Iapmo R&T Registration Services

IAPMO R&T REGISTRATION SERVICES

5001 E. Philadelphia St, Ontario, CA91761

AUDIT REPORT

Table of Contents

Section 1Facility Information

Section 2Client Information Update

Section 3Audit Schedule

Section 4Conflict of Interest

Section 5Audit Planning Matrix

Section 6Entry Meeting Checklist

Section 7Opening/Closing Meeting Attendance

Section 8Objective Evidence

Section 9Exit Meeting Checklist

Section 10Audit Summary

Section 11NCR and OFI Summary

Section 12NCR and OFI Summary by Process

Section 133-year audit plan

Section 14Interview log

Disclaimer

This 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.

1.Facility Information

Audit Number / ISO-09-20551
Organization Name / Advanced Mold Technology
Number of Employees / 12
Company Contact (title, phone and email) / Jim Rogers, Consultant (909) 595-2205
Type of audit / Stage 2 Surveillance 1 Surveillance 2 Re-Cert
Other (please explain)
Audit Standard / ISO 9001:2015 ISO 14001:2015 OHSAS 18001:2007
Other (list here)
Address (included all locations if there are multiple / 398 Cliffwood Park
Brea, CA 91709
Any permanent or temporary locations? (i.e. construction site, customer site, etc. / N/A
IAF Code / 17
Scope of certification / Manufacture of Precision Molds and Tooling
List any previous NCR’s from previous audits, verify that they have been implemented and closed. Attach the signed NCR from previous audit. / None

2.Client Information Update

Client Summary
The 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.
The 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 ( continues to be appropriate)
( requires change due to the following factors)
If scope has changed, contact the office to determine if the audit time needs to be adjusted.
Not applicable no adjustments necessary.

Based 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 elements / Justified?
8.3 Design and Development / Yes No
Yes No
Yes No
Yes No
Have the organizations processes or documented information changed significantly? / Yes No
If yes please explain.

3.Audit Schedule

The 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 this Audit Schedule, or if you have any questions concerning the assessment, please contact the Lead Auditor or 1-877-4-MY-ISO-1.

Day # 1 / Audit Date: 7/6/17
Time / Lead Auditor / Auditor 1 / Auditor 2
7:00AM / Auditor Arrival
7:10AM / Opening Meeting
7:20AM / Management/Leadership
10:00AM / Sales
12:00PM / Lunch
12:30PM / Purchasing
2:00PM / Manufacturing
3:30PM / Closing Meeting

Note:Auditor arrival time is an estimated time.

4.Conflict of Interest

In the past 24 months, have you received any gifts, benefits, loans, or compensation from the company being audited? Yes No

If yes please provide details.

Do you have any business or personal relationships with the company being audited?

Yes No

If yes please provide details.

In the past 24 months, have you been employed by a company or have you provided any consulting services to the company being audited? Yes No

If yes please provide details.

Do you or does any member of your immediate family have any financial interest or employed by the company be audited? Yes No

If yes, please provide details.

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 Name / Client Name / Date
Jeff Rangel / Advanced Mold Technology / 7/6/17

5.Audit Planning Matrix

Stage 2 Audit Planning Matrix (reference 4.4.1 above)
ISO Sect. / QMS Processes
{Management} / Customer Focus / Purchasing / Manufacturing
4.1 / X
4.2 / X
4.3 / X
4.4 / X
5.1 / X
5.2 / X
5.3 / X
6.1 / X
6.2 / X
6.3 / X
7.1 / X
7.2 / X
7.3 / X
7.4 / X
7.5 / X
8.1 / X / X / X
8.2 / X / X / X
8.3 / EXCLUDED
8.4 / X
8.5 / X
8.6 / X / X / X
8.7 / X
9.1 / X / X / X / X
9.2 / X
9.3 / X
10.1 / X
10.2 / X
10.3 / X
Mgmt. process is to be audited during all audits

6.Entry Meeting Checklist

1)Introduce members of the audit team

2)Introduce observers

3)Review scope and objectives of the audit

4)Short summary of methods & procedures to be used, including;

5)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.

