INTERNAL AUDITORS

TRAINING PROGRAM



COURSE INTRODUCTION
OBJECTIVES :
UNDERSTAND
-QUALITY MANAGEMENT PRINCIPLES
-ISO 9001 REQUIREMENTS
-QUALITY SYSTEM DOCUMENTATION
-AUDIT PROCESS AND CONDUCT
HAVE PRACTISED
-PLANNING / PREPARING FOR AN AUDIT
-CONDUCTING AN AUDIT INTERVIEW
-RAISING NON-CONFORMITIES
-REPORTING AUDIT FINDINGS
HAVE RECEIVED
-CONTINUOUS ASSESSMENT
-PERFORMANCE RATING / CERTIFICATION

COURSE EXAMINATION
Duration - 90 Minutes
Objective Type - 30 x 1.5 = 45
Audit Test - 3 x 10 = 30
Continual Assessment - = 25
Total = 100
Minimum marks for Pass = 80

OVERVIEW ON QUALITY
WHAT IS QUALITY ?
TRADITIONAL DEFINITIONS OF QUALITY
FITNESS FOR PURPOSE
CONFORMANCE TO SPECIFICATION
VALUE FOR MONEY
CUSTOMER SATISFACTION / CUSTOMER DELIGHT
DOING IT RIGHT THE FIRST TIME AND EVERY TIME
JUST IN TIME
REDUCTION OF VARIABILITY

STANDARD DEFINITION OF QUALITY

The degree to which a set of inherent characteristics
(distinguishing feature) fulfils requirements. (need or
expectation that is stated, generally implied or obligatory).
( AS PER ISO 9000-2000)

INSPECTION
Conformity evaluation by observation and judgement
accompanied as appropriate by measurement, testing or
gauging.
QUALITY CONTROL (QC)
Part of Quality Management focused on fulfilling Quality
requirements.
QUALITY ASSURANCE (QA)
Part of Quality Management focused on providing confidence
that the Quality requirements will be fulfilled.
EVOLUTION OF QUALITY
QUALITY -CONTROL
-ASSURANCE
-MANAGEMENT SYSTEM
QC QA QMS
DETECTION PREVENTION
DIRECTION
CODES &
STANDARDS
ISO 9001/2/3
1987 - 2000
ISO 9001 - 2000
Standardization originated in US during the II World war.
MIL-Q-9858 - Quality system specification.
MIL-I-45208 - Inspection system requirements.
NATO uses MIL standards as basis to form AQAP ( Allied Quality
Assurance Publication)
AQAP-1 - Quality system specification.
AQAP-4 - Mfg. , Inspection & Test specification
AQAP-9 - Final Inspection specification
EVOLUTION OF ISO 9000
UK does not accept AQAP and develops DEFSTAN (Defence
Standards) on its own.
Later, AQAP were aligned with DEFSTAN. DEFSTAN turns obsolete.
AQAPs were very militaristic in their content. Within industry at
large, there was need for common Quality standards. As a result
BS4891 & BS 5179 were born. These spelt out the codes of
practice, but had no application of contractual situations.
In 1979, BS 5750 was made. The First version of BS 5750 was not
only used in a contractual sense between buyer and seller but
BS introduced a third party registration scheme whereby they,
as an independent organization, registered companies
complying with the requirements of the standard on behalf of
the customers.
Contd.
As the need for such standardization was felt throughout the
world, an International committee was formed under the
chairmanship of Canada, to produce an International Quality
standard. This committee was called International Organization
for Standardization.
They considered many national inputs and in 1987 produced a
series of standards and this standards were called ISO 9000.
International Organization for standardization (ISO) located at
Geneva, Switzerland is the approved body for issue and
guidance of international standards today.
Why Implement ISO-9000
Requirement for Global export / tender.
Requirement for supplies to large indigenous
companies.
Decisive edge over competition.
Is an effective marketing strategy.
Formal bench mark to improve effectiveness
Acquire new customers
Improved overall productivity & profit
Less Field failures, reduction in scrap and rework.
Employee Job satisfaction.
-ISO 9000 describes fundamentals of Quality
Management systems and specifies the terminology for
QMS.
-ISO 9001 specifies requirements for a QMS where an
organization needs to demonstrate its ability to provide
products that fulfill customer and applicable regulatory
requirements and aims to enhance customer
satisfaction.
-ISO 9004 provides guidelines that consider both the
effectiveness and efficiency of the QMS.
-ISO 19011 provides guidance on auditing Quality and
environmental management system.
ISO 9000-2000 FAMILY OF STANDARDS
QUALITY LOOP
Quality Loop involves all phases right from initial identification to
customer satisfaction.
Product Quality is the resultant of the work of all the functional
departments
Each department has to carryout certain Quality related activities along with
the function.
Business Development
Contracts
Engineering Design
Procurement
Planning
Inspection &Testing
Execution
Installation
Commissioning
Servicing
Customer Satisfaction
Triple Role Concept
Customer
Processor
Supplier
Our activities must be customer driven. All of our
people must understand who their customers are and
what their customers expect, regardless of whether
those customers are internal are external
- John Creedon, President, Metropolitan life
Supplier
Processor of
the
operation

