Kuliah SMM Issue 7

Exercise 12 Roleplay Audit Exercise April

Auditing Exercise – Scripted Role Play Audit

Introduction and Objectives
This exercise is to provide practical learning in developing process based audit interviews and
evaluating evidence provided, using ISO 9001 as the audit standard. The teams shall work
together in identifying nonconformance observed in the process, interviews and gathered
evidence against the appropriate ISO 9001 standard elements.

The tutor shall nominate delegates to take the roles of the following persons –

Auditor 1 – John
Stores Manager – Mike
Stores Operative – Will
Stores Administrator - Angie

John – Hello. My name is John and I am part of the audit team who are auditing your
company today.
Mike – Hello, I was expecting you. Please take a seat.

<Narrator> John sits down and takes out his note sheets, Checklist, a copy of the ISO
9001 standard, and a pen.

John – The objective of this audit is to check that your quality management system
conforms to the ISO 9001 standard and is effectively implemented to achieve your
objectives. In order for me to check the system I will be asking questions, checking
documents and records, observing the activities and recording the items that I have
checked. I cannot check every item and record so I will check samples of your
documentation and records to confirm that your systems work. Have you been audited
before ?

Mike- We have been audited by the quality manager last month but this is the first time
that an external auditor has come to audit us.

John- I see, well as I said my job is to check that your system conforms to the ISO
9001 standard. Are you familiar with this standard ?

Mike – I have attended a training course on it but I cannot remember all the content. I
know that we have to plan our activities and follow the plan.

John – That is the main part. Have you a copy of this plan ?

Mike – We have a stores layout where we have allocated areas to different products
and a procedure.

John – Could I see them ?

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Exercise 12 Roleplay Audit Exercise April

Mike – Yes, here they are.

<Narrator> Mike gives John copies of both documents. John pauses for a minute whilst
he looks at the documents. He notices that the stores layout is dated but unsigned. He
notes down the facts.

John – I notice that the stores layout has no authorisation signature. What is your
system for document approval ?

Mike – Oh, sorry I forgot to sign it when I reissued it last week.

< Narrator> Mike hastily signs the stores layout.

John – Are you the person who is responsible for issuing this document ?

Mike – Yes, I am responsible for the documents in the stores area.

John – How are the responsibilities and authorities of yourself and your staff defined ?

Mike – We have job descriptions.

John – Could I see them please ?

< Narrator> Mike opens a file and hands John two job descriptions. One for the Stores
Manager and one for the Stores Operative. He hands them to John.

John – Thank you.

< Narrator > John reads the documents and records the facts.

John – I cannot see anything in your job description relating to the issue of
documentation. Do you have a copy of the procedure for document control ?

Mike – I will have to go and get a copy.

John – I would like to carry on with my interview at present, perhaps you can get me a
copy when I go to talk with the stores operatives.

Mike – OK.

John – What are the objectives for the stores ?

Mike – To store items in the stores safely and undamaged until they are required
operating a first in first out stock movement system.

< Narrator > John makes some more notes.

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Exercise 12 Roleplay Audit Exercise April

John- Where are the objectives written down ?

Mike – Here.

< Narrator > Mike hands a document that is headed quality objectives. It states that
the objective of the stores is ‘’ To store items in the stores safely and undamaged until
they are required and operating a first in first out stock movement system’’.

John – What is your plan to achieve your objective.

<Narrator > Mike produces a plan and hands it to John. It has elements of buying and
installing new racking, training and the installation of a new material software package
on the stores computer and training in its use.

John – What evidence do you have for the implementation of this plan.

Mike – You can see that the racking is new and all the training records are available in
personnel. We have not installed the software or had training in its use as that is
scheduled for next month.

<Narrator> John records all the facts to do further checks at the HRD department.

John – What are the competences and training needed for the stores operatives?

Mike – They need forklift truck licenses, training in the stores systems and computer
use. All of my staff have received this training and I consider them all to be competent
operatives. We will all need further training when the new computer material
management system is installed.

John – have you had any instances of goods being damaged in the stores ?

Mike – None in the past year.

<Narrator> John records all the facts to do further checks at the quality department.

John – I would like to walk around the stores area and talk to your operatives is it
alright to do so while you go to get a copy of the document control procedure?

Mike – Yes, I will be back here in 10 minutes with the procedure.

<Narrator> Mike introduces John to Angie the Stores Administrator and goes off to the
quality department. John enters the stores with Angie who explains about Health and
Safety requirements in the stores area. Angie explains her job and responsibilities to
John.

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< Narrator. Angie and John walk around the stores to check if the stores layout is being
worked to and all the items are identified, making notes of the items checked. All items
checked are found to be conforming.

John – Angie, how do you know that the actual quantities of items in each rack conform
to the quantities recorded in the computer system ?

Angie – All items received and issues are recorded in the computer system and the
stock control programme automatically does the additions and subtractions to give the
current stock quantities. There is a stock audit every 3 months to confirm that the
quantities in the computer and actual stock quantities match.

John – Could you run through the system with me when we return to the office ?

Angie – Certainly, we rarely have discrepancies and when we do it is usually down to

human error.

< Narrator > John makes a note to check these discrepancies and the Corrective
Action System. John then counts the items on 2 racks makes a note of the quantities
and receipt dates of 2 deliveries and tells Angie he will cross check the data on the
computer when they return to the office.

<Narrator > They meet a stores operative.

John – Hello. My name is John and I am part of the audit team who are auditing your
company today.

Will- Hello, my name is Will Smith.

John - Have you been audited before ?

Will – I was audited quite often by ISOQAR in my last job.

John- How long have you worked here Will?

Will – About 18 months.

John – Have you received any training ?

Will – I had induction training when I arrived and have had in-house training in the
quality system, policy and objectives last year. I have had a refresher course for forklift
truck driving to renew my license. Personnel Department keep a copy.
< Narrator> John makes notes in order to check later at HRD.

John – What are the Quality Objectives of this department ?

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Exercise 12 Roleplay Audit Exercise April

Will - To store items in the stores safely and undamaged until they are required whilst
operating a first in first out stock movement system.

John – How are the objectives for the stores to be achieved ?

< Narrator> Will produces a plan and hands it to John. It has elements of buying and
installing new racking, training and the installation of a new material software package
on the stores computer and training in its use.

Will - You can see that the racking is new. We have not installed the software or had
training in its use as that is scheduled for next month.

John – Have you received any other training ?

Will – Yes. I have had training in the quality procedures, the materials management
system, computer training and health and safety. I have had training and obtained a
license to drive the forklift truck.

< Narrator> John makes notes in order to check later at HRD.

John – that is very good. Could you tell me about the quality policy and what you
understand about it in relation to your job.

Will – There is a copy on the notice board but it requires us to make sure that we store
and handle materials and products carefully so as not to harm them and to look to
improve our methods and systems.

John - Good, is there a procedure that you follow ?

Will – Yes, it is SOP 12 the procedure for storage and handling of materials and
product. It is on the notice board.

John – Thank you Will you have been very helpful.

<Narrator> John goes off to check the notice board with Angie and the audit continues.

Exercise – You are to examine the documents that have been supplied to John and
decide if the system as checked is compliant or if John should raise a non-conformity
report. You have 30 minutes to examine the material and 15 minutes to report.