ISO9001 - Stage 2 Assessment ISO 9001 · ISO9001 - Stage 2 Assessment ISO 9001 Audit Report –...

OF 21 Date: 23/09/2015 Visit number: 37930 Auditor: Trevor Colton Client: Hunter Marine Surveyors, Wickham, Australia

ISO9001 - Stage 2 Assessment ISO 9001

Audit Report – Pre-printed substitute Issue level 2, May 2013 Member of SN Registrars (Holdings) Ltd

Certificate: Application Stage NOTE: This information is confidential and should not be disclosed to any third parties!

Visit Number: 37930

Client: Hunter Marine Surveyors

Address: 2 Portside Crescent Wickham New South Wales 2293 Australia

Contact Details: Andrew Graver [email protected]

Contact name(s): +61 2 4942 6748

Purpose of visit: 9001 - Stage 2

Standard: ISO9001

Scope of Assessment:

Provision of marine surveyor services.




Audit Schedule

Auditor 1 Auditor 2

Day 1 – 9 September 2015 19:00 Commence audit preparation N/A. 22:30 Complete audit preparation N/A.

Day 2 – 23 September 2015 08:00 Arrive. N/A. 08:10 Opening meeting. N/A.

08:30 Review of Stage 1 findings. N/A.

08:45 Management reviews. N/A.

09:15 Internal audits. N/A.

09:45 Control of documentation and records. N/A.

10:15 Nonconforming product and situations. N/A.

10:30 Corrective actions, customer complaints and satisfaction.

N/A.

10:45 Human resources. N/A.

11:15 Emergency Response. N/A.

11:30 Infrastructure and working environment. N/A.

11:45 Internal Communication. N/A.

12:15 Senior management interviews. N/A.

12:45 Service Delivery N/A.

14:15 Auditor preparation N/A. 14:30 Closing meeting 15:00 Depart N/A.

19:00 Commence report writing N/A.

22:30 Complete report writing N/A.




Standard: ISO9001 Scope: Provision of marine surveyor services. Number of Employees: Five (5). Number of Sites: One (1). Total audit man days: One and a half (1.5).

Audit time correct: Yes No � (if NO detail actions at the end of this checklist)

Stage 2 on site: Yes No � (if NO list reason and contact head office if not already noted on the proposal).

Date: 23 September 2015. Opening Meeting 1. Introduction of the participants, including an outline of their roles; 2. Confirmation of the scope of certification; 3. Confirmation of the audit plan (including type and scope of audit, objectives and criteria) and

any changes, 4. Date and time for the closing meeting, interim meetings between the audit team and the

client's management, if required, 5. Confirmation of formal communication channels between the audit team and the client; 6. Confirmation that the resources and facilities needed by the audit team are available (private

space, connectivity,) 7. Confirmation of matters relating to confidentiality; 8. Confirmation of relevant work safety, emergency and security procedures for the audit team; 9. Confirmation of the availability, roles and identities of guides and any observers; 10. Method of reporting, including any grading of audit findings; 11. Information about the conditions under which the audit may be prematurely terminated ; 12. (Unacceptable Risk to audit team, Non-Cooperation by auditee, Management System

breakdown) 13. Confirmation that the audit team leader and audit team representing the certification body is

responsible for the audit and shall be in control of executing the audit plan including audit activities and audit trails;

14. Confirmation of the status of findings of the previous review or audit, if applicable; 15. Methods and procedures to be used to conduct the audit based on sampling; 16. Confirmation of the language to be used during the audit; 17. Confirmation that, during the audit, the client will be kept informed of audit progress and any

concerns including changes to the scope; and 18. Opportunity for the client to ask questions. Closing Meeting 1. Thank client for co-operation - present positive/negative impressions; 2. Explain all findings are confidential; 3. Ask for questions to be held until summary has been completed; 4. Restate the Audit Objective, Scope, Criteria and the audit criteria; 5. Method and timeframe of reporting, including any grading of audit findings; 6. Explain the categories of non-conformities; 7. Explain the certification body's process for handling nonconformities including any

consequences relating to the status of the client's certification; 8. Explain that samples of the system have been examined and that non conformities may exist

in areas not audited; 9. Present overview of audit (i.e. number of non conformities in each category) and the

recommendation (for certification or not); 10. Auditors to present their non-conformities ; 11. Explain post audit activities of follow up and close out procedure with timeframe for

responding to NCR's and surveillance programs; 12. Explain complaints and appeals procedure; and 13. Questions for clarification.