Customer
Processor of
the Design
Customer

Supplier

Processor of the
Construction
Supplier

Customer

Requirements
Facility
PROCESS :
CONVERTING INPUTS IN TO VALUE ADDED OUTPUTS
CONTROLS
e.g. Specs , Standards , Training
S
U
P
P
L
I
E
R
I
N
P
U
T
INSTRUCTIONS
INFORMATION
MATERIALS
VALUE
ADDITION
PAYMENT
SALES
REPORT
O
U
T
P
U
T
C
U
S
T
O
M
E
R
MECHANISM
PEOPLE,TIME,EQUIPMENT,CONSUMABLES
PDCA CYCLE
ACT PLAN
CHECK
DO
Take corrective action,
standardize & feed forward
to the next plan
Verify results of the
plan
Prepare Plan
Progress
Implement the plan on
a small scale
CUSTOMER









REQUIREMENTS
CUSTOMER






SATISFACTION
MANAGEMANT
RESPONSIBILITY
RESOURCE
MANAGEMENT
MEASUREMENT
ANALYSIS
IMPROVEMENT
PRODUCT
REALIZATION
PRODUCT
PLAN
DO
CHECK
ACT
PROCESS-BASED QUALITY MANAGEMENT SYSTEM
OUTPUT
VALUE ADDING
ACTIVITIES
INFORMATION FLOW
CONTINUAL IMPROVEMENT OF QMS
Quality
Manual
I
Quality
Procedures
II
Work
Instructions
III
Quality
Records
IV
Marke-
ting
Design Procur-
ement
Execu-
tion
QA Commi-
ssioning
Servici-
ng
Management / Customer
Describes the Quality system in
accordance to Quality Policy
and ISO 9000 standards
Functional heads of
organization
Supervisors and
operators
Quality Assurance
Department
Describes the activities of
individual functional units
Describes the detail how a
specific activity is performed
Demonstrates the
performance of activity as
per the requirements of
standards
ISO QUALITY SYSTEM TRIANGLE
ISO 9001-2000 PRINCIPLES &
REQUIREMENTS

QUALITY MANAGEMENT SYSTEM
QMS :
MANAGEMENT SYSTEM ( COORDINATED ACTIVITIES )
TO DIRECT & CONTROL AN ORGANISATION WITH
REGARDS TO QUALITY.
QMS PRINCIPLES
1 . CUSTOMER FOCUS :
UNDERSTAND CURRENT & FUTURE CUSTOMER NEEDS & MEET REQUIREMNTS
TRY TO EXCEED CUSTOMER EXPECTATIONS.

