ t%t $%/%e$e/t #evie % ev!&ve"i/t! % t! tie# 4#!ce6 % it % 4#!vi/ ! "iic-&t !# %&& ! te "e4%#t$e/t%&%/" t!4 $%/%e# t! be %v%i&%b&e %t te %$e ti$e5 Te 4#!ce i /! t%t"e4%#t$e/t%& $%/%e# $eet %/" c!/"-ct te i#t tie# ! $%/%e$e/t #evie5Te $%/%e$e/t #e4#ee/t%tive 4#e4%#e % -$$%#. #e4!#t i/c&-"i/ %cti!/%/" #ec!$$e/"%ti!/5 Ti i 4%e" #!-/" e%c ! te t!4 $%/%e$e/t te%$!# c!$$e/t6 %/" te M%/%i/ 'i#ect!# i/%&&. %#ee te %cti!/ 4&%/5
If you think there is evidence of a nonconformity, complete this report)
IRCA ,MS AU'IT ) NONCONFORMIT( REPORT
Company under #udit) 5.6 plc Nonconformity Number)
#rea under review) I"' (%%& Clause Number)
Category 8#M'1T 8IN'1T T delete one
Nonconformity)
#uditor)
'r, if you "! /!t think that there is sufficient evidence of nonconformity, state the reasonsfor your decision and state also what further actions the auditor should take
E%$i/%ti!/ !# A-"it!# ! ,-%&it. M%/%e$e/t S.te$
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I/ci"e/t /-$be# 2
'-#i/ %/ %-"it ! i/te#/%& %-"it te %-"it!# i !/ i/te#/%& %-"it #e4!#t #!$te &%t %-"it5 Tee i/c&-"e % /!/c!/!#$it. #e4!#t t%ti/ t%t ; 4e!4&e i/ te
4-#c%i/ "e4%#t$e/t %" /!t bee/ t#%i/e" i/ te -e ! te %44#!ve" -44&ie# &it5Te c!##ective %cti!/ t%Je/ % t! t#%i/ te ; $e$be# ! t%5 Te %-"it #e4!#t %
bee/ c&!e"5 Te $%/%e$e/t #e4#ee/t%tive te&& .!- t%t /! -#te# i/veti%ti!/% $%"e % te c!##ective %cti!/ % !bvi!-5 Te i/te#/%& %-"it!# %" cecJe"te t#%i/i/ #ec!#" ! te t% c!/ce#/e" be!#e c&!i/ te #e4!#t5
If you think there is evidence of a nonconformity, complete this report)
IRCA ,MS AU'IT ) NONCONFORMIT( REPORT
Company under #udit) 5.6 plc Nonconformity Number)
#rea under review) I"' (%%& Clause Number)
Category 8#M'1T 8IN'1T T delete one
Nonconformity)
#uditor)
'r, if you "! /!t think that there is sufficient evidence of nonconformity, state the reasons foryour decision and state also what further actions the auditor should take
I/ci"e/t N-$be# ;
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I1C# e+amination paper Q8" D "pecimen 0aper, amended for use on certified course Axx operated by T0age && of &$
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E%$i/%ti!/ !# A-"it!# ! ,-%&it. M%/%e$e/t S.te$
E%$i/%ti!/ !# A-"it!# ! ,-%&it. M%/%e$e/t S.te$
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I/ te P-#c%i/ 'e4%#t$e/t te %-"it!# %J ! te /e -44&ie# !# TMX101ite$ % e&ecte"5 Te 4-#c%i/ c&e#J e4&%i/ t%t te #e-&%# -44&ie# c!-&"
/!t $eet te "e&ive#. "%te %/" te !#"e# % 4&%ce" it % -44&ie# t%t te. %"/eve# -e" be!#e6 !/&. bec%-e te 4#ice 3-!te" % et#e$e&. &!5 Te c&e#J
t%te t%t /! !te# ev%&-%ti!/ % c%##ie" !-t5
If you think there is evidence of a nonconformity, complete this report)
IRCA ,MS AU'IT ) NONCONFORMIT( REPORT
Company under #udit) 5.6 plc Nonconformity Number)
#rea under review) I"' (%%& Clause Number)
Category 8#M'1T 8IN'1T T delete one
Nonconformity)
#uditor)
'r, if you "! /!t think that there is sufficient evidence of nonconformity, state the reasons foryour decision and state also what further actions the auditor should take