6)Establish official communication links between auditor and auditee

7)Confirm resources and facilities are available to audit team

8)Discuss confidentiality issue

9)Identify need for safety or personal protection requirements

10)Confirm time and date for closing meeting

11)Verify understanding of the audit plan

12)Verify all document review deficiencies corrected, internal audit

cycle and management review completed

7.Opening/Closing Meeting Attendance

Name / Title / Open / Close
Jeff Rangel / Auditor
Jim Rogers / Consultant
Dana Mitchell / President
Mike Urlich / Operations Manager

8.Objective Evidence

Assessment of Leadership
1)Have you determined external and internal issues relevant to the organization? / Section 4.2 of the quality manual
2)Do any of these issues potentially affect the organization’s ability to achieve intended results? / Organization uses Risk and opportunities procedure PR-6.1 Rev A
3)Who are the interested parties? / Customers, employees, owners
4)Where have the requirements for these parties been identified? / Section 4.2 of the quality manual
5)Where has the scope of the QMS been documented? / Section 3 of the Quality Manual
6)Where are the QMS processes identified? / Section 4 of the Quality Manual (flow chart)
7)How is the effectiveness of the QMS determined? / Results of audits, process performance in relation to objectives.
8)How does the organization utilize the risk based thinking approach? / When speaking with top management risk based thinking is involved with every process. Section 6 of the quality manual. Company risk assessment form as well
9)How does the organization get employees involved in both risk based thinking and continual improvement? / Quarterly meetings, addressing objectives, safety, new opportunities and risks, continual improvement. Management review meetings.
10)How was the quality policy created? / Top management/leadership created the quality policy.
11)How is the quality policy communicated? / It is posted all around the facility, in the quality manual, talked about at meetings.
12)How are the organizational roles, responsibilities and authorities defined and communicated? / Organizational Chart in the quality manual
13)Has an internal audit been completed? / Yes 6/16/17
14)Has a management review been completed? / Yes held on 5/28/17
15)Have there been any recent continual improvement activities? / New safety and training have recently been done. Organization is using this audit process as well.
16)Have there been any recent corrective actions? / 4/3/17 NCR #108
17)Is the organization using the IAPMO and/or ANAB/KANmarks? If so, verify that it is used in accordance with documented procedure. / No marks being used at this time
18)Any recent customer complaints? / One on 4/3/17
Assessment of: / Management
Referencing the Audit Plan Matrix, make sure to verify all applicable ISO 9001:2015 requirements.
Process inputs: ISO Requirements, customer requirements, regulatory requirements, interested parties requirements. These are all used to document, implement our QMS. Other inputs: company goals, customer goals, customer complaints, etc.
Process outputs: measurable quality objectives and data, CAR’s, customer feedback, minutes from mgmt. review meetings, documented information (procedure, records) , interested parties
Objective evidence to verify control:
Reviewed the quality manual Rev 06.5.17
Reviewed document control and record control procedures. Continual improvement is always going on at the company. During the audit I overheard top management revising documents, safety checks and talking about more training.
Non-Conformance Log with two NCR in 2017 so far. #107 and #108, dated 1/23/17 and 4/3/17, both were reviewed verified closure and signed and dated. Good root cause analysis understanding.
Reviewed process flow chart, company org chart, job descriptions.
Reviewed training records for the last safety meetings held 12/15/16. Reviewed training records and certificates for forklift training.
Internal audit was outsourced and certificate is on the secured network at the company. It was done on 6/16/17. Reviewed the audit plan and report. Next audit is scheduled for June of 2018. There were no findings.
Top management has been identified as the responsible party for section 4. Top management monitored and reviews information by planned management review meetings. They have established a QMS along with mission statement, values statement, flow diagrams flow charts and risk based thinking of core processes. Top management has determined the interested parties that are relevant to the QMS
