IAPMO R&T REGISTRATION SERVICES



Table of ContentsSection 1Facility InformationSection 2Client Information UpdateSection 3Audit ScheduleSection 4Conflict of InterestSection 5Audit Planning MatrixSection 6Entry Meeting ChecklistSection 7Opening/Closing Meeting AttendanceSection 8Objective EvidenceSection 9Exit Meeting ChecklistSection 10Audit SummarySection 11NCR and OFI Summary Section 12NCR and OFI Summary by ProcessSection 133-year audit planSection 14Interview logDisclaimerThis is a confidential report and is subject to the confidentiality agreement between the client and IAPMO R&T as documented in IAPMO R&T Policy. The contents of this report may be disclosed only in its entirety by authorized persons or personnel.Facility InformationAudit NumberISO-09-20556Organization NameKokusai Soko America, Inc.Number of Employees13Company Contact (title, phone and email)Gerardo (Jerry) Aguirrejerry@ 424-201-7960Type of audit FORMCHECKBOX Stage 2 FORMCHECKBOX Surveillance 1 FORMCHECKBOX Surveillance 2 FORMCHECKBOX Re-Cert FORMCHECKBOX Other (please explain)Audit Standard FORMCHECKBOX ISO 9001:2015 FORMCHECKBOX ISO 14001:2015 FORMCHECKBOX OHSAS 18001:2007 FORMCHECKBOX Other (list here)Address (included all locations if there are multiple1521 Francisco Street Unit A, Torrance CA 90501Any permanent or temporary locations? (i.e. construction site, customer site, etc.N/AIAF Code29Scope of certificationInternational freight forwarding, physical movement of customer owned merchandise and documentation service for export to overseas.List any previous NCR’s from previous audits, verify that they have been implemented and closed. Attach the signed NCR from previous audit. None from previous auditClient Information UpdateClient Summary274129512701301335794951270Has not0Has notThe headcount of the organization is and changed significantly since last audit. (has or has not)If the number of employees has changes signifigantly, contact the office to determine if the auit time needs to be adjusted. 477964513970Has not0Has not377634513970101The number of shifts worked by the organization is and changed since the last audit. (has or has not)If shifts have been added, contact the office to determine if the audit time needs to be adjusted.The registration scope of the management system ( FORMCHECKBOX continues to be appropriate) ( FORMCHECKBOX requires change due to the following factors)If scope has changed, contact the office to determine if the audit time needs to be adjusted. FORMCHECKBOX Not applicable no adjustments necessary. 4385945196850000Based on the information above, the audit time has been adjust ed by days.ISO elements, determined to be not applicable, continue to be justified or have been changed from the last audit?Not applicable ISO elementsJustified?8.3 Design and Development FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX No FORMCHECKBOX Yes FORMCHECKBOX NoHave the organizations processes or documented information changed significantly? FORMCHECKBOX Yes FORMCHECKBOX NoIf yes please explain.Audit ScheduleThe Audit Team will require interviewing key personnel in managing activities and others performing the activities associated with your quality management system. Please review the Audit Schedule to determine if the affected personnel will be available during the times indicated.The Audit Team will also require a private "meeting" room that can serve as our "base" of operating during the assessment. It would also be very helpful if arrangements could be made to have box lunches available as we will need the time during the lunch break for Audit Team discussion.For any concern relevant to the this Audit Schedule, or if you have any questions concerning the assessment, please contact the Lead Auditor at jeff.ruisocert@ or 1-877-4-MY-ISO-1. Day # 1Audit Date: August 25, 2017TimeLead AuditorAuditor 1Auditor 29:00 AMAuditor Arrival/Facility Tour FORMTEXT ?????9:05 AMOpening Meeting FORMTEXT ?????9:15 AM – 10:30 AMQuality Management FORMTEXT ?????10:30 AM – 11:30 AMPlanning, Documented Information FORMTEXT ????? FORMTEXT ?????11:30AM-12:00PM12:30-1:30Purchasing and Receiving FORMTEXT ????? FORMTEXT ?????12:00-12:30PMLunch FORMTEXT ????? FORMTEXT ?????1:30 PM2:30 PMplanning Control