Attendees

Opening meeting Closing meeting

Trevor Colton Trevor Colton

Andrew Graver Andrew Graver Audit Objectives (per ISO17021):

ISO17021 states:

The purpose of the stage 2 audit is to evaluate the implementation, including effectiveness, of the client’s management system. The stage 2 audit shall take place at the site(s) of the Client. It will include at least the following: • Information and evidence about conformity to all requirements of ISO 9001; • Performance monitoring, measuring reporting and reviewing against key performance

objectives and targets; • The client’s management system and performance as regards legal compliance; • Operational control of the client’s processes; • Internal auditing & management review; • Management responsibility for the client’s policies; and • Links between ISO 9001 requirements, policy, performance objectives, applicable legal

requirements, responsibilities, competence of personnel, operations, procedures, performance data and internal audit findings and Management review.




AUDIT REPORT FORM

CERTIFICATE Nil on Record

STANDARD ISO 9001:2008

CLIENT NAME Hunter Marine Surveyors, 2 Portside Crescent Wickham, New South Wales 2293

AUDITOR(S) Trevor Colton

DATE 23 September 2015

Names of Key Personnel Seen Job Title Andrew Graver Director

Scope of registration: Provision of marine surveyor services.

New contact (if changed): N/A. Number of employees: Five (5). Number of sites: One (1).

QMS Manual date / Issue level: Various.

Scope revision required? Yes �

No Details: N/A.

Auditor recommendation: � Recommend certification • Recommend certification upon receipt of acceptable Corrective Action Plan � Recommend certification upon verification of corrective actions if major issues raised � Recommend refusal of certification at this time Conclusion and agreed next steps: Certification. NCR’s raised: 0 Major / 4 Minor / 0 Observations

Objectives of Audit achieved: Yes. Date CA due: 23 December 2015. Signed: Trevor Colton Date: 23 September 2015

Signed: Company Representative Date: 23 September 2015

Note: (1) This Audit is based on a limited sample and other nonconformities may exist. (2) This report and its contents should be treated as confidential except with the prior agreement of

the Company.


ISO9001 - Stage 2 Assessment ISO 9001 Clause Requirement Yes No Obs NCR Procedure Comments


Have there been

any changes to the Quality manual, since the document review

Y N/A. The system is as presented for the Stage 1 audit.

If “yes”, do they remain acceptable?

Y N/A. Yes. See wider audit report for details.

4.1 General requirements

Y Quality Manual Sect 4.1

Hunter Marine Surveyors undertakes the provision of marine surveyor services. These services require the following functions: Business Development; Surveys; Report Generation; Sales; and Administration. All activities are undertaken in-house with no out sourcing. A permissible exclusion is sought for Design and Development and Customer Property. The size and complexity of the organisation requires an annual audit programme. No site visit is required.

4.2 Documentation requirements 4.2.1 General Y Quality

Manual Sect 4.2.1

The QM describes the structure, polices, objectives, procedures and supporting documentation. The general design, format and content of the QM is based on the structure of the ISO Standard was designed to meet the requirements of the business, cognitive of the requirements of the existing contracts. The system is structured into three levels being Level 1 – Policy, Level 2 – Procedures and Level 3 - Forms. These arrangements are considered compliant. Documentation is accessed via an excel based portal. This process is supported via the use of Drop Box. The electronic version of the documentation is considered to be the Master.




