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ISO 9001: 2015 INTERNAL AUDIT TRAINING CASE STUDIES

Corrective Actions Request and Audit Findings


Identify any nonconformance for each case below. If it is a nonconformance, then which Clause in
the ISO Standard does it not conform to? If you think that it has not enough evidence, state what
further actions you will take.

No Short Cases Comments


1 Five Purchase Orders were selected at random for sampling. It was noted that
one of the supplier, XYZ Sdn Bhd was not selected from Approved Supplier List.
XYZ Sdn Bhd was also not evaluated prior to purchase. When asked, the
Purchaser said this was a special case where the material was needed urgently
and the current supplier cannot supply.

2 The Design Department reflects that their design review was planned and
conducted after producing conceptual design, but no records of the review are
kept due to confidentiality as claimed by the Design Manager.

3 During an audit at site, it was noted that some incoming of materials were not
stored in a covered storage area. When asked, the Store Supervisor claimed that
the materials only arrived that morning.

4 The maintenance of the machineries required for realization of product has no


record of maintenance.

5 The Store Manager claimed that there is no need to label the materials and their
batch number in the store as the store keeper knows how to identify them.

6 During audit, record on calibration of measuring equipment is available but


without reference to any standards or methods.

7 Twenty drawings held by a Production Supervisor were selected at random for


sampling. It was noted that drawing ABC/001 Revision 0 had pencil markings
showing an increase of 5mm to the width of the product. As the change is very
minor in nature, it was felt that issuing a new drawing is not necessary.
Furthermore, the client has agreed to the changes.

8 Quality policy and objectives displayed at Purchasing Department was of year


2010, the latest dated 2011 at HR and Admin Department.

9 Customer Satisfaction Survey Forms from customers were being kept. Noted that
the results from the surveys are good but there is occasionally some feedback of
poor services. There was no follow-up on the complaints.

10 A copy of ISO9001:2008 was found in the HR and Admin Department. The


department had carried out regular training in ISO documentation and audit for
workers.

11 Purchasing Department personnel are not aware of the department objective of


Maintenance Department.

12 The Business Development Manager claimed that he didnt need to record any
customer order as he can remember well all the customer orders. Therefore he
dismissed the need for a written record for contract review.

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ISO 9001: 2015 INTERNAL AUDIT TRAINING CASE STUDIES
Corrective Actions Request and Audit Findings
Identify any nonconformance for each case below. If it is a nonconformance, then which Clause in
the ISO Standard does it not conform to? If you think that it has not enough evidence, state what
further actions you will take.

No Short Cases Comments

13 Data at all departments are collected and analyzed using different methods and
techniques. However there was no procedure to guide the personnel on the
methods used as all are educated workers.

14 At the factory, data is collected but no analysis on the finished product


conformity is carried out as the workers claimed that the data is very clear and
straight forward that all data shows that there is no product reject.

15 Latest work instruction for packaging was established, but a worker at store is not
following because he claimed that base on his ten years working experience,
more defects will be produced if following the new work instruction.

16 A new employed worker is required to go through a competency test and on-the-


job training on maintenance. When asked, the worker explained that proper
training was provided and he could perform the job well. However, the training
was not recorded. When asked, the HR and Admin Manager replied that it is very
impractical to record all his worker training as the training is on-going.

17 Management Review Meeting is required to be conducted every 12 months.


When asked, the auditee replied that the review was not carried out for the past
18 months due to company expansion and able to produce record on good
customer service. In addition, a non-formal management review was carried out
verbally 6 months ago.

18 Noted that last internal audit was carried out by auditing own activities. The
management claimed that it is unavoidable given the limited number of internal
auditors.

19 Project schedule was to define the product characteristics, manpower use and
delivery date. Due to too many orders and frequent change of project schedule,
the Project Manager feels it is not practical to prepare the updated schedules.
Therefore, it was not done.

20 Two items found at outgoing store has no identification of inspection being


carried out.

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