Participant Work Book

ISO 9001:2015 Auditor / Lead Auditor Course

Course Registration Number: _____________C2037_______Dates of Course: 14/10/2024 to_22/10/2024__________

Venue of the Course: ___________Online______________City: ___Doha_____Country: ______Qatar_____

Participant Name (IN CAPITALS): _NADIN ELMENSHAWY__Signature: Nadin.M.ELMenshawy___

INSTRUCTIONS FOR PARTICIPANTS

1) This Workbook shall be given to you on the first day and shall be taken back at the end of each day
before you depart & finally compiled on day 5 before the test begins.

2) This workbook dully filled ones shall, be used for your continuous Audit on every day. Please ensure
that you submit this workbook to the tutor(s), for daily continuous Audit at the end of each day.

3) On the last day, please return the course feedback forms (dully filled in by you – for our reference
and improvements) and the IRCA written answer papers for the course.

4) Tips for SUCCESSFUL COMPLETION OF THE COURSE:

 Be attentive and be present on all days all modules must be attended.

 The course evaluation shall consider two aspects – your daily performance shall be monitored by
the tutors and continuous Audit and your score in written examination shall be considered for
your result of your success.
 Please clarify all doubts from the tutors during breaks as well.
 Your active participation is desired – throughout the course.
 While working in groups, please do not be dominating to demonstrate leadership, rather listen
to every member and your team performance shall be judged on your consensus & joint
decisions – individual differences be avoided during demonstration of the team performance
(will lead to score deductions).
 Before each “Group Exercise”, the group should select the Group Leader for that exercise and
note it in this workbook. Every member should lead team in rotation for different group
exercises.

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Following is the List of Exercises:

# Exercise Marks # Exercise Marks

Obtained Obtained
Introduction of Participants Documentation Audit -
1 10
(Interviewing) Improvements
Audit Report Preparation- Stage 1
2 Process Approach 11
Document Review

3 Terms & Definitions pertaining to Quality 12 Audit Plan Preparation

Documentation Audit – Context of

4 13 Audit Preparation- Audit Checklist
Organization
5 Documentation Audit – Leadership 14 Recording Non-conformities
Documentation Audit – Planning &
6 15 Role play (Interview Process)
Review of Risk and opportunities
Keywords approach to understand
7 Documentation Audit – Support 16
ISO 9001 requirements
Audit Report Preparation- Stage 2
8 Documentation Audit – Operation 17
On-site At
Documentation Audit – Performance
9 18 Audit Follow up – NC Closures
Evaluation

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Exercise 1 Introduction of Participant Exercise – 15 Minutes

YOUR PARTNER’S NAME

Nadin ELMenshawy

Qualifications
Civil Engineer

Working Organization, Designation &

Mace, Micro-tunnleing Civil Engineer
Role

Knowledge of ISO 9001:2015:

And Rank 1(Minimum) to 2
5(Maximum)

Any I/II/III Party Audit Experience:

2
Rank 1(Minimum) to 5(Maximum)

Objective of attending this course: To attain the knowledge to be certified auditor

Expectations from the course: To gain insight knowledge of principle and managing of auditing

Any additional Information

I have worked as site engineer for residential projects and then switched
(something interesting of yourself):
to micro-tunneling engineer

Note: No row should be left blank because it carries marks.

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Exercise 2 Process Approach

Group Exercise – 45 Minutes

(a) Give the following information in the spaces provided for this bottling line (examples):
1. The inputs
2. Outputs RESOUCES & METHODS
3. Monitoring & Measuring opportunities
4. Efficiency & Effectiveness

BOTTLING OPERATION LINE

INPUTS OUTPUTS

MONITORING & MEASUREMENTS

INPUTS Resources Methods Process parameters OUTPUTS Criteria for Effectiveness & Efficiency
(Resources) (Monitoring &
Measurements)
Purchasing Purchase person Purchase Type of material and Empty Availability of bottle on time
information requisitions bottle size Bottle Correct size, material type

Empty bottle Cleaning UV cleaning and Visual inspection Cleaned No. of bottles accepted
machinery, drying bottle
Cleaned bottle water, detergent Visual inspection and Filled juice
Juice Filling of Juice weighing bottle Lead time of bottle filling and no. of bottles
Machinery Labelled accepted
Filled juice Visual inspection juice
bottle Placing the label bottle No. of bottles labelled and no. of defective
Labels and on the bottle labelled bottles
machinery

Caps Capping Label and Visual inspection Capped

machinery machinery bottles

Tutor Marking: 1 mark for each Column min. 2 correct answers. 5 marks
max. for part a.