2 . LEADERSHIP
LEADERS SHOULD CREATE & MAINTAIN INTERNAL ENVIRONMENT WHERE
PEOPLE INVOLVE FULLY & TRY TO ACHIVE ORGANISATIONS OBJECTIVES.

3. INVOLVEMENT OF PEOPLE
PEOPLES FULL INVOLVEMENT ENABLES THEIR ABILITIES TO BE USED FOR THE
ORGANIASATIONS BENEFITS.

4 . PROCESS APPROACH
MANAGE ACTIVITIES & RELATED RESOURCES AS PROCESS TO ACHIEVE
DESIRED RESULTS EFFICIENTLY.
5. SYSTEM APPROACH TO MANAGEMENT
ACHIEVE EFFECTIVENESS & EFFICIENCY BY IDENTIFYING , UNDERSTANDING &
MANAGING INTERRELATED PROCESSES AS A SYSTEM.

6.CONTINUAL IMPROVEMENT :
IMPROVING ORGANISATIONS OVERALL PERFORMANCE IS AN PERMANENT OBJECTIVE

7. FACTUAL APPROACH TO DECISION MAKING :
ANALYSE DATA & INFORMATION TO MAKE EFFECTIVE DECISION

8. MUTUALLY BENEFICIAL SUPPLIER RELATIONSHIP ;
BOTH ARE INTERDEPENDANT & CORDIAL RELATION BENEFITS BOTH

QMS PRINCIPLES ( Contd. )
ISO 9001 - 2000
1. SCOPE
2. NORMATIVE REFERENCE
3. TERMS & DEFINITIONS
4 . QUALITY MANAGEMENT SYSTEM
4.1 GENERAL REQUIREMENTS
4.2 DOCUMENTATION REQUIREMENTS
5 . MANAGEMENT RESPONSIBILITY
5.1 MANAGEMENT COMMITMENT
5.2 CUSTOMER FOCUS
5.3 QUALITY POLICY
5.4 PLANNING
5.5 RESPONSIBILITY , AUTHORITY&
COMMUNICATION
5.6 MANAGEMENT REVIEW
6 . RESOURCE MANAGEMENT
6.1 PROVISION OF RESOURSES
6.2 HUMAN RESOURSES
6.3 INFRASTRUCTURE
6.4 WORK ENVIRONMENT
ISO 9001 - 2000 ( Contd )
7 . PRODUCT REALISATION :
7.1 PLANNING OF PRODUCT REALISATION
7.2 CUSTOMER RELATED PROCESS
7.3 DESIGN & DEVELOPMENT
7.4 PURCHASING
7.5 PRODUCTION & SERVICE PROVISION
7.6 CONTROL OF MONITORING &MEASURING
DEVICES

8. MEASUREMENT ANALYSIS &IMPROVEMENT
8.1 GENERAL
8.2 MONITORING & MEASUREMENT
8.3 CONTROL OF NON CONFORMING PRODUCTS
8.4 ANALYSIS OF DATA
8.5 IMPROVEMENT
AUDIT - INTRODUCTION
AUDIT
DEFINITION:
A SYSTEMATIC , INDEPENDENT & DOCUMENTED PROCESS FOR
OBTAINING EVIDENCE & EVALUATING IT OBJECTIVELY TO
DETERMINE THE EXTENT TO WHICH AGREED CRITERIA ARE
FULFILLED ( AS PER ISO 9000:2000 ).

AUDIT TYPES
FIRST PARTY AUDIT
Conducted by, or on behalf of, the organization itself for
internal purposes.
SECOND PARTY AUDIT
Conducted by customers of the organization or by other
persons on behalf of the Customer.
THIRD PARTY AUDIT
Conducted by external independent organizations,
usually accredited, provide certification or registration of
conformity with requirements such as ISO 9001.
WHY INTERNAL AUDITS ?

