Incidents that occur during a Third Party Supplier Audit - Help for ISO 9001

S

soasd

#1
Three incidents that occur during a third party audit of a supplier, XYZ plc, are described. They contain situations for which nonconformity reports may be required. Examine each incident carefully then take one of the following actions:

a) If you think that there is sufficient objective evidence of nonconformity then you should complete a nonconformity report and categorise it as major or minor.
b) If you do not think that there is sufficient objective evidence of nonconformity then:
• state why you think there is insufficient evidence of nonconformity
• make a list of things you would look for as evidence that the situation is under control

Incident Number 1

In the back office of a bank, ten staff are working at their computer stations processing cheques and money orders. Bright sunlight is reflected off their computer monitors facing the window. The office is hot, and conditions seemed cramped. On sampling some of the cheques that have been processed that day, the auditor identified several inaccuracies. The auditor asks the supervisor about these, the supervisor says that on hot days it is difficult for staff to concentrate and to see the screens clearly. Although they try to double check the work, not much could be done about the conditions.
 
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K

keres

#2
Re: help for iso 9001

By my opinion there are not enough evidences to raise a nonconformity. In these incident there is not information about problems related with bright sunlight.
You must check work environment requirements, report of errors and check for problems because of bright sunlight.
 

Stijloor

Staff member
Super Moderator
#3
Re: Help for ISO 9001

Three incidents that occur during a third party audit of a supplier, XYZ plc, are described. They contain situations for which nonconformity reports may be required. Examine each incident carefully then take one of the following actions:

a) If you think that there is sufficient objective evidence of nonconformity then you should complete a nonconformity report and categorise it as major or minor.
b) If you do not think that there is sufficient objective evidence of nonconformity then:
• state why you think there is insufficient evidence of nonconformity
• make a list of things you would look for as evidence that the situation is under control

Incident Number 1

In the back office of a bank, ten staff are working at their computer stations processing cheques and money orders. Bright sunlight is reflected off their computer monitors facing the window. The office is hot, and conditions seemed cramped. On sampling some of the cheques that have been processed that day, the auditor identified several inaccuracies. The auditor asks the supervisor about these, the supervisor says that on hot days it is difficult for staff to concentrate and to see the screens clearly. Although they try to double check the work, not much could be done about the conditions.
Is this an actual audit situation or part of an auditor training exercise?

Stijloor.
 

qusys

Trusted Information Resource
#5
Re: Help for ISO 9001

Three incidents that occur during a third party audit of a supplier, XYZ plc, are described. They contain situations for which nonconformity reports may be required. Examine each incident carefully then take one of the following actions:

a) If you think that there is sufficient objective evidence of nonconformity then you should complete a nonconformity report and categorise it as major or minor.
b) If you do not think that there is sufficient objective evidence of nonconformity then:
• state why you think there is insufficient evidence of nonconformity
• make a list of things you would look for as evidence that the situation is under control

Incident Number 1

In the back office of a bank, ten staff are working at their computer stations processing cheques and money orders. Bright sunlight is reflected off their computer monitors facing the window. The office is hot, and conditions seemed cramped. On sampling some of the cheques that have been processed that day, the auditor identified several inaccuracies. The auditor asks the supervisor about these, the supervisor says that on hot days it is difficult for staff to concentrate and to see the screens clearly. Although they try to double check the work, not much could be done about the conditions.
It seems to me that this process/activity could not be effective and this could carry to a ncn. However I would also look for measurables for this activity , number of non conformities detected by spv in a certain time frame ( if any) and eventual corrective action in place ( for example, curtain of the window to be closed during the day).
 
K

keres

#6
Re: Help for ISO 9001

It seems to me that this process/activity could not be effective and this could carry to a ncn.
Nonconformity to which criteria? Please, share with us the text of the nonconformity!
 
S

soasd

#7
what do think about this case
Incident Number 2

In the purchasing department the auditor notes that the staff are placing orders with suppliers over the telephone and entering details directly into the organisation's computerised order processing system. On enquiry, the auditor is told that as the staff have been fully trained, and the database holds details of all regular subcontract specification. He is told that there is no need for an independent review of individual orders.
 

qusys

Trusted Information Resource
#8
Re: Help for ISO 9001

Nonconformity to which criteria? Please, share with us the text of the nonconformity!
It could be 6.3, but I do not like this kind of test. Sometimes these tests have no right response , they are useful to reflect to catch other evidences. To me it is veru diffucult to say if it is right or not,unless there is a clear evidence:bigwave:
 

qusys

Trusted Information Resource
#9
what do think about this case
Incident Number 2

In the purchasing department the auditor notes that the staff are placing orders with suppliers over the telephone and entering details directly into the organisation's computerised order processing system. On enquiry, the auditor is told that as the staff have been fully trained, and the database holds details of all regular subcontract specification. He is told that there is no need for an independent review of individual orders.
I think no non conformity because the independent review is not a ISO requirment for purchasing.
Just in case there was a procedure for this process that states the review and this is not done, then it can be a ncn.:bigwave:
 
K

keres

#10
Re: Help for ISO 9001

Sometimes these tests have no right response , they are useful to reflect to catch other evidences. To me it is veru diffucult to say if it is right or not,unless there is a clear evidence:bigwave:
I am agree with that. But in this case there are not clear evidences to NC.
 
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