FORMTEXT ????? FORMTEXT ?????2:30 PM-4:30 PMPerformance Evaluation, Improvement, Use of Marks FORMTEXT ?????4:30PMAudit Trail, Auditor Time FORMTEXT ?????5:30PMClosing Meeting Auditor Departure FORMTEXT ????? FORMTEXT ????? FORMTEXT ????? FORMTEXT ?????Conflict of InterestIn the past 24 months, have you received any gifts, benefits, loans, or compensation from the company being audited? FORMCHECKBOX Yes FORMCHECKBOX NoIf yes please provide details. FORMTEXT ?????Do you have any business or personal relationships with the company being audited? FORMCHECKBOX Yes FORMCHECKBOX NoIf yes please provide details. FORMTEXT ?????In the past 24 months, have you been employed by a company or have you provided any consulting services to the company being audited? FORMCHECKBOX Yes FORMCHECKBOX NoIf yes please provide details. FORMTEXT ?????Do you or does any member of your immediate family have any financial interest or employed by the company be audited? FORMCHECKBOX Yes FORMCHECKBOX NoIf yes, please provide details. FORMTEXT ?????All the above information has been gone over with the client and both the lead auditor and the client representative agree with the above information.Lead auditor NameClient NameDateJeff RangelKokusai Soko America, IncAugust 25, 2017Audit Planning MatrixStage 2 Audit Planning Matrix (reference 4.4.1 above)ISO Sect.QMS Processes?{Management}{Purchasing}Sales4.1X??4.2X??4.3X??4.4X??5.1X??5.2XXX5.3XXX6.1X??6.2XXX6.3X??7.1XXX7.2XXX7.3XXX7.4XXX7.5XXX8.1??X??8.2??X??8.3?????8.4?X???8.5??X??8.6??X??8.7??X??9.1X????9.2X????9.3X????10.1X????10.2X????Mgmt. process is to be audited during all auditsEntry Meeting ChecklistIntroduce members of the audit team FORMCHECKBOX Introduce observers FORMCHECKBOX Review scope and objectives of the audit FORMCHECKBOX Short summary of methods & procedures to be used, including; FORMCHECKBOX Non-conformances: Defined major, minor and OFI’s. A series of related minors can be combined to form a Major. NCR’s found in the previous assessment that have not been acted upon or still open due to inaction will be considered a Major Nonconformance. State the organization’s responsibility to respond to NCR’s in the time frame agreed upon between the organization and the lead auditor.Establish official communication links between auditor and auditee FORMCHECKBOX Confirm resources and facilities are available to audit team FORMCHECKBOX Discuss confidentiality issue FORMCHECKBOX Identify need for safety or personal protection requirements FORMCHECKBOX Confirm time and date for closing meeting FORMCHECKBOX Verify understanding of the audit plan FORMCHECKBOX Verify all document review deficiencies corrected, internal auditcycle and management review completed FORMCHECKBOX Opening/Closing Meeting AttendanceNameTitleOpenCloseJeff RangelAuditor FORMCHECKBOX FORMCHECKBOX Jerry AguirreGeneral Manager FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX FORMCHECKBOX Objective EvidenceAssessment of LeadershipHave you determined external and internal issues relevant to the organization?Yes, section 4.2 of the manualDo any of these issues potentially affect the organization’s ability to achieve intended results?Yes, addressed in risk thinkingWho are the interested parties?Customers, owners, employeesWhere have the requirements for these parties been identified?Business manual Where has the scope of the QMS been documented?Business manual and throughout the facilityWhere are the QMS processes identified?Business manual Appendix AHow is the effectiveness of the QMS determined?Results of audits and How does the organization utilize the risk based thinking approach?FMEA document and Risk registerHow does the organization get employees involved in both risk based thinking and continual improvement?Involvement in meetings and documents.How was the quality policy created?Top leadershipHow is the quality policy communicated?It is posted throughout the facilityHow are the organizational roles, responsibilities and authorities defined and communicated?Job descriptions, and organizational chartHas an internal audit been completed?Yes, August 12, 2017Has a management review been completed?Yes, August 12, 2017Have there been any recent continual improvement activities?Nothing