WHAT ARE THE BENEFITS ?
WHY TO AUDIT ?
Mandatory requirement of ISO 9000
Determining System conformity against a
Quality System standard / procedures.
To determine the System effectiveness to
meet the objectives.
To provide the Auditee with information to
use in improving the system.

BENEFITS OF AUDITING
_BUILDS CONFIDENCE IN MANAGEMENT
_CONFIRMS QUALITY POLICY IS UNDERSTOOD & IMPLEMENTED
_IDENTIFIES SYSTEM DEFICIENCIES
_ENABLE TO HIGHLIGHT SYSTEM WEAKNESS BEFORE POTENTIAL
PROBLEMS OCCURS
_CONVENIENT FRAME WORK FOR INVESTIGATING PROBLEMS IN
PARTICULAR AREAS
_ALLOW PERSONNEL FROM OTHER Depts AS AUDITORS TO
KNOW HOW THEIR WORK AFFECTS OTHERS
_CREATE OPPURTUNITY FOR INTERCHANGE OF IDEAS
_CREATES OPPURTUNITY FOR EXPRESSING NEW IDEAS FOR
IMPROVEMENT OF PROCESS IN COST EFFECTIVE MANNER
_INCREASED COMMITMENT & MOTIVATION
INTERNAL AUDIT
ISO 9001-2000 REQUIREMENTS
1 ) AUDITS ARE CONDUCTED AT PLANNED INTERVALS TO :
* DETERMINE QUALITY MANAGEMENT SYSTEM
Conformity With
+ PLANNED ARRANGEMENTS,
+ ISO 9001
+ POLICY & OBJECTIVES
EFFECTIVELY
+ IMPLEMENTED
+ MAINTAINED

2 ) PLAN A PROGRAMME OF AUDITS , COVERING :
PROCESSES / AREAS TO BE AUDITED , CONSIDERING
+ STATUS & IMPORTANCE
+ AUDIT HISTORY
3 ) DEFINE :
AUDIT CRITERIA & SCOPE
FREQUENCY & METHODS
INTERNAL AUDIT
ISO 9001-2000 REQUIREMENTS
4 ) SELECT AUDITORS :
OBJECTIVE
IMPARTIAL TRAINED

5 ) DOCUMENTED PROCEDURE DEFINING :
PLANNING CONDUCTING AUDITS
REPORTING
RECORDS

6 ) MANAGEMENT RESPONSIBILITY :
TAKE ACTIONS ( WITHOUT DELAY )
ELIMINATE NON CONFORMITY & THEIR CAUSES

7 ) FOLLOWUP ACTIVITIES SHALL :
VERIFY ACTION TAKEN ; REPORTING RESULTS
GUIDANCE DOCUMENTS
AUDIT GUIDELINES
ISO 19011 Guidance on auditing Quality and
environmental management system.
AUDIT STANDARDS
ISO 10011-1 AUDITING
ISO 10011-2 QUALIFICATION CRITERIA FOR AUDITORS
ISO 10011-3 MANAGING AN AUDIT PROGRAMME
AUDIT PREPARATION
AUDIT CYCLE
SCHEDULE
AUDIT
NOTIFY
PREPARE
ANALYSE
REPORT
FOLLOWUP
CORRECTIVE
ACTION
SAMPLE FORMAT
PROJECT:
Month
Audited Area Date 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31
Audit No.
PLANNING
SURVEY
FABRICATION
PROCESS CONTROL
REINF. YARD
STORES
QC LAB
MR
Date Legend
Prepared by Next Rev. Holidays
QM-Dept. Audit Planned
Approved by MR Latest Rev. Audit performed
AUDIT CALENDAR
Jul-02
SAMPLE AUDIT NOTIFICATION
Location: CNRO Date: Sl No:


To: Section:
cc:
This notification is to advise that an Audit is scheduled to take place in your Site/Dept as
detailed below.