4.2.2 Quality manual Y Quality

Manual Sect 4.2.2

The scope of registration was described the confirmed during the audit, with the changes made to the DAS audit database. A permissible exclusion is sought for Design and Development and Customer Property. A review of the justification confirmed that this exclusion is appropriate. The QM is provided on line via Drop Box, with users having access to the system documentation at the point of use. The Manual is compliant with the requirements of the Standard and is designed around the format and structure of the Quality Standard. A non-controlled version of the documentation was provided for the purpose of the audit.

4.2.3 Control of documents (mandatory procedure required)

N Quality Manual Sect 4.2.3

The procedure is detailed within QM system with the responsibility for document control resting with the Quality Manager. The documents are maintained in word and are presented to the users in a mixture of PDF and word. Each document has a release date and version number. The electronic version is considered to be the Master version. Each procedure is under individual version control, with the release date being the version number. At the time of the audit the QM was at Version 1.0. It was observed that:

• Whilst the system documentation is compliant, access to the documentation is fragmented. It is considered that benefit would be gained through the rationalisation and restructuring of the system documentation.

• It is considered that benefit would be gained through the development of system documentation for Cargo Max.

See CAR 001. 4.2.4 Control of records

(mandatory procedure required)

Y Quality Manual Sect 4.2.4

The procedure is detailed within the text of the QM. This procedure addresses the control, recording, maintenance, archiving and retrieval of records and is compliant with the requirements of the Standard. A review of Document Control (including records), Internal Auditing, Management Review and surveyor scheduling processes was undertaken and were found to be compliant. The control of records was examined as part of the wider audit.




5.0 Management responsibility 5.1 Management

commitment Y Quality

Manual Sect 5.1

The commitment by management is demonstrated via the Company Policy, which outlines the requirements for management review, policies, quality objectives, management of resources and internal communication are detailed. The Company Policy Version 1.0 dated 24 Aug 15 was reviewed and found to be compliant. The recent review of the management system and the desire to achieve ISO 9001 certification demonstrates a commitment by management to the process. Management were keen to express that ISO Certification and the ongoing development of their business process is considered to be a key business driver.

5.2 Customer focus Y Quality Manual Sect 5.2

The requirements for customer focus are outlined and cross referenced to the other relevant elements of the QM, specifically the Customer Complaints. This element is also supported by the relevant forms and the non-conformance register (a complaint is considered a NCR). Where positive feedback being provided from the clients and these are being recorded, normally in the form of verbal communication or emails. This element is considered compliant with the requirements of the Standard. As marine surveyors, Hunter Marine Surveyors are at the beck and call of their clients, 24 hours a day, 365 days a year. The immediate nature of the client demands a robust client focus. The commitment to the client was evident throughout the audit process.

5.3 Quality Policy Y Quality Manual Sect 5.3

The Company Quality Policy Version 1.0 dated 24 Aug 15 was reviewed. The document was signed by the Director. The Quality Policy is available to staff via the file server system, with signed copies displayed throughout the organisation. When questioned, Mr Graver was able to describe the role and function of the quality policy. This element is considered compliant.

5.4 Planning 5.4.1 Quality objective N Quality

Manual Sect 5.4.1

The procedures for the performances objectives are detailed within the QM. The objectives cover all areas of the organisation and are considered appropriate given the maturity of the system. Objectives are reviewed as part of the standing agenda for the Management Review Meeting. It was observed that performance did not cover all areas of the business. See CAR 002.




5.4.2 Quality

management system planning


The necessary planning procedures are detailed within the QM Standard Operating Procedures. The development of additional procedures and ISO certification have been identified as short terms systems development goals. This element is considered compliant.

