Purchasing - Internal Audit Questions

#1
Hi

I am new to manufacturing, and I work at a plant with 50 employees. I am 21 years old and am a certified lead auditor for ISO 9001, ISO 14001, and ISO 45001. I am having trouble coming up with Internal Audit questions for ISO 9001 in regards to the purchasing process? Can anyone please provide me a question list for a purchasing process audit?
 
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Jim Wynne

Staff member
Admin
#2
No one can make meaningful suggestions without knowing anything about your company's requirements. Presumably there are documented requirements for your purchasing process. Let the requirements be your guide.
 
#3
PART A

We have procedures for purchasing all raw materials, equipment, and services that could (and do) affect quality. Our Services Manager is the process owner.

PURCHASE REQUISITIONS/ORDERS
We have purchase requisitions to be completed for the items listed above, and anyone can request.
  1. The requisition must be signed by the requester and include 13 pieces of info (supplier name, unit price, etc.).
  2. The 1st level approval reviews the requisition for correctness and need.
  3. If not denied, it's returned to requester for revision or destruction.
  4. If approved at 1st level, the requester sends it to purchasing - who submits 2nd level approval and a PO.
  5. POs have 12 requirements (date of purchase, address, etc.).
  6. A printed PO is sent to VP of Marketing (or designers) for approval.
  7. If approved by VP, VP makes a copy of the PO which is sent to accounting and the supplier (Note: It can be faxed).
  8. Fax conformations, PO, and requisitions are filed by purchasing and maintained as quality records.
REVIEW/APPROVAL OF PURCHASING DOCS
Procedure:
  1. Requester must submit requisition to their supervisor for 1st lvl approval. Approver reviews the req to ensure it's what the company needs.
  2. After granted 1st level approval, sent to Purchasing - who submits it to lvl 2 (VP). POs are made if lvl 2 is granted.
  3. Purchasing gives a PO # snd completes a PO
  4. PO is submitted by VP for final approval.
 

Jim Wynne

Staff member
Admin
#4
Three words: Follow the process. Don't worry about ISO 9001. Audit against your own requirements. Your requirements, if adhered to, should satisfy the requirements of the standard.
 

dubrizo

Involved In Discussions
#5
One of my first lessons when conducting internal audits was being told to forget about the ISO standard and focus on the internal procedures, work instructions, etc. The logic behind this thinking is that your business should already be compliant to the standard if you hold certification already. Your job as an internal auditor is to ensure that what your internal documentation says you do, you are in fact doing.

The example you provided regarding POs should be very simple to audit; request a number of POs that have been done since the last internal audit and ensure that they have followed the process through to completion. You can also go through additional process documents and create a checklist for yourself for "shall" items that should be verified during your IA. Another key item to check is any findings on this element from the last internal audit. Follow up on any findings to ensure any corrective actions are implemented and effective.
 

Golfman25

Trusted Information Resource
#6
While ignoring the ISO standard for internal audits is a good thing, beware that the company is also required to audit to ensure they conform to the standard (see 9.2.1). So make sure that your audit management isn't expecting a "conform to standard" audit as well. We have a section on our audit report where the internal auditors also review conformance to the standard as part of their internal audit. -- so we combine both requirements of 9.2.1. Good luck.
 

Randy

Super Moderator
#7
Hi

I am new to manufacturing, and I work at a plant with 50 employees. I am 21 years old and am a certified lead auditor for ISO 9001, ISO 14001, and ISO 45001. I am having trouble coming up with Internal Audit questions for ISO 9001 in regards to the purchasing process? Can anyone please provide me a question list for a purchasing process audit?
Hey don't take this wrong, but you're 21 and a "certified lead auditor" for 9001, 14001 & 45001.....Certified by who?...Taking a course and passing a test doesn't make one certified, at least in this sense, and the question you're asking should have been asked by you at some time or another during the 100 management system audits it probably would have taken to earn those certifications.

You've been given some good advice, but why not 1st try to find out what purchasing is required to do by asking someone and looking at whatever documented procedures or instructions they might have?
 

Emmyd

Involved In Discussions
#8
When I audit purchasing for my company, I pull all our internal procedures and review any applicable portions of the ISO/IATF standards. Then when I actually start the audit, I begin by asking the auditee what they do in their job. I let them talk me through their day-to-day job functions. I'll ask them to pull any documents/records/procedures that they say they use and compare those to what I have pulled. I've found that this approach works best and makes for a more effective internal audit and finds more things before an external auditor comes in.

I've used this approach in each job where I've held either Lead or Internal audit positions.

Good luck!
 
#9
Read their purchasing procedure and see if it complies with the requirements of the standard

Then check they are doing exactly what they say they are doing in their procedure
 
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