Please acknowledge receipt of this notification by signing and returning a copy of this form to
the MR ( R ).
AUDIT DETAILS:

Audit Number:

Date Planned:

Time:

Proposed Audit Scope:


The Auditor / Audit Team will be:
The following personnel will be required to be available during the audit:
Approved by
Management Representative:
(Region)

Signed:

Date:
Received by
(Title):

Signed:

Date:

Scope proposed Accepted by Auditee





AUDIT PLANNING
IDENTIFY AUDIT SCOPE
Examine Relevant Documentation :
Manual / Procedures
Legislation / Specifications
Existing Checklists
Corrective Action History
Prepare Itinerary Program :
Starting Time
Duration
Timetable
Closeout meeting
PREPARE
CHECK LISTS
AUDIT CHECKLIST
PREPARE AUDIT CHECK LIST CONTAINING
THE QUESTIONS ON THE UNDERSTANDING OF
_PROCESS
_PROCESS STEPS
_PROCESS CONTROLS
METHODS OF VERIFYING CONFORMANCE & EFFECTIVENESS
_QUESTIONS
_RECORDS
_ACTIVITIES
DETAILS OF AUDIT TRAILS
Company : ABC Limited Dept : PURCHASING AUDITOR : XYZ Date : 23.04.02

QUESTION / TOPIC PROC. REF ADDRESSEE RESPONSE EVIDENCE
What is Purchasing department function Purchasing Mgr.
Where are relevant procedures are held? -do-
(check)
Review of requisitions Proc. WP 4.3.1 -do-
-Method
-Responsibility
What records are kept ? (Check) 3.1 -do-
Requistion log (Check) 3.2 -do-
Who maintains the preferred suppliers list? 3.3 -do-
(View and check issue)
-Method
Assessment of suppliers 3.4 -do-
-Method
-Frequency
Sample purchase orders (check against 3.5
requistions, log and supplier listing)
AUDIT CHECKLIST
AUDIT CONDUCT
AUDITORS - ROLE & RESPONSIBILITIES
REMAIN WITHIN THE SCOPE
EXERCISE OBJECTIVITY
COLLECT & ANALYSE EVIDENCE
REMAIN ALERT FOR ANY INDICATIONS OF EVIDENCE THAT
INFLUENCE AUDIT RESULTS
PREPARE FOR ANSWERING :
WHETHER THE PROCEDURES , DOCUMENTS DESCRIBING THE Q
SYSTEM KNOWN , AVAILABLE , UNDERSTOOD & USED BY
AUDITEE ?
WHETHER DOCUMENTS & OTHER INFO ARE ADEQUATE TO
ACHIEVE Q OBJECTIVES ?

AUDITOR BEHAVIOUR
DOS
-BE PATIENT
-TRY TO KEEP TO YOUR PLAN
-USE YOUR CHECKLIST
-USE A NOTE BOOK AND TAKE GOOD NOTES
-USE OTHER TEAM MEMBERS
-EXPLAIN WHY YOU ARE THERE
DONTS
EBE AGGRESSIVE
ECONDESCENDING
ECLEVER IN HINDSIGHT
EPASS INSTANT OPINIONS
EBE LATE
EBE SIDE TRACKED BY AUDITEE
AUDIT SKILLS
INTERVIEWING
SAMPLING
OBSERVATION
NOTE TAKING

INTERVIEWING QUESTIONS
WHO - RESPONSIBILITIES
WHAT - INFORMATION
WHY - UNDERSTANDING
WHERE - LOCATIONS
WHEN - SEQUENCE
HOW - PROCESS
SHOW ME - COLLECT EVIDENCE
WHAT IF - TESTING THE SYSTEM
OBSERVE CONSISTENTLY - DEVELOP AWARENESS
HOUSE KEEPING
BODY LANGUAGE
FOLLOW VISUAL SIGNS LIKE SMILING , EYE CONTACT Etc.
BE A PEOPLE WATCHER
COMMUNICATION CONSIST
WORDS WE USE 7 %
WORDS WE SAY 38 %
BODY LANGUAGE 55 %