5.5 Responsibility, authority & communication 5.5.1 Responsibility &

authority Y Quality

Manual Sect 5.5.1

Responsibility and authority are detailed via the job descriptions and organisational chart. A review of the organisation chart and related job descriptions was undertaken. The position of Quality Manager was confirmed as having access to the highest levels of management. The position descriptions include details concerning tasks, training, superiors and subordinates. The job descriptions for the Managing Director and surveyors were reviewed and were found to be compliant.

5.5.2 Management representative


The procedures detailing the requirements of Senior Management and the Quality Manager are well defined within the job descriptions and organisational charts. This element is compliant with the requirements of the Standard. Mr Graver is appointed as the system manager. When questioned, Mr Graver was able to describe his roles and functions as the quality Manager.

5.5.3 Internal communication


Internal communication is maintained via staff notices, emails, face-to-face conversations and management meetings. At the operational level, communication is maintained via face-to-face communications and the daily work list. The work list is developed daily at 6am and 4 pm, with the surveyors access the list to determine their schedule of activities. Additional communication is provided via the monthly staff meetings. See management review. This element is compliant with the requirements of the Standard.

5.6 Management review 5.6.1 General Y Quality

Manual Sect 5.6.1

Management review meetings are scheduled on a monthly basis in the form of a staff meeting. This element is compliant with the Standard. The meetings are undertaken against a standing agenda. The agenda was reviewed and was found to be compliant with the requirements of Section 5.6.2 of the standard.




5.6.1 General (con) A review of the minutes from the meetings of 16 Jul 15 and 24 Aug 15 was undertaken. The

minutes were found to be complete and tasks are tracked from meeting to meeting until resolved. Supporting the management review is a series of informal meetings such as task briefings and the daily work list. This element is considered compliant.

5.6.2 Review input Y Quality Manual Sect 5.6.2

The items required to be discussed at the management review meeting are determined by the meeting agenda, which addresses all of the requirements of the Standard. See details above

5.6.3 Review output Y Quality Manual Sect 5.6.3

The output requirements of the management review process are clearly defined and are consistent with the requirements of the standards. See details above.

6.0 Resource management 6.1 Provision of

resources Y Quality

Manual Sect 6.1

There is clear commitment to the provision of recourses throughout the QM, with the specific requirements being addressed in the operational procedures. This element is compliant with the requirements of the Standard.

6.2 Human Resources 6.2.1 General Y Quality

Manual Sect 6.2.1

There are effective personnel management procedures to ensure that staff are suitable for employment within their roles, which is detailed within the job descriptions and administered via the training section. This element is controlled via the skills matrix. This element is considered compliant.

6.2.2 Competence, awareness & training

N Quality Manual Sect 6.2.2

Via the job descriptions and the procedures detailed within the stated section, there is clear evidence that procedures are in place to ensure that all Staff have the correct skills, knowledge and attitude. All training records are maintained within the employees personnel file. It was observed that whilst training records are being maintained, at the time of the audit no centralised register providing corporate level viability of training could be produced. See CAR 004.




6.3 Infrastructure Y Quality

Manual Sect 6.3

The infrastructure is required to support the operation consists of an office space and storage. The infrastructure is provided within a managed suite arrangement with the building managers being responsible for all facility matters. The infrastructure is considered adequate for the business.

6.4 Work environment


The work environment is considered satisfactory for the business. The emergency responses plan was examined and was found to be compliant with New South Wales requirements. Emergency response is embedded within the operational controls under the control of the building managers. This element is considered compliant.

7.0 Product realisation 7.1 Planning of

product realisation


The planning process is detailed within the QM via the procedures. The tasking process was examined and it was observed that all contained the appropriate planning elements such as quote, acceptance, survey report and invoice. Operational planning is undertaken via the work list, which is published at 6am and 4 pm daily. Surveyors are then tasks to coordinate the schedule between the rostered staff. A review of the work list for the day of the audit was undertaken and the process was found to be compliant.

