CA Exercise No. 8 - NC Report

Day 4 - CA Exercise No. 8 (10 marks).
Following your audit of the case study company, review your personal notes and
write what you consider to be the most significant nonconformity on the
assessment nonconformity report form below. Complete the form as it would be
completed by an auditor during the assessment process:
XYZ CERTIFICATION LTD

(NON-CONFORMITY REPORT)
Company audited: GSM Date:
Auditor’s name: Auditee’s name: Narayana
Non conformity statement:
Review of risk register is not performed as per the defined frequency. It is noticed that there are
multiple occurrences where
Relevant evidence:
Competency matrix at marketing department is not evident. Same is a requirement as per

the Quality manual QM 001 revision 01 dated 20 Dec’2021
Clause: 9.1.3 e)
the effectiveness of actions taken to address risks and opportunities.

8.5.1 - Control of production and service provision
a) the availability of documented information that defines:
1) the characteristics of the products to be produced, the services to be provided, or the activities
to be performed.
Q1: are there any updated work instructions defined for the packing and delivery of goods to
the customers?
Evidence: Work instructions document / Guidelines document
10.2 Nonconformity and corrective action

10.2.1 When a nonconformity occurs, including any arising from complaints, the organization
shall:
a) react to the nonconformity and, as applicable:
1) take action to control and correct it;
2) deal with the consequences;
Q2: what is the procedure for taking the corrective actions?

Q3: Is the Corrective action request raised to mitigate the issue?
Evidence: CAR Document/ Report ( including 8D Steps)
-----------------------------------------------------------------------------------------------------------------------------
10.2.1 b) evaluate the need for action to eliminate the cause(s) of the nonconformity, in order
that it does not recur or occur elsewhere, by:
Q4 ) did you perform the root cause analysis to prevent the issue in future?
Evidence : CAR Report including root cause and preventive action/ Root cause analysis
Document
10.2.1 d) review the effectiveness of any corrective action taken;
Q5) Did you perform the effectiveness check for the corrective action taken to resolve the NC ?
Evidence: confirmation eMails with some supporting evidence , CAR report

7.2 Competence
7.3 Awareness
Q6) Did the person attend the training relevant to the packaging and delivering services to
customers?
Evidence: Training Record
----------------------------------------------------------------------------------------------------------------------
7.1.6 Organizational knowledge

The organization shall determine the knowledge necessary for the operation of its processes and
to
achieve conformity of products and services.
This knowledge shall be maintained and be made
Q7: I the One point lessons/SOPs are communicated to the relevant persons who are working in
stores ?
Evidence : lessons learnt/ SOPS/ Work Instructions

Scope:
ISO 9001 : 2015 - GSM – Customer Services and Home Delivery
Objective:
 To confirm that the GSM Customer Services continues to be capable of achieving
the organization’s policies and objectives and evaluation of the ability of the
management system to ensure the client organization meets applicable statutory,
regulatory and contractual requirements.
 To confirm that the GSM Customer Services conforms with all the requirements of
the audit standards.
 To evaluate the implementation, including effectiveness, of the implemented

management system.
Conclusions:
It is observed that GSM Customer Services has the robust mechanisms are in place to
handle the customer services.
It would be a great initiative for the organization to focus more on continuous
improvement activities/ actions to address the risks in a swift manner in terms of the
customer services
Findings:
Quality Objectives are not measurable in terms of Home Delivery Procedure.
6.2.1 b) The quality Objectives shall be measurable.
Recommendations:
Evidence related to Continuous improvement of customer services to be shared by GSM

no later than June 15th, 2023
Audit Objective:
The Surveillance audit is conducted to check the compliance of Grand Supermarket with
respect to the ISO 9001 International Standard.
Audit Scope:
The Audit objective is to check the compliance of Grand Supermarket Strategic Planning
process with respect to the ISO 9001 International Standard and the Quality Management
System
Positive Findings:
1. It is noticed that all the Employees are aware of their day-to-day activities.
2. It is noticed that there has been proper communication about the Work Instructions they
should be referring to carry out the operations.
Weakness:
Quality Objectives set are not adding value to the Business.
Non-Conformity: The set quality objectives are not measurable.
Clause 6.2.1 b
The organization shall establish quality objectives at relevant functions, levels and processes
needed for the Quality Management System be measurable.
Measurable objectives are goals that can be quantified and tracked.

The third-party certification body will recommend the ISO 9001 certificate once the
corrective actions implemented to address the above nonconformities are effective.

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Day 4 - CA Exercise No. 8 (10 marks).

XYZ CERTIFICATION LTD

Competency matrix at marketing department is not evident. Same is a requirement as per

the effectiveness of actions taken to address risks and opportunities.

Evidence: Work instructions document / Guidelines document

10.2 Nonconformity and corrective action

Q2: what is the procedure for taking the corrective actions?

Evidence: CAR Document/ Report ( including 8D Steps)

10.2.1 d) review the effectiveness of any corrective action taken;

Evidence: confirmation eMails with some supporting evidence , CAR report

7.1.6 Organizational knowledge

Evidence : lessons learnt/ SOPS/ Work Instructions

 To evaluate the implementation, including effectiveness, of the implemented

Evidence related to Continuous improvement of customer services to be shared by GSM

Measurable objectives are goals that can be quantified and tracked.

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