COMMUNICATION SKILLS
SAMPLING
GENERAL SAMPLING METHODS
Auditors may sample
Departments
Procedures and work instructions
Processes / Equipment
People
Products & Records
SAMPLING :
_RANDOM
_STATISTICAL
_SET PERCENTAGE
_TARGETED
_VARIABLE
_Time bound
LET COMMONSENSE PREVAIL
NOTE TAKING
Why make notes ?
What to make notes of ?
When to make notes ?
RECORD :
ALL THE OBJECTIVE EVIDENCES
BE SELECTIVE IN RECORDING BOTH CONFORMANCES & NON
CONFORMANCES
NOTE RELEVANT TO AUDIT SCOPE
DO IT OPENLY
DO NOT TRY TO REACH ON AGGREMENT ON INTERPRETATION
OF FACTS
SIX STAGES OF AUDIT PROCESS
SET THE SCENE
CONFIRM BASICS
ESTABLISH THE PROCESS
CHECK BACK
CLOSEOUT
CHECK FOR
OBJECTIVE EVIDENCE
CYCLICAL
STAGES
COLLECT EVIDENCE BY
QUESTIONING
REVIEWING RECORDS
OBSERVING ACTIVITIESF
PUT THE AUDITEE AT EASE
HAVE SOME INFORMAL DISCUSSION
INFORM THE AUDITEE OF THE AUDIT PROCESS

DETERMINE :
ORGANISATION STRUCTURE
RESPONSIBILITIES
STATUS OF DOCUMENTATION
TRAINING & COMPETANCY OF PERSONEL
UNDERSTAND THE PROCESS BY:
IDENTIFYING PROCESS STEPS
By ASKING WHAT HAPPENS AT THE END
& VITAL WHEN DOCUMENTATION IS LIMITED

TO ESTABLISH HOW THE SYSTEM IS MANAGED ?
CONFIRM CONFORMANCE
ESTABLISH TRAILS
FOLLOW UP PREVIOUS TRAILS
EXPRESS APPRECIATION FOR COOPERATION
SUMMARISE FINDINGS
AGREE ON COMPLETION DATE
CONCLUDE
_LIST YOUR FINDINGS TO AUDITEE
_AGREE ON THE NON-CONFORMITY & TIME FOR
COMPLETION.


AUDIT REPORTING
NON CONFORMANCE
A NON FULFILMENT OF A REQUIREMENT
QUALITY MANAGEMENT SYSTEM
ISO 9001 : 2000
CUSTOMER SPECIFICATION
LEGISLATION
REGULATORY BODY
GRADING OF NON CONFORMANCE
MAJOR
No evidence of adherence to a procedure or system
element
Or
Major risk to final product or service quality.
MINOR
Limited evidence of compliance with a procedure
Or
No appreciable risk to final product or service quality
OBSERVATION
A STATEMENT OF FACT BASED ON EVIDENCE
INSTANCES OF BEST PRACTICES
INSIGNIFICANT PROBLEM
SUSPISIOUS THAT NEED TRAILING
FEEDBACK TO THE AUDIT CONTROLLER
NCR - REPORT REQUIREMENTS
NCR MUST CONTAIN
CLAUSE OF THE AUDIT STANDARD
PROCEDURE REFERENCE
LOCATION
ACTIVITY
NATURE OF PROBLEM
EVIDENCE
SCALE OF PROBLEM ( MAJOR OR MINOR )
R GEN 14 F 03
Page 1 of 2