7.2 Customer related processes 7.2.1 Determination of

requirements related to the product


Product requirements are defined by the type of survey and the flag state requirements in terms of legal requirements and documentation. The specific tasks that are required to be undertaken are defined by the type of survey or client requirements. For specialist tasks, the user requirements are defined in advance. A review of the work list for the day of the audit confirmed that the process is effective. This element is considered compliant.

List applicable regulations and compliances.


Legal requirements are controlled under New South Wales State Law, including the OH&S and Environmental Protection Act. In addition the Fair Work Australia and heavy vehicle operation regulations apply. A formal register of legal requirements has been established and processes are in place to review as appropriate. A review of the OH&S Act, Environmental Protection Act and Building Code confirmed that the documentation was current and held under version control. This element is considered compliant.




7.2.2 Review of

requirements related to the product


As a provider of marine surveys there are a number of legal requirements which govern the activities of the organisation. These are clearly defined surveys requirements that are tested and accepted by the user upon delivery. For more formal inspections and surveys a report is generated for the customer. All reports are subject to peer review prior to release to the customer. This element is considered compliant.

7.2.3 Customer communication


Customer communication is maintained via customer feedback, telephone conversations, emails, the personal conversations. See customer satisfaction.

7.3 Design & development 7.3.1 Planning N/A Permissible Exclusion

7.3.2 Inputs N/A Permissible Exclusion

7.3.3 Outputs N/A Permissible Exclusion

7.3.4 Review N/A Permissible Exclusion

7.3.5 Validation N/A Permissible Exclusion

7.3.6 Control of design & development changes

N/A Permissible Exclusion

7.4 Purchasing 7.4.1 Process Y Quality

Manual Sect 7.4.1

The purchasing processes are determined by the electronic accounting system MYOB. This element is considered compliant.

7.4.2 Information Y Quality Manual Sect 7.4.2

The information required by the financial system is determined by the electronic accounting system MYOB. This element is considered compliant.




7.4.3 Verification of

purchased product


Detailed procedures are in place to ensure that purchases are validated as part of the purchasing procedures and that a 100% inspection occurs on receipt. A formally approved list of suppliers is maintained within MYOB. The preferred supplier list was reviewed and was reviewed and was found to be compliant. This element is considered compliant.

7.5 Product & service provision 7.5.1 Control of

production & service provision


Operational control is maintained the Safe Work Method Statement, Work List and survey type for each activity. Operational safety is maintained via the hazard identification, the risk assessment process and Safe Work Method Statements. This process requires hazard identification, a formal risk assessment and the development of a supporting Safe Work Method Statement, with the key considerations being applied to each task. Safe Work Method Statements are reviewed on a 6 monthly basis. The key business processes within the organisation processes were identified as: Business Development; Surveys; Report Generation; Sales; and Administration. A review of the site induction process was undertaken. It was confirmed that all staff had been inducted and that they were aware of their responsibility. See section 6.2.2. This element is considered compliant.

7.5.2 Validation of processes for production & service provision


The control of the validation of process is detailed within the respective procedures based on the client’s requirements. This element is considered compliant.




7.5.3 Identification &

traceability Y Quality

Manual Sect 7.5.3

The control of the identification and tracing of items is detailed within the operating Work Instruction. Traceability of items is maintained via the job/task number or equipment serial number. This element is considered compliant.

7.5.4 Customer property

N/A Permissible Exclusion

7.5.5 Preservation of product


The control of the preservation of product is controlled by internal audits and quality control programme. This element is considered compliant with the standard.

7.6 Control of monitoring and measuring devices


Calibration is undertaken for hydrometers. The process involves the comparison against a master and the variations noted. A review of the records confirmed that this element is compliant.

8.0 Measurement, Analysis & improvement 8.1 General Y Quality

Manual Sect 8.1

The objective of this element is outlined in the QM. See other sections for details.

8.2 Monitoring & measurement 8.2.1 Customer

satisfaction Y Quality

Manual Sect 8.2.1

The requirements for customer satisfaction are outlined and cross referenced to the other relevant elements of the QM. This element is also supported by the non-conformance register. There were positive feedback being provided from the clients and these are being recorded within the events register. Customer satisfaction is monitored on an informal basis. It is considered that this element is compliant, but it is recommended that this element be reviewed at the next audit.




