Auditor: XYZ Certification Body

Auditee: Karibu Pies Ltd- 1st Surveillance Audit

Audit number: XYZ/2016/001
Date of Notice: 2nd June 2016
Date of Audit: 17th June 2016
AUDIT PLAN
Audit Objectives: to determine the conformity to ISO9001:2015 QMS Requirements and to
the organizations own requirements and to evaluate the effectiveness of the QMS system
Audit Criteria: ISO 9001:2015 QMS standard, Karibu Pies procedures, work instructions and
policies, relevant statutory and regulatory requirements and sector standards
Audit Scope: Manufacture and distribution of ready to eat, ambient, shelf stable fruit pies
Audit Team:

Walter (Team Leader), Samuel, Peter, Julius, Ezra

Audit Time Table

9.30 10.00: Opening Meeting
10.00 11.00: Top Management Audit
11.00 11.20: Health Break
11.20 11.45: Auditors Review Meeting
11.45 12.00: Closing Meeting

Resources
Meeting room, PPE, stationery, printer, photocopier, telephone, guide

CHECKLIST
1. How do you ensure resources needed for QMS are available? Clause 5.1.1 (e).
2. How do you ensure QMS achieves the intended results? Clause 5.1.1 (g).

3. How do you contribute to the promotion of the use of risk-based thinking? Clause 5.1.1
(d).
4. How do you contribute to the promotion of the use of process approach? Clause 5.1.1
(d).
5. How are customer requirements determined? 5.1.2(a).
6. What are your customer requirements? How do you ensure that the same requirements
are addressed? 5.1.2 (a).
7. Do you have a review plan for QMS? Clause 9.3.1.
8. How often do you hold Management Reviews? Clause 9.3.1.
9. What are the competences necessary for the production manager? Clause 7.16.
10. How do you maintain organization knowledge? Clause 7.1.6.
11. How organizational knowledge is made available? Clause 7.1.6.
12. How do you ensure roles and responsibilities are assigned and communicated? Clause
5.3.
13. What are the necessary statutory regulations that apply to your firm?

CLOSING MEETING
The Auditors noted the following:
(a) The Auditees were co-operative and willing to provide information to the Auditors;
(b) A QMS is being implemented at Karibu Pies Limited;
(c) There is evidence of leadership and commitment in terms of resource provision such as
the budget;
(d) The Auditees are aware of customer requirements and get customer feedback through
market intelligence;
(e) Roles and responsibilities have been assigned;
(f) There is also communication and awareness that is done through meetings and
induction of new staff;
(g) There is compliance with the relevant statutory and regulatory requirements in terms of
licensing from the National Environmental Management Authority;
(h) Data analysis is done to monitor performance of QMS; and
(i) Competencies have been determined.

Closing Meeting Attendants list

1. Chief Executive officer- Tom Mkubwa
2. Finance Manager- Robert Kyalo

3. Quality Manager- June Mboya

4. Lead auditor Walter Masinde
5. Auditors: Julius, Samuel and Ezra

SURVEILLANCE AUDIT REPORT

Quality system audit
Prepared for: Karibu Pies ltd
Report number XYZ/2016/001
Report date: 17th June 2016

AUDIT REPORT SUMMARY

PURPOSE:
XYZ acting as Karibu pies limited auditor conducted a quality Management System (QMS) audit for
compliance to ISO 9001: 2015 on the 17th June 2016 at their facility. The purpose of this report is to
summarize the results of the QMS audit.
SCOPE
This report consists of a set of audit documents and completed forms when taken together details
the results of the QMS audit.

AUDIT PLAN AND DETAILS

This document set forth other information regarding the auditors and documentation used.
ATTACHEMENT
A copy of the completed audit checklist, Audit plan is attached.
POSITIVE FINDINGS
Listed below are the positive findings:
Leadership and Commitment (clause 5.1.1):
ISO 9001:2015 requires that top management provide evidence of its commitment to development
and implementation of the Quality Management System.
Karibu Pies Limited has shown commitment to developing and implementing an ISO 9001:2015
compliant Quality Management System. This is evidence by managements direct involvement in
processes, commitment of resources, management review activities.

Customer focus clause 5.1.2b

ISO 900:2015 requires the organization to determine the customer requirements and how they are
met.
Karibu Pies limited has put in place measures to determine the customer requirements and how
they can be met.
There are records of determined customer needs and expectations.
Management Review plan (clause 9.3.1)
ISO 900:2015 requires that the management of Karibu Pies limited, should review QMS at planned
intervals.
Karibu Pies limited has put in place management review schedule and procedures. There is evidence
to attest to this.
Organization knowledge (clause 7.1.6)
ISO 900:2015 requires that Karibu Pies limited determine the knowledge for QMS operations
Karibu Pies limited has determined quality champions and their relevant qualifications and necessary
work experience.
Organizational roles, responsibilities and authorities (clause 5.3)
ISO 900:2015 requires that Karibu Pies Limiteds top management assign responsibilities and
authorities for effective QMS operation.
Karibu Pies limited has maintained an elaborate organisation chart spelling out responsibilities and
reporting structure.
OBSERVATIONS
ISO 900:2015 requires that Karibu Pies Limited determines the risks and opportunities that need to
be addressed. (Clause 6.1)
Karibu Piles Limited risks and opportunities have been determined. However, it was noted that the
members of the top management are not aware of any risks and opportunities.
AUDIT CONCLUSIONS
The audit objective was achieved and it was determined that Karibu Piles Limited is conforming to
the requirements of ISO 9001: 2015 QMS and is complying with the relevant Statitory and
Regulatory requirements as well as the sector requirements. The QMS is effective and achieving the
desired results.
Walter W. Masinde
Lead Auditor
Distribution: Chief Executive/ Factory Manager
Quality Manager
Finance Manger
Audit Team