ABSTRACT
The Contracting & planning division of M/s Surface preparation company was audited for compliance to ISO 9001:2000 standards for the purpose of vendor approval. The facility was audited and found to comply to the ISO 9001:2000 standards.
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QUALITY AUDIT CHECKLIST
COMPANY USF SURFACE PREPARATION DEPARTMENT CONTRACTING & PLANNING
AUDITOR AUDITEE
AUDIT DATE COMPLIANCE ISO 9001:2000
S.NO REFERENCE REQUIREMENT COMPLIANCE REMARKS
1 4.1 Availability of quality management system COMPLIES
2. 4.2.1 Understanding of quality plan COMPLIES
3. 4.2.2 Preparation of SOPs COMPLIES
4. 4.2.3 Updating & revision of existing SOPs NON COMPLIANCE Change in Purchase procedure not updated
5. 4.2.4 Document control procedures NON COMPLIANCE Document control note not revised after SOP revision.
6. 5.2 Understanding customer requirements COMPLIES
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7. 5.3 Understanding of quality policy COMPLIES
8. 5.4.1 Understanding of quality objectives COMPLIES
9. 5.4.2 updating of quality management system COMPLIES
10. 5.5.1 Authorities & responsibilities COMPLIES
11. 5.5.3 Presence of Inter office correspondence COMPLIES
12. 5.6.1 Management reviews COMPLIES Last management review conducted 25 days back.
13. 5.6.2 Documentation of review inputs COMPLIES
14. 5.6.3 Documentation of review outputs COMPLIES
15. 6.2.1 Competency levels of personnel COMPLIES
16. 6.2.2 Training & Retraining NON COMPLIANCE Training not given as per training calendar
17. 6.3 Availability of quality infrastructure COMPLIES
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18. 7.1 Availability of process control records COMPLIES
19. 7.2.1 Availability of end product specifications COMPLIES
20. 7.2.2 Availability of order review reports COMPLIES
21. 7.4.1 Vendors are approved COMPLIES
22. 7.5.2 Validation of planning software NON COMPLIANCE MRP software not validated.
23. 8.2.1 Customer complaint handling NON COMPLIANCE Customer complaint registered before 3
months not investigated.
24. 8.2.2 Periodic internal audits COMPLIES Last audit conducted before 15 days .
25. 8.3 Handling of non conformances COMPLIES
26. 8.5.1 Continual improvement in quality COMPLIES
27. 8.5.2 Pending non conformance reports COMPLIES
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AUDIT REPORT
COMPANY USF PREPARATION DEPARTMENT CONTRACTING & PLANNING
Objective:
The objective of this audit is to verify whether the contracting and planning department of M/s Surface
Preparation Company complies to the ISO 9001:2000 standards.
Scope:
The scope of this audit includes the verification of all documents and reports related to ISO 9001:2000 and verify the department
compliance to the standards.
Audit Team members:
Area visited: Contracting & planning department of M/s Surface Preparation.
Personnel interviewed: Manager -Contracting & Planning
Executive – Contracting
Executive – Planning
Audit Procedure
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Audit was conducted in the contracting and planning department. The Manager – Contracting & Planning, Executive –
Contracting and the Executive – Planning were interviewed.
The job functions of the department were identified as
To obtain the customer order details from the marketing department.
To verify the compliance of the customer specifications to the standard specifications of the available products.
In case of customized orders, check the availability of resources and feasibility of production.
Prepare the quotes.
Organize for the drawings from the design department.
Plan for the procurement of materials, job allocation, QC inspection and tentative date of delivery.
Handling of non conformances and customer complaints with respect to delivery schedule
The Audit was carried out as per the checklist attached with this report.
The following documents and reports were scrutinized.
Customer work order.
Standard specifications
Customer specifications
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Feasibility analysis reports for customized orders
Quotations
Standard operating procedures.
Document control note.
Design drawings record.
List of approved vendors.
Non conformance reports.
Customer complaint reports.
Interoffice correspondences.
Management review reports.
Internal audit reports.
Training records.
Validation reports, etc.
The following observations were made during the audit:
Positive observations:
Management review was conducted before 25 days. The inputs and outputs have been recorded and documented properly.
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Internal audit was conducted 15 bays back. The audit report and the non conformances have been documented properly. The non conformances have been investigated promptly and corrective actions have been taken.
List of approved vendors is maintained promptly and purchases are made only from approved vendors.
Feasibility study for customized orders have been carried out and documented properly.
Quotations, drawings, standard specifications, customer specification, etc are maintained properly.
Inter office communication is prompt through inter office memo or through internal e mails.
Non Conformances:
Updating & revision of SOPs
A non conformance was observed in the standard operating procedure for “Documentation of Incoming Customer Orders”. The new version of the report format attached with this SOP contains a new option for providing an online tracking ID to the customer order. The customer can know about their order status online using this ID. The inclusion of this information was not updated in the SOP. The SOP has not been revised so far.
Document control procedures
A new change has been made to the” SOP for the purchase of materials”. This change has not been documented in the “Document control note”.
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3. Training & retraining:
An Executive – Contracting has joined newly. According to the Manager – Contracting & Planning, training has been provided to the Executive – Contracting regarding the application and usage of the software used in the department for the generation of work orders. But no training records are found.
4. Validation of planning software
MRP software is used by this department for planning. This software has not been validated.
Actions required:
A non conformance to be raised by the Quality Assurance department for “ Non Updating of SOP for documentation of incoming customer order”. The format attached has to be revised immediately and the revision note has to be issued. Time frame: 3 days
Responsibility: Manager – Contracting & Planning / Executive – Quality Assurance
The Document control note has to be updated immediately regarding the revision of SOP for the purchase of materials.
Time frame: 3 days
Responsibility: Manager – Contracting & Planning / Executive – Quality Assurance.
Training record to be prepared for the training given to the Executive – Contracting. Time frame – 3 days
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Responsibility: Manager – Contracting & Planning / Executive – HR
MRP software to be validated immediately. Time frame – 1 month
Responsibility: Manager – Contracting & Planning / Manager – Systems
Recommendation:
The department is found to comply with the ISO 9001:2000 standards. This supplier can be used for our procurement purposes.