Top Management stated that improvements projects are devolved from risk-based thinking, process risk analysis (their process chart). Found from internal audits, corrective actions internally and from customers and from management review.
All documents have a unique title, date. Signed and dated for when the document was released.
Management is extremely committed to the organization and all can fill in for any spot in the company.
There is a corrective action log and all documents related to corrective action, and results also kept on the network. There have not been any this year so far, reviewed and verified old ones were closed and implemented.
Quality policy and objectives are posted throughout the facility and all employees interviewed were aware of location and familiar with the policy and objectives. Currently objectives being tracked are: No more than 5 customer Repairs per quarter currently 3 for entire 2017 (tracked on customer complaint log). Maintain customer survey of 90% or higher (reviewed customer surveys and currently 93.8%). No more than 3 job material re-orders per quarter, currently 1 for all of 2017 tracked in quickbooks purchasing report.
Top management is very committed to the organization and communication is very good, it is a service based company and they strive to make their customers happy and return. Internal communication is great as I witnessed many top level leadership out on the manufacturing floor helping out. It is an open door policy.
Management Review meeting was conducted on 5/28/17, it was attended by top level management/leadership. Reviewed the minutes and it covered all requirements by the ISO 9001:2015 standard.
Control of documents procedure PR-7.5.2-01 Rev B
Control of Records procedure PR-7.5.3-01 Rev B
Corrective Action Procedure PR-8.5.2-01 Rev B
Non Conformance Reporting PR-8.3-01 Rev C
Process measurement: Results of audits, customer retention, management review minutes
Process determined to be effective? Yes No
Based on samples reviewed process is found to be effective.
Non-conformances, Observations, and Opportunity of Improvements:
None
Assessment of: / Customer Focus
Referencing the Audit Plan Matrix, make sure to verify all applicable ISO 9001:2015 requirements.
Process inputs: When interviewing sales staff and management inputs were communicated as things like, ERP system, RFQ, customer requirements, QA clauses, Mil spec, customer requirements, computers, phone, email.
Process outputs: Communicated items such as, order confirmation/acknowledgement, work order, traveler, process steps,
Objective evidence to verify control:
All customer requirements and clauses are listed on the PO, when asked if they have been read it was said that if applicable they are either put into the traveler (special processes or noted on the traveler). Will review travelers in production process for these special requirements.
Once an quote or order is received, reviewed by sales. Order acknowledgements are sent out via email to the customer. Reviewed acknowledgements and orders for the following jobs:
#16080-01MS to Meggitt Polymers and Composites dated 3/15/17 Signed and approved Customer PO signed and dated
#16490-BEA to BE Aerospace dated 5/26/17 Customer PO in work order package
#16339-RD to Rubbercraft dated 4/7/17 customer PO in file all drawings and other applicable info signed, dated and approved
#KH-16417-E to Kirkhill Elastomers 3/23/17 customer PO in file all drawings and other applicable info signed, dated and approved
All sales orders reviewed were signed, dated, approved for production. All applicable customer requirements per the customer PO are on the work order.
Planning is very easy for AMT standard lead time is 8 weeks but can be expedited based on customer requirements and all the jobs going on in the shop at the time of order. All communication via email is put into the sales order folder for record of communication with customer. Planning/traveler package is put together with all applicable information. The package includes all customer requirements, blue prints, drawings, etc. When interviewing the planner who puts together all the traveler packages, was able to communicate the process in which is happens, all the requirements are reviewed and checked for accuracy before the ticket is sent to production. Reviewed in process work ticket packages and filed and finished packages who signs off on and closes the job. Closed tickets are kept in a secured location for a time of at least 7 years unless customer specifies longer
Customer complaint log and feedback reviewed
