9101 FORM 3: PROCESS EFFECTIVENESS ASSESSMENT REPORT

FORM 3: JANUARY 2014

1 CB Name

Audits R Us

PROCESS EFFECTIVENESS ASSESSMENT REPORT

2 CB Logo

ARU 3 Organisation: Triple Engineering, Inc.

4 Site(s): 123 Triple Street

5 OIN(s): 61234567

6 PEAR Number: 2 (Scenario 1)

7 Audit Report Number: 12345-12

8 Issue Date: 7/12/2014

SECTION 1 – PROCESS DETAILS

9 Process Name: Purchasing

10 AQMS Standard(s):

9100 9110 9120

Applicable 9100/9110/9120 clause(s): 7.4.1, 7.4.2, 7.4.3

11 Inputs:

MRP system notifies Purchasing Department that purchased products needed from Triple Engineering approved suppliers.

12

Activities:

Purchasing process includes the purchasing of Machined Housings, Metering Valves and Sleeves, Motors, Pumps, Wire Harnesses, and Fasteners.

Records of purchased products are maintained in Purchasing Department. Personnel in Purchasing Department are responsible to interact with Contracts, Finance and MRP

Control departments.

13 Outputs:

Purchase Orders to Triple Engineering, Inc. Approved Suppliers to purchase the required products per the MRP schedule.

14 Interactions/Interfaces:

Purchasing process has interactions/interfaces with Contracts, MRP Control, Finance and Receiving Inspection.

SECTION 2 – PROCESS RESULTS

15 Organisation’s method for determining process results:

Triple Engineering Inc. has two KPIs assigned to determine if the Purchasing process is performing to their desired expectations. Both KPIs are reported on a monthly basis.

16 Performance Measures

KPI 1: Supplier On-Time Delivery

KPI 2: Supplier Right The First Time

17 Auditor observations and comments supporting process result determination:

Reference Target for

Audited Period Value Measured for

Audited Period Comments

KPI 1: 95%

1/13 – 3/13 = 100% 4/13 = 98% 5/13 = 99%

Review of OTD records and performance reporting demonstrates that Supplier OTD performance is meeting expectations.

9101 FORM 3: PROCESS EFFECTIVENESS ASSESSMENT REPORT

FORM 3: JANUARY 2014

KPI 2: 98% 1/13 = 88%, 2/13 = 72%, 3/13 – 4/13 = 83%, 5/13 = 79%

No action plans are established to address the below goal performance against this KPI.

SECTION 3 – PROCESS REALISATION

18 Summary of audit trails and sources of evidence:

Audit included the evaluation of the Purchasing process procedures including requirements in the Quality Manual.

Process performance is monitored by 2 business objectives / KPIs – noted above.

KPI #1 demonstrates suppliers are delivering products to Triple Engineering on-time however the product quality is not meeting the goal of 98%.

Audit trails included evaluation of (4) Purchase Orders – 10154, 10155, 10162, and 10187. Purchase orders were well documented and included the proper purchasing requirements.

One of the audit trails identified that (1) approved supplier; The Casting Company, was not recorded on the Approved Supplier List. A supplier evaluation record was on file for this supplier and previous NCRs were properly addressed and closed. NCR # 2 minor issued for ASL not being updated as required to include this supplier following their approval.

Audit of the MRP system included an evaluation of (5) recent receipts of material.

CoCs evaluated in MRP were #’s R12456, R32290, R65574, R23349, and R22957.

One hard copy file demonstrating inspection acceptance of product was misplaced, but a duplicate copy was later produced.

SECTION 4 – PROCESS EFFECTIVENESS

19 Process Effectiveness Level

20 Auditor Name(s): Joe Auditor

21 Organisation Representative Name: Steve Triple