(b) System approach to Management –

Give the list of outputs of each department in general

Marketing Design Purchase Production

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Tutor Marking: 1 mark for each Column min. 2 correct answers. 5 marks
max. for part b.

Exercise 3 Terms & Definitions pertaining to Quality Exercise – 30 Minutes

# Mapping Quality # Quality Term
Description
Terms
1 Demonstrated ability to apply knowledge &
17 1 QUALITY
skills
2 A set of interrelated and interacting QUALITY MANAGEMENT
3 2
activities SYSTEM
3 An action to eliminate the cause of
7 3 PROCESS
detected non-conformity
4 Result of a process 19 4 QUALITY IMPROVEMENT
5 Degree to which inherent characteristics
1 5 REQUIREMENTS
fulfills requirements
6 Need or expectation that is stated or
5 6 QUALITY PLAN
implied
Customer’s perception to which the
7 customer’s requirements have been 10 7 CORRECTIVE ACTION
fulfilled
Part of quality management focused on
8 providing confidence that quality 16 8 CAPABILITY
requirements have been fulfilled
Part of quality management focused on
9 increasing the ability to fulfill 4 9 GRADE
improvements
Category or rank given to diff. quality
10 requirements of product, processes or 9 10 CUSTOMER SATISFACTION
systems having same functional use
Relation between the results achieved and
11 18 11 NON-CONFORMITY
resourced used
Management system to direct and control
12 2 12 MONITORING
an organization about Quality
Part of Quality Management focused on
13 20 13 PREVENTIVE ACTION
fulfillment of quality requirement
14 Fulfillment of a requirement 15 14 MEASUREMENT

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Ability of an organization, system, or

15 processes to realize a product that will 17 15 CONFORMITY
fulfill the requirement of the product
16 QUALITY ASSURANCE
Tutor Marking: 1 mark for each correct 17 COMPETENCY
answer. 10 marks for 10 or more correct 18 EFFICIENCY
answers. 19 PRODUCT
20 QUALITY CONTROL

Exercise 4 Documentation – Stage 1 Audit Group Exercise – 45 Minutes

Read the QMS Apex Documented Information of Good Glass Company Context of the Organisation [please refer
Annex. 9001] and identify clause 4

A) Complete the following:

1. State 3 Internal issues and 3 externals issued

for GGC

2. State 3 Interested parties and their needs &

expectations from GGC
3. State at least 3 considerations while
determining the scope of QMS in any
organization

Exclusion: Clause 8.3

4. Evaluate appropriateness of the scope stated
in Apex Documented Information of Good
Glass company.

5. State 4 evidence to be verified for

conformity of QMS in an organization.

B) Choose the appropriate sub-clause out of clause 4 for Context of Organization:

# Term Clause

1. Internal Resources 4.1

Scope to be maintained as documented information 4.3

2.

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Road condition from seaport to Good Glass company 4.1

3.
Supplier’s requirements for details of product to be supplied 4.2
4.
Contractual relationship for fulfilment of their needs
5.
Competence of people in the organization
6.
Legal Issues as needs od interested parties
7.

1 mark for each answer. Max 5 marks for 5 or more correct answers

Exercise 5 Documentation – Stage 1 audit Group Exercise – 45 Minutes

Read the QMS Apex Documented Information of Good Glass Company Leadership and identify sub-Clause out of
Clause 5

A) Choose the appropriate clause for each statement:

# Statement Sub-Clause

1. QMS Policy shall be maintained as documented information. 5.2.2 a

2. Ensuring processes deliver their intended output 5.3 b
3. Promoting continual Improvement of QMS 5.1
4. Integrity of QMS is maintained when changes are planned in QMS 5.3
5. Roles & Responsibilities are assigned & communicated.
6. Commitment to satisfy applicable requirements 5.2.1 c

1 mark for each answer. Max 5 marks for 5 or more correct answers

B) State examples from Gold Glass company:

1. Review the QMS Policy of Good Glass company and find out areas of concern, if any:

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2. Select and state 4 Roles & Responsibilities for QMS to be communicated within the organization.