Control of Records Procedure PR-4.2.4-01 Rev B
Customer Related Process Procedure PR-7.2-01 Rev B
Process measurement: Customer Survey at 90% or higher, currently 93.8%. Objective being met.
Process determined to be effective? Yes No
Based on samples reviewed process found to be effective.
Non-conformances, Observations, and Opportunity of Improvements:
None
Assessment of: / Purchasing
Referencing the Audit Plan Matrix, make sure to verify all applicable ISO 9001:2015 requirements.
Process inputs: customer requirements, computer, PO, phone, email, supplier survey
Process outputs: Tracking numbers, order acknowledgements, Completed PO, Approved vendors, C of C.
Objective evidence to verify control: Interviewed purchaser, she 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 risk register and the only reference with a further action required is to monitor secondary suppliers for specific products that there are very few suppliers for.
Approved suppliers list has all companies, contact, terms, and lead times if available for planning. All suppliers prior implementation was grandfathered in based on past performance. Staff was able to show me how a company gets qualified and approved, since implementation no new suppliers have been added but the procedure is in place.
Supplier survey form reviewed for Cal-Mesa Steel Supply, US Calibration ISO cert on file, Gardena Specialized Processing ISO cert on file. Suppliers are broken down into two categories Tier 1 and Tier 2. Tier 1 being the most used suppliers.
Reviewed inspection reports for orders: #11617 dated 1/2/17, 15757 dated 1/17/17, 37901 dated 4/28/17,and 16394 dated 6/15/17. All purchase orders reviewed were signed, dated and approved. I reviewed the receiving inspection log all items ordered are inspected and recorded.
Reviewed purchase orders for #16336 to Schaffer Grinding dated 4/5/17
#16192 to National Electronic Alloys dated 11/17/16
#16511 to Anodync, Inc dated 6/13/17
#16450 to A & I dated 5/23/17
Control of records Procedure PR-4.2.4-01 Rev B.
Customer Related Processes PR-7.2-01 Rev B.
Purchasing Procedure PR-7.4.-01 Rev C.
Approved Supplier List
Supplier evaluation records
Non Conformance Reporting PR-8.3-01 Rev C
Process measurement:
Process determined to be effective? Yes No
Based on samples reviewed the process is found to be effective.
Non-conformances, Observations, and Opportunity of Improvements:
None
Assessment of: / Manufacturing
Referencing the Audit Plan Matrix, make sure to verify all applicable ISO 9001:2015 requirements.
Process inputs: traveler, customer requirements, machine, materials, work instructions, binders, tools
Process outputs: Completed traveler, inspection reports and results, finished product
Objective evidence to verify control:
Inspection travelers are received with all incoming parts and placed on a labeled shelf to be inspected. Once inspected inspection reports ICS forms are filled out with the results and either released or sent to quality manager for disposition. Non-conforming area outside inspection clearly labelled.
All production process employees are given a handbook kept at their area with work instructions, procedures quality policy.
Interviewed staff in the polishing area, beveling area, CNC area, Blanchard area (all areas of production). All familiar with quality policy, how to notify management of any breaches or non-conforming products. All will take traveler back to prior operator or operations manager. All travelers reviewed were signed dated and with the products/material out on the production floor. Reviewed the following jobs being performed while on the production floor:
Monthly Maintenance Log reviewed, all machines checked daily and monthly based on use and type of machine. While on-site I witnessed the checks being done and recorded in the log book as well as paperwork attached to each machine.
Reviewed the shipping and receiving log PO11617, KH-15757, TL 37901, RC16454, BEA 16491. All orders were signed and dated.
All operators program the machines themselves. Reviewed jobs in process in different areas. Jobs reviewed were 16219-KH, RC 16531-C, KH-16417 and MS-1608-01.
Calibration reviewed was asset numbers 016, 004, 008. All in tolerance and due 6/26/19. Traceable back to NIST.
Process measurement: No more than 5 customer repairs per quarter currently only 3 for all of 2017. Objective is being met.
Process determined to be effective? Yes No
Based on samples reviewed process found to be effective.
Non-conformances, Observations, and Opportunity of Improvements:
None

9.Exit meeting checklist