8.2.2 Internal audit

(mandatory procedure required)


The requirement for internal auditing is detailed within the QM and is supported by a procedure and audit schedule. A review of the audit schedule and the audit records confirmed that internal audits are occurring as required. Internal auditing has been developed within the business processes in terms of the peer review process and validation of the survey process. A review of the audit process confirmed that they are effective and well documented. The internal audit process is considered effective; however it is recommended that this element be reviewed at the next audit.

8.2.3 Monitoring & measurement of process


This element is monitored through the use of quality objectives, internal audit and management review.

8.2.4 Monitoring & measurement of product


The control of product is maintained via the internal audit, quality control processes, customer feedback and management review. This element is compliant.

8.3 Control of nonconforming product

N Quality Manual Sect 8.3

It was observed that whilst non-conformances are being actioned, at the time of the audit non-conformances were not being formally recorded, tracked and closed out. See CAR 003.

8.4 Analysis of data Y Quality Manual Sect 8.4

See customer satisfaction, performance objectives, internal audits, non-conforming product and management reviews.

8.5 Improvement 8.5.1 Continual

improvement Y Quality

Manual Sect 8.5.1

Not applicable as there have been no changes since the Stage 1 audit.

8.5.2 Corrective action Y Quality Manual Sect 8.5.2

Corrective action procedures are detailed within the IMS and are a standing agenda item within the management review meetings. This element is considered compliant.




8.5.3 Preventative

action Y Quality

Manual Sect 8.5.3

Preventative action procedures are detailed within the IMS and are a standing agenda item within the management review meetings for the close out of non-conformances. This element is considered compliant.

Additional Comments:

The following addition points were noted: a. Overall Findings: The Hunter Marine Surveyor’s Quality Manual (QM) is well suited for the business, is simple to understand and focussed on

the key business activities. There is a strong commitment and understanding to the requirements of a Quality System. The system addresses all of the Quality Standard requirements and is deigned to suit the operational requirements of the business. The business processes are considered mature; however the quality system is still developing.

b. Capability of QMS: The QM is well suited to the business with detailed procedures supporting the defined procedures for key elements of the business. As the Company undertakes the provision of marine surveys, there are a number of industry and legal obligations that apply. The organisational specific and general regulatory requirements have been identified and are tracked within the system. The capabilities of the Quality System are considered appropriate.

c. QMS Implementation: The System has been in operation for several years, but has only recently been formally reviewed and documented with the aim of achieving ISO 9001:200 certification. The system has undergone progressive improvements since its initial implementation. The system is considered mature in terms of its implementation, but immature in terms of record keeping.

d. QMS Arrangements: The quality arrangements are considered immature in terms of the implementation, however the business processes are considered mature.

e. QMS Maturity/Effectiveness: The quality system is immature but the under pinning business processes are well developed. Overall the system is considered effective and well suited to the business

f. Internal Audits: Internal audits are planned and undertaken as part of the mainstream business processes. g. Comparison with Previous Visits: As for Stage 1.




