Conduct the internal audit of Sample Reception and Logistics

You are a trained internal auditor from Quality, Compliance and Client Services.

Simulated workplaceAdvanced missionCAQA Veritas Laboratories

What is going on

The internal audit and proficiency testing plan schedules an audit of Sample Reception and Logistics on 15 September, the first in the series before the accreditation reassessment in February 2027. The previous audit raised a finding on holding time flags, and a recent nonconformance recorded a holding time breach on a Friday afternoon registration. Sarah Whitmore wants two samples traced end to end, the cold room and probe thermometer records checked, and Ruby Anderson interviewed on the discrepancy process. Ben Castellano has been notified and the section is expecting you. Findings must be objective, referenced to the procedure and entered in the nonconformance register.

Sarah Whitmore, Quality Manager
Subject: Internal audit of Sample Reception on 15 September

You are the auditor for the Sample Reception and Logistics audit under the internal audit plan. Please prepare a checklist from the sample receipt procedure and the previous audit report, trace two samples from chain of custody through registration to the section worksheet, check the cold room temperature records and the holding time flags, interview Ruby about the discrepancy process, and write up the findings on the internal audit report template. Any nonconformance goes into the register with Ben as owner.

Your brief

Plan the audit from the procedure and previous findings, gather objective evidence by observation, records and interview, trace two samples end to end, classify and report the findings on the audit report template and enter any nonconformances in the register with the section supervisor as owner.

Work through it

You do not need to do it all. Doing a few of these will show you what the work is like. Your ticks and notes stay on this device.

Read the internal audit report template, the sample receipt procedure and the previous audit report, and prepare a checklist covering receipt, discrepancies, registration, storage, holding times and disposal.
Observe a batch being received and registered, noting whether the procedure steps are followed and the temperature is recorded with an in-service thermometer.
Select two samples from the sample register and trace each from chain of custody through registration, labelling, storage and transfer to the section, recording what you examined.
Check the cold room temperature records and the equipment register entries for the probe thermometers, including the unit under repair.
Interview Ruby Anderson about how discrepancies are identified, recorded and escalated, and compare her answers with the procedure and recent records.
Verify whether the previous audit finding on holding time flags has been closed effectively, using the recent holding time breach nonconformance as evidence.
Classify each finding as nonconformance, observation or opportunity for improvement, complete the audit report template and enter nonconformances in the register with Ben Castellano as owner.
Hold a closing meeting with Ben Castellano and record the agreed corrective actions and due dates.

My notes: what did I enjoy, and what surprised me?

What someone in this role would produce

Audit checklist
Completed internal audit report
Sample trace records for two samples
Nonconformance register entries
Closing meeting notes with agreed actions

Printing this is a record of what you explored. It is not a certificate or a qualification.