Audit 08 – Training, Competence and Human Resources

Company: Vandagraph Sensor Technologies Ltd
Standard: ISO 9001:2015+A1:2024
Employee sampled: Catherine Spence
Employee ID: 6
Operational name: Cathy Green
Primary role: Goods Out
Audit date: 31 July 2026
Auditor: Derek Lamb

1. Audit scope and objective

Catherine Spence was randomly selected as the employee sample for Audit 08.

The purpose of the audit was to establish whether VST:

determines the competence required for personnel performing work affecting product and service quality;
provides suitable training and experience;
evaluates whether employees are competent to undertake their assigned work;
maintains suitable evidence of competence;
communicates responsibilities and quality-related requirements;
ensures employees understand how their work contributes to quality and customer satisfaction;
provides appropriate backup and continuity arrangements.

The employee works across shared Viamed and VST operations. The review therefore considered general employee records alongside a specific VST export sales and dispatch transaction.

2. Audit criteria

The review principally considered the following ISO 9001 requirements:

Clause 5.3 – Organisational roles, responsibilities and authorities

Responsibilities and authorities must be assigned, communicated and understood.

Clause 7.1.2 – People

The organisation must determine and provide the people necessary for effective operation of its quality management system and processes.

Clause 7.2 – Competence

The organisation must:

determine necessary competence;
ensure competence through education, training or experience;
take action where necessary;
evaluate the effectiveness of those actions;
retain documented information as evidence of competence.
Clause 7.3 – Awareness

Employees must be aware of:

the quality policy;
relevant quality objectives;
their contribution to the effectiveness of the quality management system;
the benefits of improved performance;
the consequences of not conforming to requirements.
Clause 7.5 – Documented information

Training, reading and competence records must be controlled and retained appropriately.

3. Evidence reviewed

The audit reviewed:

Catherine’s employee training record;
employee process and responsibility report;
required-reading records;
working hours, breaks and holiday records;
employee HSE work-area records;
timesheet and operational activity information;
picking and order-processing statistics;
VST customer purchase order 4423334704;
customer email authorising the part-delivery arrangement;
VST Invoice RST163350-5;
VST Delivery Note DST163350-5;
FedEx shipment and proof-of-export records.
4. Employee identity and company responsibilities

The employee is recorded internally as Catherine Spence, while operational records and customer-facing documentation may show Cathy Green. The records clearly relate to the same employee.

Catherine’s principal allocated role is Goods Out. Her wider assigned work includes:

picking and scanning stock;
preparing goods for dispatch;
processing customer orders;
producing and committing invoices;
preparing export documentation;
supporting stock and warehouse controls;
checking customer and order references;
coordinating carrier collections and dispatch records.

Her employee process review identifies:

30 allocated processes;
28 active processes;
two responsibility-only processes.

The assigned activities are consistent with the operational evidence reviewed.

Finding: Catherine’s responsibilities are documented and her system activity demonstrates that she understands and performs the assigned work.

5. Training and competence records

Catherine has an extensive training history covering company systems, product knowledge, warehouse activities, production-related work and general employment requirements.

Relevant recorded training includes:

Intrastats Sales Order Process;
Intrastats Purchasing Order Process;
Intrastats Issues;
contact management;
Shopify and Vandagraph order processing;
customs-duty training;
oxygen-sensor product training;
sensor-boxing refresher training;
QA and production activities;
carrier and dispatch systems;
payment and telephone systems.

The records generally identify:

the subject of training;
duration;
location;
training method;
trainer;
completion date;
validity period where applicable.

Catherine’s First Aid training remains valid until 20 October 2026.

The breadth of training is appropriate to an employee working across Goods Out, export dispatch and customer-order fulfilment.

Training review date

The training page states that Catherine last formally reviewed her record on 24 February 2025. Later entries were added after that date, including Intrastats Issues training completed in September 2025.

This demonstrates that training information continues to be recorded, although Catherine’s personal acknowledgement of the complete record should now be renewed.

Assessment: Training records are established and relevant, with an opportunity to update the formal employee review.

6. Evidence of current operational competence

Competence was assessed through actual work evidence rather than relying solely on training records.

During July 2026 Catherine:

scanned 3,083 individual items;
picked 143 orders;
worked in picking on 22 days;
averaged 140.14 scanned items per picking day;
averaged 6.50 orders per picking day.

For the wider period from 1 July 2025 to 31 July 2026, Catherine:

created 168 orders;
modified 169 orders;
created 1,839 invoices.

These statistics include shared operational activity, but they provide evidence that she performs the relevant processes regularly and has current practical experience.

7. VST transaction sample
Customer order

Honeywell Healthcare Solutions GmbH issued Purchase Order 4423334704, dated 4 May 2026, to Vandagraph Sensor Technologies Ltd.

The order included:

1,200 grommets;
1,200 cable ties;
1,200 cable assemblies;
5,000 barrier bags.

The cable assemblies were customer item E1002233, VST stock reference 8000004, priced at €5,500 per 1,000 units, equivalent to €5.50 per cable.

The customer’s purchase order required the purchase-order number and relevant line information to appear on invoices and shipping documents.