besides training.Have there been any recent corrective actions?No there have not been any this year.Is the organization using the IAPMO and/or ANAB/KAN marks? If so, verify that it is used in accordance with documented procedure.No marks are being used at this time. Reviewed website, marketing material etc.Any recent customer complaints? Yes, customer claims and damage reportsAssessment of:WarehouseReferencing the Audit Plan Matrix, make sure to verify all applicable ISO 9001:2015 requirements.Process inputs: customer requirements, computer, PO, Bill of LadingProcess outputs: Tracking numbers, packing slipsObjective evidence to verify control: Took a tour of the facility and the quality policy is posted throughout. All areas of the warehouse are clearly marked and identifiable. The Non-conforming area has signage as well as tape on the ground. Same with the customer returns, will call area, express area are all well labeled. Reviewed the process of handling “Hot Orders” that are stamped with “PRIORITY” however no hot orders were available to be handled on the day of audit; interviewed the order verifier that matches up the Order Number from the Pick Slip with the “Packing List” in the warehouse and then affix the “Packing List” to the shipment and shrink wrap the pallet load of product; Reviewed the container receiving procedure and log. All are signed and dated with the correct information. When staff was asked if something happened they were able to communicate the process of notifying management and the non-conforming material. Reviewed the shipper ID report. Reviewed order numbers 376406, 347994, 356974. All requirements are listed. Verified team’s awareness of quality policy, objectives/ targets, quality management system processes/ procedures, personnel training/ competence and process/ operational controls - found to be satisfactory; reviewed the implementation effectiveness of key processes/ procedures required by the standard including document and record control, internal audit, control of non-conforming product, corrective and preventive action etc and found to be effectively managed; Put-Away/Stocking: Reviewed the process flow and checked the unloading process/ put away/ stocking process; the forklift driver receives a “PO Shipper Report” from the office and sees which container to stock the product from – sampled the above received containers and its put away process; witnessed Jose putting away/ stocking the items; The Quality Management Process & Warehousing Process are effectively managed and conformed to the applicable requirements of the standard. The process is very simple, the company receives goods, holds them for a specified period of time and ships them back out. There is no opening of any material or customer property. All products are customer owned.Process measurement: Customer Complaints and damages, currently being metProcess determined to be effective? FORMCHECKBOX Yes FORMCHECKBOX No Based on samples reviewed process found to be effectiveNon-conformances, Observations, and Opportunity of Improvements:NoneAssessment of:ManagementReferencing the Audit Plan Matrix, make sure to verify all applicable ISO 9001:2015 requirements.Process inputs: Values of the organization, employee based, process minded, customer requirements, proceduresProcess outputs: Management review minutes, employee training matrix, quality objectives.Objective evidence to verify control: Reviewed the quality manual 422 Rev G dated 9/20/16. Quality Policy states Kokusai Soko America is committed to meet or exceed our customer requirements and to provide continuous improvement to our processes. At Kokusai Soko America, quality is paramount in all we do. All staff interviewed was knowledgeable with the policy, objectives and their contribution to the quality management system. Communication at the organization is very good. There are meetings with all the employees weekly. The top management team is sincerely committed to establishing and maintaining the effectiveness of a value added QMS. The organization’s integrity, candor and commitment to create a safe product were apparent. Their approach to the QMS appears realistic and they supply appropriate resources to support the