3 marks for each answer. Max 5 marks for both correct answers

Exercise 6 Documentation – Stage 1 audit Group Exercise – 45 Minutes

Read the QMS Apex Documented Information of Good Glass Company Planning and identify sub clauses
out of Clause 6

A) State examples from Gold Glass company:

1. List at least 3 reasons for addressing

risks and opportunities.

2. Find out & state 3 options to address

risks.

3. Establish at least 3 QMS objectives for

the GGC.

3 marks for each correct answer. Max 5 marks for 2 or more correct answers
3 marks for each answer. Max 5 marks for both correct answers

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B) Choose the appropriate Sub-clause out of Clause 6 for each statement:

# Statement Clause

1. Determination of Risk & Opportunities that need to be addressed to achieve continual

improvement.
2. The performance of the organization needs to be considered for addressing Risk &
Opportunities.
3. Evaluation of effectiveness of actions to address risks and opportunities
4. How to integrate & implement the actions into business processes.
5. Actions to address risks and opportunities need to be proportionate to the impact on
product quality

1 mark for each answer. Max 5 marks for 5 or more correct answers
Tutor Marking: 2.5 marks for each non-conformity as in answers.

Exercise 7 Documentation – Stage 1 audit Group Exercise – 45 Minutes

Read the QMS Apex Documented Information of Good Glass Company for Clause 7-Support and identify

A) State examples from Gold Glass company:

1. Determine & state 3 internal &

3 external communications
examples 3 from GGC.

2. Give three examples of

environment for operation of
processes

3. State at least 5 controls to be

exercised for documented
information control.

3 marks for each correct answer. Max 5 marks for 2 or more correct answers
3 marks for each answer. Max 5 marks for both correct answers
B) Choose appropriate Sub-clause out of Clause 7 for each statement:

# Statement Clause

1. Review and approval for suitability & adequacy of created documented

information.

2. Availability of training records including its effectiveness.

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3. Activities for control of documented Information.

4. measuring equipment shall be calibrated or verified, or both, at specified

intervals, and prior to use.
5. Documented Information shall be controlled to ensure its availability.

6. Consider the capabilities of, and constraints on, existing internal resources.

7. Maintain the infrastructure necessary for the QMS.

1 mark for each answer. Max 5 marks for 5 or more correct answers
Tutor Marking: 2.5 marks for each non-conformity as in answers. 10 max.
Exercise 8 Documentation – Stage 1 Audit Group Exercise – 45 Minutes

Read the QMS Apex Documented Information of Good Glass Company for Clause 8- Operation and
identify

A) Choose appropriate Sub-clause out of Clause 8 for each statement:

# Term Clause

1. In determining the stages and controls for design and development consider
required verification and validation activities

2. Customer’s requirements shall be confirmed by the organization before

acceptance, when the customer does not provide a documented statement of
their requirements.

3. Organization shall control the unique identification of the outputs when

traceability is a requirement
4. Establish criteria for the processes and acceptance of products and services

5. Review of the requirements specified by the customers

6 Changes to requirements for products and services

7 when the property of a customer is lost, damaged, or otherwise found to be
unsuitable for use, the organization shall report this to the customer

8 Determine and apply criteria for the evaluation, selection, monitoring of

performance, and re-evaluation of external providers
9 Contamination control during storage of the product

10 Maintain documented information for release of the products

1 mark for each answer. Max 5 marks for 5 or more correct answers

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B) State examples from Gold Glass company:

1. Determine & briefly describe at

least 3 potential scenarios that
may result in customer dis-
satisfaction in the GGC.
2. List at least 4 areas/processes in GGC & QMS operational controls required in each area.

Area/Process QMS operational Controls

3 marks for each correct answer. Max 5 marks for both correct answers

Exercise 9 Documentation – Stage 1 Audit Group Exercise – 40 Minutes

Read the QMS Apex Documented Information of Good Glass Company Performance Evaluation and
identify clause 9

A) Choose appropriate Sub-clause out of Clause 9 for each statement:

1. Statement Clause
a) results of analysis shall be used to evaluate conformity of products and services
b) organization shall conduct internal audits at planned intervals
c) Internal Audit program shall be established considering importance of processes &
results of previous Audit.
d) Ensure impartiality & objectivity of auditing process.
e) Management review is conducted to ensure suitability & adequacy of QMS.
f) management review shall be planned and carried out taking into consideration the
changes in external and internal issues that are relevant to the QMS

1 mark for each answer. Max 5 marks for 5 or more correct answers
Tutor Marking: 2.5 marks for each non-conformity as in answers. 10 max.
B) State examples from Gold Glass company:
1. Determine & state at least 5 items in QMS that need to be monitored and measured in the Good Glass
Company.

