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

K

keres

#11
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.
Let's see your opinion first!
 
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qusys

Trusted Information Resource
#13
Re: Help for ISO 9001

I am agree with that. But in this case there are not clear evidences to NC.
Agree with you, but also a declaration during an interview in an audit is an evidence, infact given that "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 that the organization knows the problem but it does not anything to fix it.
Needed more details:agree:
 
S

soasd

#14
Incident Number 3

In the quality department the auditor asks to see the schedule for internal audits. This shows that the ten departments are each audited every six months. The auditor asks the quality manager how the frequency of audit was decided. The manager says that when the system was set up three years ago, 6 month intervals were specified in the quality manual. The organisation has kept to this ever since. The auditor asks to see the file containing corrective action requests, (CARs). It lists 40 CARs relating to the last 3 rounds of audits. Of these, 25 CARs are in the sales department, the remainder are spread evenly over 7 other departments and 2 departments received no CARs. The sales department deals with all contract review activity.
 

qusys

Trusted Information Resource
#15
Incident Number 3

In the quality department the auditor asks to see the schedule for internal audits. This shows that the ten departments are each audited every six months. The auditor asks the quality manager how the frequency of audit was decided. The manager says that when the system was set up three years ago, 6 month intervals were specified in the quality manual. The organisation has kept to this ever since. The auditor asks to see the file containing corrective action requests, (CARs). It lists 40 CARs relating to the last 3 rounds of audits. Of these, 25 CARs are in the sales department, the remainder are spread evenly over 7 other departments and 2 departments received no CARs. The sales department deals with all contract review activity.
8.2.2 of the ISO 9001 states that the internal audit programme shall take into account the status and the importance of the processes/areas audited, in addition to the results of the past audit.
The text of the situation does not mention if the CARs related to Sales have been solved or not, so a ncn could not be elicited.
In the case they were open and not fix since 3 years, this could also carry to a ncn related corrective action as well as internal audit.
What do you think? Other covers' ideas?:bigwave:
 
S

soasd

#18
Appreciated your thanks!:)
What is the scope of this question?
What are you doing with the responses?
Could we have some ideas of yours for these cases as keres rightly suggested ?:bigwave:
I have training for ISO 9001 and these questions are just a practical test for us and are required to answer for her, so I appreciate all the help in answering these questions.
 

Raffy

Quite Involved in Discussions
#19
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.
For me, it is an observation because to be a minor nonconformity there should be a specific procedure that is being violated in the system. Evidence such as records of competency for the 10 Bank Staff. Are they qualified to do the job, or do they really passed the medical examination the company had provided as an initial requirement prior entry, that is their own physical condition.
Raffy :cool:
 
J

JaxQC

#20
One that requires more discussion is Incident Number 1. It should go further than an observation.

“the auditor identified several inaccuracies” = Minimum of minor non-conformance regardless of the reason why and appears to be clear evidence of non-conformance.

Then pull audits of further samples (2 days ago, week, month) and see if additional evidence exists to show a systemic issue (elevate to major) or if this was an isolated occurrence (leave as a minor). The conditions or the problem solving of a fix is unrelated to the audit and outside the auditors concern. There job is only to determine if evidence of a problem is there, not a fix or if there is a “really good reason for it”.

The reason (environment) justifies the inaccuracies as acceptable? Only an audit finding if the working conditions were perfect? Silly examples but that’s what we’re saying otherwise. If they truly don’t have a specific procedure that says that their accounting of monies at a bank needs to be accurate… they really should also be found for not properly identifying the requirements necessary for operation. If they don’t have to keep the money straight, why bother with the audit (and move your account immediately)?
 
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