Customer-authorised part delivery

The customer subsequently instructed that 500 cables should be sent against a different order and that Purchase Order 4423334704 could proceed as a part delivery without all the remaining cables.

The email from Diana Feldt provides direct customer authorisation for the revised delivery arrangement.

This demonstrates that the partial shipment was not an unauthorised short delivery.

Delivery documentation

Delivery Note DST163350-5 recorded:

customer reference 4423334704;
Honeywell Healthcare Solutions GmbH;
customer account VST0004;
VST stock reference 8000004;
Honeywell item E1002233;
ordered quantity 1,200;
current delivery quantity 200;
tariff code 8544200030;
country of origin United Kingdom;
EXW VST delivery terms;
FedEx Priority shipment arrangement.

The remaining product lines were retained on the document but had no quantity included in this delivery, correctly reflecting that this was a part shipment.

Invoice check

Invoice RST163350-5 recorded:

customer purchase-order reference 4423334704;
invoice date 16 July 2026;
200 cable assemblies;
unit price €5.50;
total net value €1,100.00;
VAT €0.00;
tariff code 8544200030;
country of origin United Kingdom;
EXW Incoterms 2020;
tracking number 874487252087.

The invoice calculation was correct:

200 × €5.50 = €1,100.00.

The unit price also agreed with the original customer purchase order.

Dispatch and proof of export

The FedEx shipment record showed:

shipment date 17 July 2026;
Cathy Green as the dispatch contact;
collection from 15 Station Road, Cross Hills;
delivery to Honeywell Healthcare Solutions GmbH in Wismar, Germany;
actual weight 21.20 kg;
dimensions 61 × 47 × 33 cm;
tracking number 874487252087.

The tracking reference agreed with the commercial invoice.

The carrier label identifies “Vandagraph Sensor Technologies” on the 17 July shipment. Other labels may display “Viamed Limited” because both companies operate from the same premises and the external building is primarily identified as Viamed. This is an operational collection-address convention and does not undermine the transaction because the controlled commercial documents correctly identify the VST legal entity.

Finding: The sampled VST order was customer-authorised, correctly priced, accurately documented and traceable from purchase order through part-delivery instruction, invoice, delivery note and carrier shipment.

8. Evaluation of training effectiveness

The sampled transaction provides objective evidence that Catherine’s training and experience are effective.

Catherine demonstrated the ability to:

distinguish between Viamed and VST commercial paperwork;
process a VST export order;
follow revised customer delivery instructions;
maintain customer purchase-order references;
process a partial delivery;
apply the correct product description and stock reference;
retain tariff and country-of-origin information;
apply the stated Incoterms;
support zero-rated export invoicing;
maintain traceability through the carrier tracking number.

The work was not assessed solely by reviewing whether Catherine had attended training. The completed customer transaction demonstrates effective practical application.

Assessment: Competence and training effectiveness are satisfactorily demonstrated.

9. Customer requirements and awareness

The customer purchase order placed specific requirements on:

quantities;
unit prices;
customer item references;
delivery dates;
invoice content;
shipping documentation;
country of origin;
tariff information;
packaging and delivery arrangements.

The sampled invoice and delivery documentation retained the main customer references and product information.

The authorised partial-delivery email was followed, demonstrating awareness that customer instructions must be recorded and reflected in the transaction.

The correct handling of the VST documentation supports awareness of how Catherine’s work contributes to:

customer satisfaction;
order accuracy;
export compliance;
timely delivery;
accurate invoicing;
product traceability.

No evidence was identified that Catherine’s actions caused a customer complaint, invoice rejection, export problem or loss of traceability.

10. Required reading and awareness records

Catherine’s reading record shows that she has acknowledged a substantial number of personnel, quality and health and safety documents.

Several documents remain recorded as unread. A number of these were revised shortly before the audit in July 2026 and may reasonably still be within the normal acknowledgement period.

Older unread documents include:

CPM 10 Capability Procedures;
CPM 32 Joining Our Company;
CPM 33 Safeguards;
CPM 34 Standards of Operation;
CPM 35 Salaries, Wages and Attendance.

The reading list should be reviewed to determine:

which documents are applicable to Catherine’s VST duties;
which documents are newly issued and awaiting completion;
whether any historic documents were assigned retrospectively;
whether any documents should be removed because they are not relevant.

No evidence was identified that unread documents had adversely affected the VST transaction reviewed.

Opportunity for improvement: Review and rationalise Catherine’s outstanding reading requirements and obtain acknowledgement of applicable current documents.

11. Process allocation and business continuity

The employee review identifies:

five rolling tasks or audits shown as overdue;
one process for which Catherine is the only trained employee;
one process with no backup coverage;
nine processes without a separate configured audit.

These indicators require individual review.

A recently created task may be shown as outstanding without being materially overdue. Likewise, a process without its own rolling audit may be verified through another audit or departmental check.

The single-trained process is a potential continuity concern. Catherine’s experience is a strength, but the organisation should avoid unnecessary dependence on one person for an important process.

Opportunity for improvement: Identify the sole-trained process and train a suitable backup or document why the current arrangement is acceptable based on risk.

