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Audit report

Annex 1: Action List Including Opportunities for


Improvement and Positive Aspects

Audit type: 13. Surveillance -Audit (ISO 9001:2008 with design)


Company: Products S. de R.L. de C.V.
Comments:
An audit cannot cover each and every detail of the management system. Therefore, there may still be areas of
concern (weaknesses) not addressed by the auditors in the closing meeting or the audit report. Audit results are
always evaluated on the basis of the following classification:
Nonconformities
(N):

Failure to fulfil one or more requirements of the management system standard or a situation that raises
ability of the client's management system to achieve its intended outputs.
(Classification: Major nonconformities).
The causes of the identified nonconformities must be analysed and the planned corrective actions
prior to the decision on certificate issue/renewal. The auditor generally verifies the effectiveness of cor
re-audit unless verification is possible on the basis of submitted new documentation.

Minor
nonconformities
(MiN):

In individual cases some of the requirements of the management-system standard are not fulfilled comp
not jeopardize the effectiveness of the management-system element (chapter of the standard).
(Classification: minor nonconformities).
The causes of the identified deficiencies shall be analysed and the lead auditor informed of the inte
within 14 days prior to the decision on certificate issue/renewal. The lead auditor evaluates the submitte
confirms acceptance thereof. The implementation and effectiveness of corrective actions will be verified

Opportunities for
improvement (I):

Aspects that would lead to management system optimization with respect to a requirement of the stand

Positive aspects
(P):

Positive aspects of the management system meriting special mention

(Basic requirement for the identification and recording of opportunities for improvement is that the re
standard regarding the process element have been fulfilled but that there are still areas for potential
effectiveness and efficiency. Implementation by the organization is recommended.)

All elements of the standard in each chapter of the standard were found to be "in conformity/effective" except for
those elements of the standard for which this action list includes nonconformities or minor nonconformities.

crt_f_07.49e, Revision: 3, Effective: 2014-10-13

316958000
Page 1 of 3

Audit report
Annex 1: Action List Including Opportunities for
Improvement and Positive Aspects

Audit type: 13. Surveillance -Audit (ISO 9001:2008 with design)


Company: Products S. de R.L. de C.V.
Chapter
ISO

Process/
unit

6.4

Work
Envirome
nt

Consider that the MSDS of chemical


products were available for the
operative personnel in Spanish;
some of them were found in English.
Plant 1
Reference NOM-018-STPS

7.6

Control of
monitorin
g and
measurin
g Devices
Control of
non
conformin
g product

Records of the results of verification


are propely maintained for calipers,
process could be improved following,
the intervals established in the
procedure.

Product which does not conform to


product requirements is identified
and controlled to prevent its
unintended use and recorder,
however some records were found
with no identification of authority for
their disposition.

MiN

8.3

Relevant audit results


(to be completed by auditor)

N/ Results of root cause analysis


MiN
(to be completed by client in case of
I/ P
non-conformities and minor
nonconformities )

Intended corrective a

(including responsibilitie
deadlines of the clien
(to be completed by clie

Information on nonconformity management in sampling certification:


In sampling certification, the TMS auditor will select and audit other sites in the next audit cycle and
consequently cannot verify on site the effectiveness of the corrective actions from the last audit cycle.
Given this, during the next internal audits carried out at the sites concerned, the Management Representative of
the central office must verify on site the effectiveness of the initiated corrective actions taken to address minor
nonconformities and opportunities for improvement, if any.
The results must be recorded and submitted to the TMS auditor at the next audit to ensure the auditor can verify
the effectiveness of the corrective actions initiated.
crt_f_07.49e, Revision: 3, Effective: 2014-10-13

316958000
Page 2 of 3

Audit report
Annex 1: Action List Including Opportunities for
Improvement and Positive Aspects

Audit type: 13. Surveillance -Audit (ISO 9001:2008 with design)


Company: Products S. de R.L. de C.V.
Internal audits carried out at all sites must take into consideration that identical minor
nonconformities/opportunities for improvement may also be present at other sites. If this is found to be the case
appropriate corrective actions must be initiated. The initiated corrective actions must be effectively implemented
at all sites to ensure the universal effectiveness of the management system.

Information about nonconformity management in multi-site certification:


The Management Representative of the central office must check whether a minor nonconformity/opportunity for
improvement identified at one site may also be applicable to other sites. The initiated corrective actions must be
effectively implemented at all sites to ensure the universal effectiveness of the management system.

General:
If minor nonconformities identified in the last audit are not effectively closed, they must be rated as
nonconformities (re-audit required).

crt_f_07.49e, Revision: 3, Effective: 2014-10-13

316958000
Page 3 of 3