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2 Prepare a checklist for auditing internal audit process of GGC:

3 State at least 4 retained documents information to audit performance evaluation of QMS.

5 marks for each correct answer. Max 5 marks for 2 or more correct answers

Exercise 10 Documentation – Stage 1 Audit Group Exercise – 45 Minutes

Read the Quality Apex Documented Information of Gold Glass Company Improvements and identify
clause 10

A) Choose appropriate Sub-clause out of Clause 10 for each statement:

1. Statement Clause

a) React to the non-conformity & take actions to correct it.

b) Determine if similar non-conformity exist or could occur.

c) Causes of non-conformity are to be determined by auditee.

d) Retain documented information as evidence of results of corrective action.

1.5 marks for each answer. Max 5 marks for 4 or more correct answers

B) State examples from Gold Glass company:

2. Give examples of
opportunities for
improvements in QMS of GGC
with reference to
performance evaluation.
(Clause 9.1/9.2/9.3)

3. Define correction and

corrective actions, with
example for GGC processes

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3 marks for each correct answer. Max 5 marks for both correct answers

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Exercise 11 Audit Report- Stage 1 Document Review Time – 45 Minutes

AUDIT REPORT
Name of Company (Organization):

Accreditation: (NABCB/JAZ-ANZ/IAS/EIAC)
Address of the company:

Contact Person: Position:

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SCOPE (4.3):

The organization shall determine the

boundaries and applicability of the
quality management system to
establish its scope. When determining
this scope, the organization shall
consider:
a) the external and internal issues
referred to in 4.1
b) the requirements of relevant
interested parties referred to in 4.2
c) the products and services of the
organization.
The organization shall apply all the
requirements of this International
Standard if they are applicable within
the determined scope of its quality
management system.
The scope of the organization’s quality
management system shall be available
and be maintained as documented
information.
The scope shall state the types of
products and services covered and
provide justification for any
requirement of this International
Standard that the organization
determines is not applicable to the
scope of its quality management
system.
Conformity to this International
Standard may only be claimed if the
requirements determined as not being
applicable do not affect the
organization’s ability or responsibility
to ensure the conformity of its
products and services and the
enhancement of customer satisfaction.

QUALITY MANAGEMENT SYSTEM (4.4)

4.4.1 The organization shall establish,

implement, maintain, and continually
improve a quality management system,
including the processes needed and
their interactions, in accordance with
the requirements of this International
Standard. The organization shall
determine the processes needed for
the quality management
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their application throughout the
organization, and shall:
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AUDIT CONCLUSION

RECOMMENDATION FOR CONDUCT OF REGISTRATION AUDIT

We are pleased to recommend for the conduct of Registration Audit as per the Audit Plan (B004) as per the following
sheet attached:

It is required that action to be taken by review and revision of documents for the areas of concern
mention above.

Details of Additional Locations or Sites and Activities for certification (If applicable)
Location 1

Activity

*Add Rows for more

Following phrase is applicable in case of multi-site organization only

Stage 2 Audit Plan for each site will be prepared after considering the processes/activities to be audited on that site
(mentioned in the above table). Assessor will confirm that the Stage 2 audit team has the required competence.
Recommendation for Supplementary PR Audit
(Write NA if this sheet if not applicable)
1.The following have been considered as major concerns during this Audit visit:

2. A recommendation for next stage cannot be made until the nonconformities have been cleared, following the
corrective action plan being submitted and a Supplementary PRA being satisfactorily completed.

Scope Assessed:

3. Immediate action is required to investigate the underlying cause of these non-conformities and implement
effective, corrective, and preventive action. A plan to determine actions, time scales and responsibilities must be
prepared and submitted to Chief Executive for review, no later than ----/-----/----------.

4. Team recommends a Supplementary PR Audit for --- Audit Day(s). The same could be conducted by
----/----/-------, upon satisfactory corrective action plan submitted by client to BSCIC’s Chief Executive.

5. Client to inform their readiness to BSCIC’s Chief Executive for the further Audit as in 4 above so that the same

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could be satisfactorily planned & conducted.

