CASE STYDY

IDENTIFICATION OF NONCONFORMITIES

NOTE
a. Please identify nonconformity if any against each case
b. In case of nonconformity, please identify most appropriate clause of ISO
9001:2015
c. If the case is not a nonconformity, please explain the same

1. A person was working in a Bank using a computer to prepare demand drafts. The computer was
placed in a place where direct sunlight used to fall on the screen of the monitor causing
inconvenience in visibility and which resulted many mistakes in drafts

2. During last 3 audits, the purchase dept was having 15-20 Nos of Non-conformities. However
other depts. were quite less number of NCs. Internal audits were carried out as per defined
procedure and plan.

3. Whilst auditing a non-banking financial Institution, the auditor noted that the process flow chart
PMX 03 shows that Term deposit Certificates received from client after maturity were to be
verified for payment and then authorized by the Managing Director or Financial Director and
recorded in the clients book. On detecting why the Term deposit Certificate No. TDR/02/891
was not recorded in the book, the auditor was told that the Managing Director looked after this
client and therefore did not need to be recorded or authorized.

4. A company had installed the latest model of a pressure calibrator Serial no PC 3145 for
measurement of their pressure gauges. On requesting evidence of calibrators current calibration
status the auditor was shown a certificate, issued by the original manufacturer, bearing the
statement calibration traceable to international standards and giving full details of the
equipments performance data. There was no equipment serial number or date of issue on the
certificate.

5. When auditing the Quality Department, the auditor asked about the collection and analysis of data
relating to the quality management system. The quality Manager responds that data on customer
feed backs/complaints, product/process discrepancies, reject and return product is all collected
and analysed. When asked about data relating to suppliers, the auditor was told the records of
supplier selection and annual evaluation were maintained. Other than the entry on the
management review minutes that stated that all current suppliers were OK, there was no other data
collected on annual evaluation.

6. When the auditor asked about quality management system planning. The company representative
replied that since their products are fairly standardized and produced over the years there was no
need of QMS planning other than production planning
7. A customer used to purchase a product of Model X over the years. But suddenly he changed the
model to Y and sent a demand to companys sales department for buying the same. However the
dispatch section as usual sent him the earlier Model X.

8. During the audit of Production Area of a TV manufacturing company, the auditor noted that
contrary to companys Work Instruction WI/PROD/o5, which clearly stated that all production
operators were to put on anti-static wrist straps, four of nine operators were not wearing the anti-
static wrist straps

9. While visiting the Sales department the auditor noted that staff appeared to be accepting orders
from customers over the phone and entering the details directly into the companys computerized
order processing database. On enquiry he was told that as the staff has been fully trained and the
database held details of all regular customers standard requirements there was no need for an
independent review of individual orders

10. On enquiry about improvement, the auditor was told that the company was producing best
quality of product and has been considered for bench marking, hence at present there was no need
for any continual improvement plan

11. During the audit of the Design and Development department the auditor asked to see the records
of the most recently completed project DL 1. On assessment they appeared to consist of a
random collection of individual workbooks only. On enquiring where the overall project plans
were he was informed that it was company policy not to impose such constraints on design staff as
they could inhibit creativity. New designs were allowed to evolve by means of informal
discussions between the Marketing, Design and Manufacturing Departments as required.

12. During interviewing the Managing Director about the company objective to reduce customer
complaints and therefore increase customer satisfaction, the auditor asked he planned to achieve
this objective. The Managing Director replied that complaints are recorded, analysed and
corrective action is taken in order to not only satisfy the customer but to stop the problem re
occurring. By continuing to follow this strict process, customer complaints would reduce and
therefore the objective will be achieved.