QMS. They are extremely receptive to feedback and want to use best practices in their system. All employees audited were invested in the system and took their role seriously. Control of non-conforming outputs has been address in procedure 8.7.Quality objectives are: 3% or less negative feedback per 100 shipping instructions. Currently no CAR’s1% per shipping instructions checked along with ITAR, currently no issues reportedContinue to update and provide training for employees directly involved with export complains and regulations (TSA, ITAR) all are on track at this time.Customer satisfaction above 90% currently 97%Reviewed internal audit procedure 8.2.2 and management review procedure 5.6. Reviewed all records from both events. Internal audit was outsourced and auditor certificate on file. Audit report covered audit plan and checklist. Management review covered all requirements per the ISO standard. Job descriptions and context of the organization, and organizational chart were reviewed. Reviewed customer complaintsHR 6.2 training Procedure. Work infrastructure is very clean and well organized. Process measurement: Results of audits. Continue to update and provide training for employees directly involved with export complains and regulations (TSA, ITAR) all are on track at this timeProcess determined to be effective? FORMCHECKBOX Yes FORMCHECKBOX No Based on samples reviewed process found to be effectiveNon-conformances, Observations, and Opportunity of Improvements:NoneAssessment of:PurchasingReferencing the Audit Plan Matrix, make sure to verify all applicable ISO 9001:2015 requirements.Process inputs: customer requirements, computer, PO, phone, email, supplier surveyProcess outputs: Tracking numbers, order acknowledgements, Completed PO, Approved vendors, C of C.Objective evidence to verify control: Approved suppliers list has all companies, contact, terms, and lead times if available for planning. Supplier evaluations are done on a yearly basis. Reviewed supplier evaluation procedure, Interviewed purchaser, communicated the process of purchasing, adding suppliers, evaluating suppliers, etc. All of the organizations terms and conditions are on the purchase order for buyer to view and agree to. Purchasing has their own FMEA. Reviewed Purchasing procedure 74-01 Rev d, Purchase order request form 74-01-02, Purchase order form 74-01-01. I verified all approval signatures if necessary (custom orders over $500 need to be approved by vice president or president) only one order which is 0039 approval signature dated 8/2/17.Other orders reviewed were 0025 dated 5/2/17 to Golden Eagle Packaging, 0023 dated 4/27/17 to A-1 Office Concept0022 dated 4/27/17 to Max Estore0013 dated 3/13/17 to Golden eagle Packaging. All orders listed above were reviewed by shipping/receiving stamped, dated and inspection approval if necessary. All information is signed and dated with prices, order acknowledgements and other applicable information.Process measurement: Suppliers are all above the objectiveProcess determined to be effective? FORMCHECKBOX Yes FORMCHECKBOX No Based on samples reviewed process found to be effectiveNon-conformances, Observations, and Opportunity of Improvements:NoneAssessment of:SalesReferencing the Audit Plan Matrix, make sure to verify all applicable ISO 9001:2015 requirements.Process inputs: ERP system, computer, customer requirements, RFQ, phone, emailProcess outputs: Order acknowledgement, sales order,Objective evidence to verify control: Interviewed sales, walked through the process of orders. Gets orders or RFQ only via email. If customer calls he refers them to email. RFQ comes in, builds the quote based on inventory pricing etc. Sends quote to customer within 1 day. Once customer purchase order comes in and it is reviewed based on order processing procedure, all applicable customer requirements are reviewed signed and put on the sales order. The system in place is very good, well documented and all procedures are followed. The salesman has been doing sales for the company for many years. All communication via email is put into the sales order folder for record of communication with customer. Planning package is put together with all applicable information. The package