E/" ! e%$i/%ti!/
Work ook ! Case "tudies #pril $%&% 105
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GUI'ELINES ON LO'GING
COMPLAINTS
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ADD TO WORKBOOK / CASE STUDIES + Q MANUAL
1eference Ti!le
WI!*& G-i"e&i/e O/ H! T! M%Je C!$4&%i/t
Issue No 1evision No Issue 7ate #pproved y 0age
$ 2 %&J&%J%F& of $
150 P-#4!e
&& -he purpose of this guideline is to inform delegates on the appeal procedure
250 Sc!4e
$& -his work instruction covers all the complaints relating to administration,conduct and management of certificated courses
;50 Re4!/ibi&it.
2& 7elegates are responsible for raising complaints 8anagement of CII isresponsible for resolving them I1C# ! N10- has an adEudicating note inthis Vappeal@ procedure
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ADD TO WORKBOOK / CASE STUDIES + Q MANUAL
1eference Ti!le
WI!*& G-i"e&i/e O/ H! T! M%Je C!$4&%i/t
Issue No 1evision No Issue 7ate #pproved y 0age
$ 2 %&J&%J%F& of $
B2 In case complainant is not satisfied with CII@s actions, , they have the rightto appeal to I1C# and!or N#a+ ) BB'4 $% 9$BD F*BBa+ ) (& && $229 (F$&eJmail ) nrbptX/cinorg
D% Rec!#"
1ecord of complaints file
>50 Ree#e/ce
F& >orms
>orms &9 ) 1ecord of Complaints
mailto:[email protected]:[email protected]:[email protected]:[email protected]
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Work ook ! Case "tudies #pril $%&% 9&
Re"erence #uali!$ %anual & Section 2 'rocedure & CII/QMP/81
'ELEGATE FEE'ACD FORM
Work ook ! Case "tudies 9&
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F!#$ Tit&e : 'ELEGATE FEE'ACD FORM
IRCA C#ite#i% N-$be# : IRCA22orm F!'ct $%
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ii4 -he purpose, content andinterrelationship of I"' (%%%, I"'(%%&, I"' (%%B and I"' &(%&&
iii4 Interpreting re/uirements of I"'
(%%& in the conte+t of an audit
iv4 -he roles and responsibilities of auditors and lead auditors
v4 0lan and conduct and audit inaccordance with I"' &(%&&
vi4 1eporting the audit, includingwriting valid, factual and valueJadding nonJconformity reports
vii4 =ndertaking audit followJupactivities, including evaluating theeffectiveness of corrective action
B
B
B
B
B
B
2
2
2
2
2
2
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a4 How well did the course meet itsaims, as you understood themO
b4 How well were your specific needsmetO
B
B
2
2
$
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PARAMETERS Ece&&e/t G!!"
Re&ev%/t
F%i# P!!#
;5 COURSE 'ESIGN
'ELI*ER(
How satisfied were you with the
a4 isual aidsb4 Course notesc4 Case studies G e+ercisesd4 "yndicate Work G 1ole playe4 Course "tructure
BBBBB
22222
$$$$$
&&&&&
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orm F!'ct $%%F!%&
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9 T9 re"ers !o !he Tu!or suppor!ing !he 8ead Tu!or : 1here onl$ one Tu!or is conduc!ing use column "or T3
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$ of B>orm F!'ct $%%F!%&
2 of 2>orm F!'ct $%%F!
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