POST-TRAINING TEST

Internal Quality Audit Training

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NAME: ROSLAIMA M. DIMACALING SCORE: to enter text.
ORGANIZATION: NCMF-Caraga DATE: November 7, 2020

(Use the back of the page if the space provided is not sufficient)

1. Learning Recall: 7 points

1.1 An audit finding can be classified into two (2) types. What are those?
CONFORMITY and NONCONFORMITY

1.2 What are the two (2) most important pieces of information that should be included in a
nonconformity statement?
Requirement and Evidence

1.3 There are at least three (3) categories of processes within a QMS, namely: Core,
Management, and Support. Name one (1) QMS process of NCMF for each type.

Core- ExternalRelation Management

Management- Policy Making

Support- Procurement/GSD

2. Matching Type: 4 points

Please match the ISO 9001:2015 clause with requirements relevant to the statements in Clause
4.4.1 as specified below. Write the letter on the blank space provided

Clause 4.4.1 Requirements ISO 9001:2015 Clauses

D 1. c) determine and apply the criteria and
methods (including monitoring,
measurements and related performance
indicators) needed to ensure the effective
operation and control of these processes;
C 3. e) assign the responsibilities and authorities
for these processes;
B 5. f) address the risks and opportunities as
determined…;
A 7. h) evaluate these processes and implement
A. 9.1.3 Analysis and evaluation
B. 6.1 Actions to address risks and
opportunities
D. 5.3 Organizational roles,
responsibilities, and authorities
F. 9.1.1 Monitoring, measurement,

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any changes needed to ensure that these analysis and evaluation - General
processes achieve their intended results;

3. Understanding the ISO 9001 Requirements: 7 points (1 point for each Clause)

How would NCMF show that they are compliant with the requirements of ISO 9001:2015?
Please describe existing documentation, practices & applications that NCMF has in order to
satisfy the main clauses below:

ISO 9001:2015 Main

Practices, Procedures, Applications, Documentation
Clauses
Determining the scope of the QMS
4. Context of the
organization
Leaderhip and Commitment
5. Leadership

Planning of changes is continual in improving their projects and

6. Planning programs

Resources of NCMF is always provided and documentation is

7. Support provide by the agnecy

Operation, Planning and Control of NCMF follow the proper

8. Operation operations of the agency

Management Review shows how the agency on how the effective

9. Performance the process of NCMF if the performance of the agency is
evaluation consistent
Continual Improvement of the agency such as the programs of the
10. Improvement agency.

4. Understanding the Processes: 6 points (2 points for each QMS Process)

In auditing a particular process of NCMF’s quality management system, the auditor’s checklist
will usually include pertinent items that he or she would like to check to determine whether
such process:

 Conforms to the established procedures;

 Conforms to the ISO 9001 requirements;
 Complies with applicable legal requirements;
 Fulfills the established quality objectives; and
 Is effective in achieving its planned results

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Use your answer on Question 1.3 of the Learning Recall section (i.e. on the 1st page) and
complete the first column (i.e. QMS Processes) of the table below. On the second column (i.e.
Audit Criteria), please provide a list of relevant audit criteria that an auditor should look into if
he/she has to verify whether the bulleted statements (last part of page 2) are being fulfilled.
(Hint: See also the output of Work 3: Preparing an Audit Plan.)

QMS Processes Audit Criteria

Refer to Question 1.3 of the Learning List down the set of policies, procedures or requirements used as a reference against
Recall section which objective evidence is to be compared (see bulleted statements on p.2)
Core Process: -Technical assistance to activities or programs of local or foreign
government agencies and non-government organization, other
External Relation programs and activities of NCMF

-Signing of memorandum of agreement/understanding with other

concerned agencies and institutions for purposes of cooperation and
linkages

Management Process: EManagement on research and information policies;. Publish

and disseminate necessary information and research studies to
Planning the public and/or agencies concerned.

Support Process: Procurement Procedure, Risk Assessment Forms,

Office/Individual Performance Commitment and Review
Procurement records, RA 9184, ISO 9001:2015 Clauses 4.4; 5.3; 8.4.1;
8.4.2; 8.4.3

5. Explanation: 4 points – (2 points each)

1.1 Why a “nonconformity” cannot be reported as an “opportunity for improvement”

Nonconformity cannot be reported asa an opportunity for improvement used for auditors, under the standard of ISO
9001, in order to make suggestions to help the agencies to improve their quality systems, at least under the auditor’s
perspective. NC cannot be reported because IFO where the results achieved may not optimal, less than well-
organized, or over complicated.

1.2 Why a nonconformity is raised against a “shall” and not against a “should”?
Shall is a requirement used verb in the ISO 9001:2015 because in certifying an agency through an ISO 9001:2015
standards. It should follow the requirements in order to achieve the certification of an agency.

6. Situational Problems: 12 points (6 points per Situation)

In each situation, identify the most appropriate ISO 9001:2015 clause – and as necessary
sub-clause – against which the issue is applicable. Classify all findings as Conformity or
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Nonconformity. Provide justification for your decisions. In addition, identify Opportunities for
Improvement if you find the issue/situation warrants it.

Method of scoring:
 Right classification (whether Conformity or Nonconformity) – 1 pt.
 Right ISO 9001 clause/sub-clause – 2 pts.
 Justification / Explanation / OFI – 3 pts.

Situation 1

While auditing the Procurement Officer of a government agency, the Auditor notes that there
was no documented procedure that describes the activities and controls to be applied for the
procurement process.

Upon questioning the Procurement Officer, it was explained that he had been doing the job for
twenty years, was fully qualified and trained. Review of training records supported this
statement. Further investigation revealed that the actual practice complies totally with the
Government Procurement Law and ISO 9001 requirements.

Classification: Nonconformity

Clause / Sub-clause: 9.1.1

Justification / Explanation / OFI:

The procurement officer of a government agency has no documented procedure that describes the activities.

Situation 2

An audit of a privately-owned construction company revealed that in most of the projects, they
were told by their clients on which subcontractors to use and, consequently, did not conduct
any pre-qualification or monitoring of the subcontractors’ work.

Classification: Nonconformity

Clause / Sub-clause: 8.6

Justification / Explanation / OFI:

The privately-owned construction company did not conduct any pre-qualification or monitoring of the
subcontracts’work. They does not comply the requirements of the company

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