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EXERCISE - 2 - Group Test - DQS India

The document outlines a series of audit findings related to compliance with AS 9100:2016 standards, requiring participants to assess whether each finding constitutes nonconformance and to determine its severity. Each finding addresses issues such as missing records, inadequate procedures, lack of calibration, and absence of regulatory compliance. Participants are tasked with providing references to applicable AS 9100:2016 clauses for each finding.

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32 views2 pages

EXERCISE - 2 - Group Test - DQS India

The document outlines a series of audit findings related to compliance with AS 9100:2016 standards, requiring participants to assess whether each finding constitutes nonconformance and to determine its severity. Each finding addresses issues such as missing records, inadequate procedures, lack of calibration, and absence of regulatory compliance. Participants are tasked with providing references to applicable AS 9100:2016 clauses for each finding.

Uploaded by

jaga deesh
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Download as PDF, TXT or read online on Scribd
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AS 9100:2016 IAT Program – Exercise 02

Name of the Participant : _________________________________ Date : _______________

Go through following audit findings individually/in a team and conclude whether it is


nonconformance and if it is then decide its severity – major / minor and provide reference of
applicable AS 9100:2016 clause(s).

1. Records of approval of supplier ‘X’ were not available in purchase section. Purchase in-charge
informed that the supplier is well established for years and is rather the only source in the
country, thus evaluation was not required.

Answer:

2. Company procedures for internal Audits require audits to be carried out at least once in six
months for the complete audit cycle as described in the documented quality system. Audit
plan is released for 6 months. Last two audit plans did not include audits of responsibilities of
the person who ensures awareness of quality policy in the entire organization.

Answer:

3. Sheet metal components (with ‘OK’ stickers) in the main stores were getting rusted. In –
charge stores informed that maintenance personnel are on the job but may take next 3-4 days
time to repair it.

Answer:

4. On the welding station ‘4’ and ‘16’ casuals (temporary) welders were carrying out welding
process as confirmed by the area in-charge. Auditor enquired about their competency records.
In charge production replied that both the workers were quick learners and as such there was
no need to qualify them.

Answer:

5. Weighing Balance RB 01 used in the final stores for determining the quantity of carbon
resistors being shipped out to the customer was not calibrated. Quality in-charge stated that it
does not affect quality of product in any way and hence no need to calibrate it.

Answer:

1 OH/IAT/9k15/00
AS 9100:2016 IAT Program – Exercise 02
6. While auditing the software development section of a company, auditor asked for design
verification records for ongoing project XY. Area in charge replied that the project had not
reached design verification stage. Auditor then asked for the latest design and development
plan. In charge replied that only 3 people were involved in the project and all knew about the
progress of the project and as such there was no need to have a formal design and
development plan.

Answer:

7. While auditing the software development section of a company, auditor checked for
availability of programming standards. Auditee replied that company has a policy of
recruiting software engineers only and as such no need was felt for having written
programming standards.

Answer:

8. While auditing the delivery section auditor came across a letter from customer XYZ stating
that 60% supplies of component BX for the period Jun 2012 to March 2013 were late. On asking
about the corrective action taken by the company in this regard, auditee replied that the
supplies were affected because of traffic jam. Hence no corrective action could be planned for
the same.

Answer:

9. While auditing the packaging section of a food processing company, auditor asked about the
statutory and regulatory requirements related to packaging of the products. Auditee replied
that they had not identified any such statutory and regulatory requirements related to
packaging of products.

Answer:

10. While auditing the marketing process of a company, auditor came across a letter from
customer XYZ dated 25/03/2013 asking for change in packaging configuration of Component
XX. Auditor then asked for packaging standard for component XX. He was shown the old
packaging standard Issue 01 dated 21/01/2012 showing the old packing configuration.
However in charge marketing replied that the products had been delivered with the changed
packaging to the customer. In charge also showed a letter from customer XYZ dated
01/05/2013 in which the customer had appreciated the prompt change in packaging made by
the company.

Answer:

2 OH/IAT/9k15/00

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