1. In the Quality Manager’s office the auditor reviewed a number of internal audit
reports. The auditor noted that regularly in all audit rounds for past two years some
70% of non -conformances were noted in the design department. The procedures
required auditing all departments at six monthly intervals and this was followed
strictly ever since implementation of the system.
AREA AUDITED:
AUDITOR(S):
CUSTOMER CARE
MAFULI & MOHAMED
AREA UNDER REVIEW:
AUDIT STANDARD:
ISO 9001:2015
DATE(S) OF AUDIT(S):
22/08/2019
REFERENCE DOCUMENT:
STANDARD
CLAUSE
REFERENCE&
NCR CATEGORY
ISO 9001:2015 Clause 10.2.1 b
MAJOR
CAR CLOSE OUT DATE:
✓
MINOR
DETAILS OF NON-CONFORMITY:
REQUIREMENT :
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;
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:
1) reviewing and analysing the nonconformity;
2) determining the causes of the nonconformity;
3) determining if similar nonconformities exist, or could potentially occur;
NON CONFORMITY AND EVIDENCE
Report rounds past two years shows some 70% of non -conformances were noted in the design department
AUDITOR:
AUDITEE:
ROOT CAUSE(S)
AUDITEE:
DATE:
CORRECTIVE ACTION TAKEN:
CORRECTIONS
AUDITEE:
AUDITORS CLOSE OUT REPORT (USE ADDITIONAL SHEETS IF NECESSARY):
REVIEW OF EFFECTIVENESS OF CORRECTIVE ACTION TAKEN:
DATE:
FOLLOW-UP COMMENTS:
- ACTION FULLY COMPLETED
- ACTION PARTIALLY COMPLETED
- NO ACTION TAKEN
2. In the material stores of paint manufacturer the auditor noticed that some drums
were stacked four high and some had been placed on broken pallets. The auditor
had previously visited the assembly line and seen procedures stating that, on the
basis of the risk assessment, drums should not be stacked more than three high
and no drums should be stacked on broken pallets. The storekeeper explained
that the assembly line procedures were not relevant to the stores area and that the
stores operating procedures made no such restrictions.
AREA AUDITED:
AUDITOR(S):
CUSTOMER CARE
MAFULI & MOHAMED
AREA UNDER REVIEW:
AUDIT STANDARD:
ISO 45001:2018
DATE(S) OF AUDIT(S):
22/08/2019
REFERENCE DOCUMENT:
STANDARD
CLAUSE
REFERENCE&
NCR CATEGORY
ISO 45001 :2018 Clause 8.1.1
MAJOR
CAR CLOSE OUT DATE:
✓
MINOR
DETAILS OF NON-CONFORMITY:
REQUIREMENT :
The organization shall plan, implement, control and maintain the processes needed to meet
requirements
of the OH&S management system, and to implement the actions determined in Clause 6, by:
a) establishing criteria for the processes;
b) implementing control of the processes in accordance with the criteria;
c) maintaining and retaining documented information to the extent necessary to have confidence
that the processes have been carried out as planned;
d) adapting work to workers.
At multi-employer workplaces, the organization shall coordinate the relevant parts of the OH&S
management system with the other organizations
NON CONFORMITY AND EVIDENCE
the assembly line procedures were not relevant to the stores area and that the stores operating procedures
made no such restrictions
AUDITOR:
AUDITEE:
ROOT CAUSE(S)
AUDITEE:
DATE:
CORRECTIVE ACTION TAKEN:
CORRECTIONS
AUDITEE:
AUDITORS CLOSE OUT REPORT (USE ADDITIONAL SHEETS IF NECESSARY):
REVIEW OF EFFECTIVENESS OF CORRECTIVE ACTION TAKEN:
DATE:
FOLLOW-UP COMMENTS:
- ACTION FULLY COMPLETED
- ACTION PARTIALLY COMPLETED
- NO ACTION TAKEN
3. During the site tour, the auditor observes a number of drums lying on a piece of
waste ground within the site boundary. The drums are not labelled but appear to
contain an oily residue. There is apparent contamination of the surrounding area
by this oily substance. The area is not identified within the waste management plan
nor has the possible contamination of land by oil been considered in evaluation of
the environmental aspects.
AREA AUDITED:
AUDITOR(S):
CUSTOMER CARE
MAFULI & MOHAMED
AREA UNDER REVIEW:
AUDIT STANDARD:
ISO 14001:2015
DATE(S) OF AUDIT(S):
22/08/2019
REFERENCE DOCUMENT:
STANDARD
CLAUSE
REFERENCE&
NCR CATEGORY
ISO 14001 :2015 Clause 6.1.2
MAJOR
CAR CLOSE OUT DATE:
✓
MINOR
DETAILS OF NON-CONFORMITY:
REQUIREMENT :
Within the defined scope of the environmental management system, the organization shall determine
the environmental aspects of its activities, products and services that it can control and those that it
can influence, and their associated environmental impacts, considering a life cycle perspective.
NON CONFORMITY AND EVIDENCE
The area is not identified within the waste management plan nor has the possible contamination of land by
oil been considered in evaluation of the environmental aspects.
AUDITOR:
AUDITEE:
ROOT CAUSE(S)
AUDITEE:
DATE:
CORRECTIVE ACTION TAKEN:
CORRECTIONS
AUDITEE:
DATE:
AUDITORS CLOSE OUT REPORT (USE ADDITIONAL SHEETS IF NECESSARY):
REVIEW OF EFFECTIVENESS OF CORRECTIVE ACTION TAKEN:
FOLLOW-UP COMMENTS:
- ACTION FULLY COMPLETED
- ACTION PARTIALLY COMPLETED
- NO ACTION TAKEN