NON-CONFORMANCE REPORT (NCR)
Section Audited: MR FUNCTIONS
Auditor(s): Signature:
1 J Joseph Amalraj 1 -sd-
2 2
3 3
Audited Document:
Project Quality Plan No. VEC/PQP/025 Rev. 0 dtd. 07.01.02
Cl. 4.17 - Internal Audit
Non-conformance Statement:
INTERNAL AUDITS COMPLIANCE TO PLAN NOT EVIDENCED.
Objective Evidence:
SITE AUDITS FOR THE MONTHS MAY, JUNE, JULY HAVE
NO NCR'S / OBERVATIONS RECORD.
Auditee: Mr. N BALA MURUGAN
NCR Caegories(tick one) EN ISO 9002 Reference:
see reverse page Clause(s)
1 2 3 4 5 6
Signature: -sd- Date: 07.08.02
Remedial Action by auditee:
RECORDS OF SITE INTERNAL AUDITS WILL BE
MAINTAINED FOR THE AUDITS CONDUCTED
Signature: -sd- completion target date: date:
13.08.02
Preventive action Proposed by auditee:
AUDIT PLAN Vs COMPLIANCE WILL BE REVIEWED DURING MANAGEMENT
REVIEW MEETING TO ENSURE COMPLIANCE
Auditee: Date:
Date:
LARSEN & TOUBRO LIMITED
Audit No: 05
NCR No: 30
Page 1of 2
RGEN 14 F 03-2
4.17
Closing of NCR:
Auditor:
Signature:
Category Description
A A non-conformance situation that:
Can be easily corrected by auditee, such as incorrect
completion of forms, or lack
of attention to detail in a number of occasions.
Generally does not require training of staff
Can be corrected without cost to the Company
A nonconformance situation that;
Can be solved by the auditee, but may require
approval from Manager
May necessitate training of staff
Can be corrected without cost to the Company
A non-conformance situation that:
Can only be resolved through the issue of revised
procedure text or content (not format) and associated
documents
Requires overview by QM Department (RO) to
maintain system integrity
May necessitate training of staff
Can be solved with no or little cost to the Company
A non-conformance situation that:
Can only be resolved through the issue of revised
and/or delegation of procedure text
or content (not format) and associated documents
Can be solved by Site Manager but resolution may
have wider business impact.
Requires overview by QM Department (RO) to
maintain system integrity.
Requires training of staff.
Corrective action involves cost to the Company.
A non-conformance situation that:
Can only be resolved through the creation of an
identified procedure(s) and/or
associated documents
That can only be solved by Site Manager, but
resolution may have wider business impact
Requires overview by RPM / RM to maintain system
integrity
Requires the purchase of additional material or
resources for its resolution
Requires training of staff
Corrective action may cause significant costs to the
Company
A very serious non-conformance situation that:
Could affect the business and/or integrity of the
system
To be referred to RPM/ RM for further action.
5
6
1
2
3
4
CORRECTIVE ACTION
AUDITOR AUDITEE
NC IDENTIFIED
WRITE NC
CONFIRM
NC
AGREE ON COMPLETION DATE
INVESTIGATE CAUSE
RECORD RESULTS
IDENTIFY CA
IMPLEMENT
VERIFY
VERIFY CA TAKEN &
EFFECTIVENESS
CLOSE NCR
FOLLOW UP AUDITS
IT IS NECESSARY TO ENSURE THAT :
PROBLEM IS RECTIFIED & ELIMINATED COMPLETLY
EFFECTIVENESS IS DEMONSTRATED
CHECK BY
_ASKING QUESTIONS
_REVIEWING RECORDS
_OBSERVING ACTIVITIES

QUIZ
EXERCISE LIVE AUDITS
_PERFORM AUDITING
_PREPARE YOUR SELF FOR THE AUDITING
_CONDUCT THE AUDIT AS PER THE GUIDELINES OF THE
TRAINER
_OTHERS OBSERVE THE AUDITING
_DISCUSS WITH TRAINEE ON YOUR FINDINGS
NON CONFORMITY WRITING &
AUDIT REPORTING
_PREPARE NON CONFORMANCE REPORTS &
SUMMARY OF AUDIT ON YOUR AUDIT
_PRESENT YOUR FINDINGS ( EACH 10 MIN )
_DISCUSS WITH AUDIENCE

COURSE REVIEW