Exercise Role “Mr.

Wagners first internal audit

Supplier to the automotive industry, Sample Customer, has had a functioning QM system for years. The
management has now appointed a new auditor. The new auditor (Mr Wagner) is sitting in Mr Miller’s
office (in charge of quality planning and promotion), with his colleague Mr Smith (supplier development
and promotion). Mr Wagner has been informed by the quality representative that Mr Smith is not happy
about Mr Miller’s appointment to his new responsibility; he thinks this should be his job. You are now
presented with the following transcript of a conversation during an audit. It is your task to assess
the auditor’s (Mr Wagner) behaviour and to determine starting points for improvements.

Start by reading through the case study and gather your comments and assessments together in your
group afterwards. As a group assess how complete and conclusive the provided details are. Time: 10
minutes to read the case study. 25 minutes to coordinate within the group and to discuss.
15 minutes for joint discussion with the whole group.

1. Mr Wagner I would be interested to know, Mr Miller, to what extent you are

involved in generating process flow plans?

2. Mr Miller All plans are passed to me for final approval, before any further steps are
taken. I always keep a copy of the plans.

3. Mr Wagner Can you show me where they are filed?

(Mr Miller opens a filing cabinet)

4. Mr Miller There they are – filed by customer name.

(Mr Wagner selects a folder and studies the content)

5. Mr Smith: Mr Miller, are you sure that Mr Wagner is authorised to look at

these files? (surprised) Some of this data is confidential.
(Mr Wagner, in the meantime, goes to another filing cabinet, opens the door
and takes out some folders.)

6. Mr Wagner Well, Mr Smith! This has already been agreed with the Managing
Director. As auditors we have access to all documents, and everything I see or
hear, I will treat as confidential. No information will be given to third parties
outside this audit.

7. Mr Miller: Yes, that’s fine. Mr Smith, the quality representative, explained that to me
during the last training course.

8. Mr Smith But I don’t think it is acceptable that you are opening filing
cabinets and taking out documents without our permission. Also, I did audit our
department myself some time ago and checked these documents!

9. Mr Wagner I am doing it this way because of past experience. It has happened too often,
that I was only shown the good side, whereas there is pure chaos in other
places. Now, back to the documents in this folder! In this instruction here,
something has been added.

10. Mr Miller Yes, you are right. But – this is your handwriting, Mr Smith!

11.Mr Smith Yes, that’s right – about three months ago I was asked by a colleague to add
this supplier. I then changed your copy and mine accordingly.

12. Mr Wagner Was this amendment authorised?

13. Mr Smith This concerns a supplier in my responsibility, and only me and my manager
need to be informed about this amendment.

14. Mr Wagner Do you often change the flow diagrams in this way?

15. Mr Smith Very rarely, our documents match well with actual practice. This must be
the only amendment I made within the past year for this part. (Mr Wagner puts
the folder back in the cabinet and makes some notes)

16. Mr Wagner Mr Smith, did you say that you have carried out an internal audit in this
department as well?

Issue: August 2017 IATF 16949 Process Auditing Page 1 of3

 Exercise Role “Mr. Wagners first internal audit

17. Mr Smith Yes, I have audited this department regularly. I am happy to have a copy of
my last report here, to show to you. It refers to some areas you should take a
closer look at. (Mr Wagner looks at the report)

18. Mr Wagner So, you have found non-conformities in all areas of this department except
your own?

19. Mr Smith My area is the one that operates most effectively in this department, as I also
told Mr Miller. If everybody worked as I do, there wouldn’t be any problems.

20. Mr Wagner Also, this report does not appear to be structured in the same format that
I was given by our quality representative.

21. Mr Smith Of course not! These are my personal notes on the audit.

22. Mr Miller Is there a problem with that, Mr Wagner.

23. Mr Wagner No, I just need to clarify a few things with the quality representative later.

24. Mr Smith Well, Mr Wagner, I can assure you that my audits are far better than
anybody else’s.
(Mr Wagner makes more notes)

25. Mr Wagner So, I have to carry on quickly to comply with the schedule. Can
we continue with your area, Mr Smith?

26. Mr Smith Certainly, if you follow me into my office, we can start there.

27. Mr Wagner Mr Miller, I will tell you my results later.

(Mr Wagner and Mr Smith go into Mr Smith’s office)

28. Mr Wagner With your move last week, you all received new desks and monitors. What
are you doing with your old monitor? My son needs a monitor.

29. Mr Smith I could have a word with the IT department for you. You could
buy this old monitor from the company.

30. Mr Wagner That’s great. Can you please arrange that! It’s my son’s birthday
next week. (They have arrived in the office)

31. Mr Wagner There is always a lot of paperwork lying around here.

32. Mr Smith Yes! With the move last week, I haven’t had a chance to put everything back
in order.

33. Mr Wagner Can you show me the current documentation relating to samples submitted
by the supplier, for the process flow plan we looked at earlier?

34. Mr Smith Certainly, here is what we received from the supplier. At last there was a
statistical analysis included. The supplier confirmed the dimension bolt
diameter after phosphating.

35. Mr Wagner Why are some of the documents in German. Can you read that?

36. Mr Smith The end customer wants us to supply the cover sheets of the samples from
our suppliers. This is why it has been organised in this way. I do have a
version of the German translation at my desk, so that I can cross-
check the entries.

37. Mr Wagner Who in your department checks that the information is complete?

38. Mr Smith This is my task. I always take a very close look at these cover sheets. If there
is a problem, I ring the supplier.
Normally, this documentation is included with the first delivery.

39. Mr Wagner So, there is no formal record that these samples have been
approved?

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 Exercise Role “Mr. Wagners first internal audit

40. Mr Smith I think, I have already clarified that, Mr Wagner.

41. Mr Wagner Fine, Mr Smith. Perhaps I could have a look at the process flow of
“packing of parts“ in the next department?

Issue: August 2017 IATF 16949 Process Auditing Page 3 of3