DECLARATION OF NON-CONFLICT OF INTEREST

I confirm that I / My Team has no consultancy or other commercial association with
M/S__________________________________________________ during the last two years other than
activities conducted under the direction of BSCIC

BSCIC Progress Review Audit Report Acceptance

The Progress Review Audit of M/S ----------------------------------------- was completed.

BSCIC through its Team Leader / Lead Auditor confirms the Confidentiality of the information received,
Observed and Reported by the Team BSCIC.

Team Leader / Lead Auditor by signing this sheet confirm the Non-Conflict of Interests with the
Organization.

This report and its full contents are completely understood and accepted.

Please sign below confirming acceptance of the Audit report’s contents

(Audit Report Number):

Signed for & on behalf of BSCIC Signed for on behalf of the client
Name: Name:
Date: Date:

Group Exercise – 60 Minutes

Exercise 12 Audit Plan Preparation 15 Min. for Presentation

Considering the Quality Manual of Good Glass Company, prepare an audit plan, as per following
guidelines:

1. Total audit days are determined based on the number of employees and complexity of the organization and
guidelines given in IAF MD5 2019 Annex A to C. For this exercise we will consider Total audit days = Four
(minimum) [ One audit day = 8 hrs., starting at 9am).
2. Use all the personnel in your group as auditors (you can use auditor – 1, 2, etc.) as references, rather than actual
names.

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3. Avoid if possible two people going for same process area audit.
4. Cover one Installation site also in the audit plan as they do execution as well.
5. The audit plan shall contain basic information as under:
a) The start and time of each process area and the auditor allotted for that specific process area.
b) Allot 5 minutes as auditor’s brush up time in middle for effective smooth continuity and effective audit, for
information sharing and judgment on audit proceedings.
c) You can do this in two ways…one plan accommodating all process areas and auditors or separate plan for
each auditor, with distributing the process areas.

For tutor: The tutor to Scan the flip charts and send to the BSCIC. In case Scanning is not possible send
photographs.

Audit Plan Date:

Organization:
Scope:

The objective of the Audit: To assess the conformity of the quality management system (QMS) w.r.t ISO
9001:2015.

Criteria ISO 9001:2015 System Quality Manual Issue 01, Dt. Feb. 2018,
Documentation: Procedures Manual Issue 01, Dt. Feb. 2018
Team Leader: Audit Start Date Opening
Meeting
Team Member: Audit End Date Closing
Meeting
Audit Schedule
Date Client Function Auditor Time
(Hrs.)

Tutor Marking: 10 max. mark for right presentation of audit plan. Deduct 1 mark for any
important area missing or short duration less than 8 hours in total.
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Exercise 13 Preparation of Audit Checklist Group Exercise – 60 Minutes

Considering the Quality Manual of Good Glass Company, and using the organization structure, prepare an Audit Checklist for a
process area (department), allotted to you by the trainer.

Note: As you are aware, the word shall mean “MANDATORY” and all the requirements after shall are action points to be
verified in an audit…take this as a tip in preparing Audit Checklist

Clause # CHECK POINT (For Verification) Conclusion Evidence

(Compliance for NC
/ NC)
Context of the Organization
4.1 Understanding the
organization and its
context
4.2 Understanding the
needs and expectations of
interested parties

4.3 Scope
4.4 Quality Management System and its processes

Leadership Areas

5.1.1 General

5.1.2 Customer Focus

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5.2 Policy

5.3 Organizational roles,

responsibilities and
authorities

Planning / Risks and

Opportunities

6.1 Actions to address

risks and opportunities

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6.2 Quality objectives and

planning to achieve them

6.3 Planning of changes

Support Areas

7.1.1 General

7.1.2 People

7.1.3 Infrastructure

7.1.4 Environment for the

operation of processes

7.1.5.1 General
7.1.5.2 Measurement
traceability

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7.1.6 Organizational
knowledge

7.2 Competence the

organization

7.3 Awareness

7.4 Communication

7.5.1 Documented
information

7.5.2 Creating and

updating

7.5.3 Control of
documented information
Operation Areas

8.1 Operational planning

and control

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8.2.1 Customer
communication

8.2.2 Determining the

requirements for products
and services

8.2.3 Review of the

requirements for products
and services
8.2.4 Changes to
requirements for products
and services