Stage 2 Audit Summary A formal on site Stage 2 audit was conducted upon the documented Quality Management System, to determine compliance with ISO 9001:2008. The findings were: • No of Critical/significant nonconformities = Nil. • No of Minor nonconformities = Four (4). • No of Observations = Nil. During the audit no critical and four (4) minor non conformance reports were raised. The Critical NCR(s) should be actioned before a recommendation for certification can be made. An acceptable action plan must be received, which addresses all minor non-conformances within an appropriate period of time, before a recommendation for certification can be made. Any applicable observations (both positive and negative) were noted during the assessment and details of these can be found in the attached CAR sheets. Hunter Marine Services should be aware that a recommendation to proceed with Certification may be overruled by the Certification decision maker and is subject to ongoing surveillance audits. Auditing is a sampling process and therefore non-conformances may exist that were not observed during this audit. At the next Annual Surveillance audit, the following clauses of ISO9001 will be audited: • 4.2; • 5.4.1; • 5.5.3; • 7.1; • 7.2; • 7.4; • 7.5; • 7.6; • 8.2; • 8.3; • 8.4; and • 8.5. Processes / Sites Related to clauses above (Annual): • Quality planning & provision of resources; • Communications; • Estimating / sales; • Purchasing; • Production /Service Provision; • Calibration (if applicable); and • Product and process monitoring / analysis. Plus the mandatory requirements: • Changes since previous assessment; • Corrective actions from previous assessment; • Use of Accreditation Mark (Tick & Crown); • Complaints, Requirements, Communication; • Internal Audits; • Management Reviews; • Continual improvement; and • Any additional clauses and /or standards.




CORRECTIVE ACTION REPORT

Page: 1 of 1 NCR Ref No: 001 Area of the Organisation relating to

Non Conformity: Documentation. Date: 23 September 2015

Description of Non-conformity: Documents required by the quality management system shall be controlled. Objective Evidence: It was observed that:

• Whilst the system documentation is compliant, access to the documentation is fragmented. It is considered that benefit would be gained through the rationalisation and restructuring of the system documentation.

• It is considered that benefit would be gained through the development of system documentation for Cargo Max.

Minor Nonconformity against Standard/ Clause: Signed: (Company Representative) (Auditor) Root cause: Maturity of the system. Summary of proposed Corrective Action: Review documentation control requirements. Proposed implementation date: 23 December 2015. Signed: Date: 23 September 2015.

(Company Representative)

The Corrective Action is verified as implemented and effective.

Signed by Auditor:

Date:

Standard: 9001:2008 Clause: 4.2.3

Distribution: Original to client, copy to DAS. After completion of proposed corrective action section, client to return form to DAS.





Page: 1 of 1 NCR Ref No: 002 Area of the Organisation relating to Non Conformity: Objectives.

Date: 23 September 2015 Description of Non-conformity: Top management shall ensure that quality objectives, including those needed to meet requirements for product, are established at relevant functions and levels within the organisation. Objective Evidence: It was observed that performance did not cover all areas of the business. Minor Nonconformity against Standard/ Clause: Signed: (Company Representative) (Auditor) Root cause: Maturity of the system. Summary of proposed Corrective Action: Review Company objectives. Proposed implementation date: 23 December 2015. Signed: Date: 23 September 2015.



Signed by Auditor:

Date:








Non Conformity: NCR Register. Date: 23 September 2015

Description of Non-conformity: The organisation shall ensure that product which does not conform to product requirements is identified and controlled to prevent its unintended use or delivery. Objective Evidence: It was observed that whilst non-conformances are being actioned, at the time of the audit non-conformances were not being formally recorded, tracked and closed out. Minor Nonconformity against Standard/ Clause: Signed: (Company Representative) (Auditor) Root cause: Maturity of the system. Summary of proposed Corrective Action: Review the management of non-conforming product. Proposed implementation date: 23 December 2015. Signed: Date: 23 September 2015.



Signed by Auditor:

Date:

Standard: 9001:2008 Clause: 8.3







Non Conformity: Training Register Date: 23 September 2015

Description of Non-conformity: The organisation shall determine the necessary competence for personnel performing work affecting conformity to product requirements. Objective Evidence: It was observed that whilst training records are being maintained, at the time of the audit no centralised register providing corporate level viability of training could be produced. Minor Nonconformity against Standard/ Clause: Signed: (Company Representative) (Auditor) Root cause: Maturity of the system. Summary of proposed Corrective Action: Review the requirement for training records. Proposed implementation date: 23 December 2015. Signed: Date: 23 September 2015.



Signed by Auditor:

Date:



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