Opportunity for improvement: Review the five open items and confirm whether the nine processes without individual audits are covered by other verification arrangements.

12. Working arrangements and wellbeing

Catherine’s normal recorded working pattern is:

Monday to Friday;
07:00 to 16:30;
30-minute lunch;
45 working hours per week after lunch deductions.

Holiday, overtime and time-off-in-lieu records are maintained in the employee system.

Timesheet records show that Catherine regularly provides additional operational cover. This supports flexibility, but additional hours should continue to be monitored to ensure that workload remains reasonable.

No evidence of an attendance or reliability problem was identified.

13. Health and safety and work environment

Catherine’s HSE record contains warehouse, stock, Goods Inwards, Goods Out, stairs, offices and other work areas.

The report provided lists the available locations but does not clearly show which areas are actively selected for her.

Her expected VST-related areas would include:

Goods Out;
VST stock areas;
warehouse storage areas;
dispatch and parcel areas;
Goods Inwards where applicable;
warehouse corridors and stairs;
VST office or workshop areas where regularly visited.

Opportunity for improvement: Confirm that Catherine’s selected HSE areas accurately reflect the VST locations she works in or visits.

No evidence was identified that inadequate work-environment knowledge had affected the sampled export transaction.

14. Assessment against ISO 9001
Clause 5.3 – Roles, responsibilities and authorities

Catherine’s role and assigned processes are documented. Operational evidence demonstrates that she understands and performs her responsibilities.

Assessment: Conforming.

Clause 7.1.2 – People

Catherine provides regular and substantial operational support for Goods Out, order processing and dispatch. The organisation has provided an experienced person for the activities sampled.

Assessment: Conforming.

Clause 7.2 – Competence

Relevant training and experience are recorded. Competence was demonstrated through a correctly processed VST export transaction.

The formal employee review of the training record should be updated, but no competence failure was identified.

Assessment: Conforming, with an opportunity for improvement.

Clause 7.3 – Awareness

The transaction demonstrates awareness of customer requirements, order accuracy, traceability, export documentation and the consequences of incorrect processing.

No evidence was identified of a lack of quality awareness.

Assessment: Conforming.

Clause 7.5 – Documented information

Training, reading, process and transaction records are maintained. Some outstanding required-reading items require review and completion.

Assessment: Conforming, with an opportunity for improvement.

15. Positive findings
Catherine has extensive and relevant training and operational experience.
Competence was demonstrated through current practical evidence rather than training records alone.
The VST customer purchase order, part-delivery instruction, delivery note, invoice and carrier record were traceable.
The partial delivery was supported by written customer authorisation.
The invoice quantity and price agreed with the customer purchase order.
Tariff code, country of origin and Incoterms were recorded.
The commercial documents correctly identified Vandagraph Sensor Technologies Ltd.
Catherine’s name on the carrier documentation provides direct evidence of her involvement in export dispatch.
No customer complaint, invoice rejection, export failure or traceability problem was identified.
16. Opportunities for improvement
OFI 1 – Formal training review

Catherine’s training record was last formally reviewed by her in February 2025.

Recommended action: Complete and acknowledge a current review of the training record.

OFI 2 – Required reading

Several current and historic documents remain unread.

Recommended action: Review applicability, remove irrelevant assignments and complete applicable reading within an agreed period.

OFI 3 – Backup competence

One process appears to depend solely on Catherine.

Recommended action: Identify the process and provide backup training or a documented risk-based justification.

OFI 4 – Rolling-task and audit coverage

Five items are shown as overdue and nine processes have no individual audit configured.

Recommended action: Review the underlying records and confirm that suitable verification exists.

OFI 5 – HSE work areas

The report does not clearly show Catherine’s selected locations.

Recommended action: Confirm and update her VST HSE-area allocation.

17. Nonconformities

No nonconformities were identified from the Catherine Spence VST employee sample.

The points raised concern administrative maintenance and operational resilience. There was no evidence of:

inadequate competence;
incorrect VST order processing;
unauthorised partial delivery;
pricing error;
loss of customer traceability;
incorrect legal entity on controlled commercial paperwork;
failure to retain export evidence.
18. Overall audit conclusion

VST’s training, competence and awareness arrangements were found to be generally effective and suitably implemented for the employee sampled.

Catherine has relevant training, substantial practical experience and demonstrated competence in VST order fulfilment and export dispatch.

The sampled Honeywell order was traceable from the customer purchase order and revised part-delivery instruction through to the VST delivery note, invoice and FedEx shipment. Quantities, prices, customer references, product references, tariff information, origin and shipping details were consistent.

The use of the Viamed name on occasional carrier collection labels is explained by the companies sharing the same premises and the building being externally identified as Viamed. As the invoice, delivery note and purchase order correctly identify VST, this does not represent a nonconformity.

Administrative improvements are recommended concerning:

periodic review of the training record;
completion or rationalisation of required reading;
backup coverage;
review of open process tasks;
confirmation of HSE-area allocations.

Overall audit result:

☒ The process is generally effective, with opportunities for improvement.