includes all customer requirements. Reviewed and spoke with sales on the risk register for the sales department and its one employee. Customer Complaints are all handled by sales, they are all recorded on the company secured network on the customer complaint/damage log, there have only been 16 entries so far this year. Reviewed the damage reports 5015591, SH020013, IW-006505 and PS-101210.Procedure 7.2.2 Customer requirements, communication and contract review procedure was reviewed, flow chart. Reviewed the order entry process, and sales, planning etc for the following job #’s1122376 dated 8/24/17 to IHI Aerospace LTD. Job-033438 dated 8/21/17 to Sojitz Aerospace. 007324 dated 5/15/17 to Fuji LA. All orders were signed dated, all terms and applicable information on hand and in the file. Purchase order acknowledgments were available, and all bill of lading information is readily available.Process measurement: Customer satisfaction above 90% currently 97%Process determined to be effective? FORMCHECKBOX Yes FORMCHECKBOX No Based on samples reviewed process found to be very effectiveNon-conformances, Observations, and Opportunity of Improvements:NoneExit meeting checklistRestate purpose and scope of audit (initiate with positives) FORMCHECKBOX State non-conformances/observations in order of significance FORMCHECKBOX Present conclusions concerning quality system effectiveness FORMCHECKBOX Discuss need for submittal of corrective actions FORMCHECKBOX Establish response time for corrective actions FORMCHECKBOX Verify understanding and agreement if recommended FORMCHECKBOX Restate confidentiality of all information gathered FORMCHECKBOX Ask if there are any questions or any feedback from the organization FORMCHECKBOX Discuss appeals process FORMCHECKBOX Note copy of audit report will be submitted as soon as possible, preferably FORMCHECKBOX with two weeks of this audit. Schedule the next audit FORMCHECKBOX 191770012065August 2018August 2018Next audit date Next audit type FORMCHECKBOX Surveillance 1 FORMCHECKBOX Surveillance 2 FORMCHECKBOX Re-certThank you and good bye FORMCHECKBOX Audit SummaryNCRs found FORMCHECKBOX None FORMCHECKBOX Major: FORMTEXT ????? FORMCHECKBOX Minor: FORMTEXT ????? FORMCHECKBOX Observation: FORMTEXT ????? NOTE: For any NCR’s issued during the audit a separate NCR form (form 008) shall be issued, separate from this audit report. Page 1 of the NCR form shall be completed and signed by both the Lead auditor and the client. List all observations on the NCR/OFI summary belowFollow up required? FORMCHECKBOX None FORMCHECKBOX Yes, please identify the follow up plan. NOTE: for major nonconformities, a re-visit may be required to verify and close the NCR. Major NCR’s need to be verified and closed within 60-days.Registration Assessment (for stage two audits and re-assessment audits) FORMCHECKBOX I recommend the issuance of a certificate of registration FORMCHECKBOX I recommend the issuance of a certificate of registration upon receipt of satisfactory corrective action plans FORMCHECKBOX I do not recommend the issuance of a certificate of registration and a re-audit is requiredSurveillance audit FORMCHECKBOX I recommend continuance of registration FORMCHECKBOX I recommend that the certificate of registration be suspended, reduced, extended or withdrawn. NCR/OFI Summary (For NCR’s identify the NCR # and brief description. For OFI identify the OFI # and a brief description)NCR/OFI #DescriptionNCR and OFI Summary by ProcessQMS ProcessesManagementSalesPurchasingInitial 2015 auditSurveillance 1Surveillance 2RecertificationNOTE: list OFI-(#) for opportunities and NCR-(#) for NCR’sExample; if there is an opportunity for the management process then identify OFI (1)Example; if there is 3 nonconformities for the management process then identify NCR (3)3-year audit planQMS Processes{Management}SalesPurchasingSurveillance 1XXXSurveillance 2PPRecertificationPPPInterview Log{Management}SalesPurchasingWarehouseAuditeeJerry AguirreJerry AguirreJerry AguirreAuditeeAndrew TapiaAuditeeAuditeeAuditeeAuditeeAuditeeAuditeeAuditeeAuditeeAuditeeAuditee ................
................

In order to avoid copyright disputes, this page is only a partial summary.

Google Online Preview   Download