PURCHASING & RECEIVING INTERNAL AUDIT CHECKLIST

Transcription

1 Audit Date: Auditor Team Members: Audit Preparation: The following tools can be referenced when planning and conducting the audit: Eight Quality Principles ISO 9001:2008 Quality Management System Requirements AASD Quality System Manual ISO-M001 Instructions: Per the internal audit schedule, notify the department manager and arrange for the date and time of the internal audit. Report the scheduled date and time to the Information Management Coordinator for tracking purposes and to your supervisor so he/she is aware of when you will be performing the audit. Department Contact Information: Name: Title: Meeting Information: Date: Time: Location: Record the person you talked with to arrange the internal audit: Date of previous internal audit: Were there any nonconformances issued? Yes No What was the nonconformance? Choose which document(s) you plan on auditing and record the document number, title, and date in the space provided below. Number Title Date Revision (if applicable) Does the documentation that you have chosen meet the requirements as prescribed by ISO 9001:2008 (4.2.3 and 4.2.4) and the AASD Quality Management Systems Manual? Yes No (Issue a Corrective Action) Opportunity for Improvement Note any non-conformance or Opportunity for Improvement below: Upon completion of audit plan, complete the Internal Audit Request (ISO-F011) and submit to the department manager prior to the audit. Record the date the Audit Request was sent to the department manager. ISO-F016 (12/10) Page 1 of 5

2 Audit 1. Start at the receiving dock (Central Supply) and ask the Supply Clerk to escort you to locate five (5) receipts from an external vendor. These receipts may be randomly selected from the area where product is ready to be delivered to its destination. Once selected, compare the receiving report against the purchase order number on the carton(s) as well as the correct quantity. Record the results in the following table: No P.O. # Supplier Name Product Purchased Acceptable? 1 [ ]Yes [ ] No 2 [ ]Yes [ ] No 3 [ ]Yes [ ] No 4 [ ]Yes [ ] No 5 [ ]Yes [ ] No 2. While in the receiving area, observe the location where nonconformances from suppliers are stored. Compare the product stored (if any) to the Nonconformance Report Form (ISO-F010) and ensure the product has been listed. In addition, ensure that product listed on the nonconformance log not in the nonconforming location has been dated as being complete. Record observations here: Summarize response and objective evidence reviewed Acceptable? Yes No 3. During the course of the audit, look for any forms, procedures, work instructions, or other documents being used for this process, etc. Record the form number, dates, and/or revisions below. Upon completion of the audit, verify that the forms collected are the current versions. If not, initiate a corrective action request. No Forms Observed 4. Next, go into the Purchasing Office and ask the Purchasing personnel to retrieve the five (5) samples of purchase orders in the computer/files for the purchase order numbers selected in Question #1. Answer the questions in the following table: No P.O. # P.O. Information Correct? Supplier on Approved Supplier List 1 [ ]Yes [ ] No [ ]Yes [ ] No 2 [ ]Yes [ ] No [ ]Yes [ ] No 3 [ ]Yes [ ] No [ ]Yes [ ] No 4 [ ]Yes [ ] No [ ]Yes [ ] No 5 [ ]Yes [ ] No [ ]Yes [ ] No Comments (If necessary) ISO-F016 (12/10) Page 2 of 5

3 5. What is the process used by AASD to select and evaluate suppliers to ensure their ability to supply product in accordance with AASD requirements? Ask to see records, if any, for the 5 suppliers for the above selections. Summarize response and objective evidence reviewed: Acceptable? Yes No 6. When speaking to the department director, ask them to identify the department s measureable objectives. a) What are the measurable objectives? How are they measured? b) Is there evidence of these measurable objectives being tracked? Yes No If yes, how are they tracked? c) Is the department meeting the objectives? Yes No If no, what is being done to improve the outcome? 7. Customer Satisfaction: Ask the department director to define how he/she monitors information relating to customer perception and how he/she knows they are meeting customer requirements. What method is used to obtain the information and how us the information utilized? Response and objective evidence: Acceptable? Yes No 8. How does management of this area ensure that training (when given) is effective? Summarize response and objective evidence reviewed: ISO-F016 (12/10) Page 3 of 5

4 9. For any employees interviewed during the course of this audit, complete the following: a) Ask them to summarize the quality policy statement for AASD. b) Ask them if they are aware of how they contribute to the achievement of quality objectives? c) Ask them if there is good communication concerning the QMS activities within the departments? Employee s Interviewed: Name: Results: Name: Results: Title: Title: 10. Comments / Opportunities for improvement concerning this internal audit or N/A: 11. Describe how you shared the results of the internal audit with the department management and whom you talked to below. 12. Were there any nonconformances found in this internal audit? No, go to #14 Yes, go to # List the question numbers and nonconformances found below: 14. Internal Audit Summary Report completed and submitted: Date: ISO-F016 (12/10) Page 4 of 5

5 Auditor Name (printed) Auditor Name (signed) Date Auditor Name (printed) Auditor Name (signed) Date Information Management Coordinator Reviewed & Approved Signature: Date: ISO-F016 (12/10) Page 5 of 5