8.3.1 General

8.3.2 Design and

development planning

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8.3.3 Design and

development inputs

8.3.4 Design and

development controls

8.3.5 Design and

development outputs

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8.3.6 Design and

development changes

8.4.1 General

8.4.2 Type and extent of

control

8.4.3 Information for

external providers

8.5.1 Control of
production and service
provision

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8.5.2 Identification and

traceability

8.5.3 Property belonging

to customers or external
providers

8.5.4 Preservation

8.5.5 Post-delivery
activities

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8.5.6 Control of changes

8.6 Release of products

and services

8.7 Control of
nonconforming outputs

Performance
evaluation Areas

9.1.1 General

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9.1.2 Customer
satisfaction

9.1.3 Analysis and

evaluation

9.2 Internal audit

9.3.1 General

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9.3.2 Management
review inputs

9.3.3 Management
review outputs

Improvement Areas

10.1 General

10.2 Nonconformity and

corrective action

10.3 Continual
improvement

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Tutor Marking: 10 max. mark for right presentation of audit checklist. Award one mark each for each good
question including clause no. Deduct 0.5 mark for not mentioning clause no.

Exercise 14 Recording Non-conformities Group Exercise – 60 Minutes

15 Minutes for presentation
15 Minutes for Tutor Review
Please read the following cases and judge as under – please note you are an auditor assessing.
this situation, that means you are standing there in the case and performing interview while auditing.
1. If you think there is a sufficient objective evidence of nonconformity, then complete the non-conformity
notes provided in section “A” and categorize the same as “Major” or “Minor”.
2. If you think there is not sufficient objective evidence of nonconformity, then state the reasons in the section
“B”. In the reasoning, also state what must be further investigated before concluding your decision wither it is
conforming or non-conforming.

Incident 1
In ABC Catering company, once customer complaint was received as under:
“Our contract says that the quality of rice to be used for rice-based dishes should be an “Indian Basmati rice only” and
you would be giving proof of calories should comply to specs. sheet “ABC_SPEC 212 issue 2 dt. 12 Jan 2010” and you
would be giving us a III Party laboratory test report every quarter of the year…. we have not received any evidence till
now. Last month we performed a system audit and were surprised to note that the audit team raised the same issue
in the form of Non-conformance report (NC – 15 Dt. 21 Dec.2010) which is not yet closed. Please note the following:
1. Since our contract is for five years and one year has passed. We need to ensure that for next balance four
years you would be providing us the evidence of compliance of the same, for past three consignments and
shall ensure that, you will continue to adhere to the contractual requirements.
2. In the eventuality to adhere to requirements of point 1. Above soon, as per the discretion of our
management, there may be a possibility that we may not continue business with you as per the contract
times.
We are taking a stand on this, as need to submit this evidence to all our customer’s and all of them are concerned on
this issue. we cannot afford to lose our clients, as they are prestigious international airlines. This is very important for
our business standards and reputation. Hope you realize the criticality of the situation and comply to the
requirements, ASAP.”
On this, ABC Company responded in the following manner:
“We have been faxing all the evidence to the number as defined in the contract. yes, we did not confirm whether you
received or not. We have all the evidence of the faxes sent to you in our files and were shown to your auditors when
they were here to perform the II party audits. Please let us know if the fax is working or not or it has changed or any
other issue. Anyhow now onwards we shall be emailing the evidencing the same to your Quality department.
And we shall be uploading all these evidence in our internal Intranet and giving you the password for access (only to
authorized personnel only - as identified by you), to avoid such issues occurring again.
The NCR – 15 clearly mentions that one report is missing. which we agreed and responded back to your closures (after
rectifying our recording system) for closure and requested you to formally close the NCR. which is pending from your
side for acceptance of the actions and close out.
We always assure you the best of services to come. We thank you for this opportunity for improvement which we feel
that without you pointing this, our communication system would not have improved.”

Incident 2

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While doing the audit of Sheet Metal components for various industry sectors, you found that one of the gauges (GO
– NOGO) for final inspections of circular product, was found to be broken from one of the sides. On asking the
inspector using the gauge, replied that it was supplied by the client & would be returned to the client with the last
consignment. On verification of the Quality Manual, you also detected that this company where you are presently
auditing, had sought exclusion for Customer Property.

Incident 3
A company manufacturing compasses for pleasure crafts. During the audit you observed that, to do the inspections of
centricity of pin (The arrow in the compass which points to north), the person lifts a liver to lift the pin up & visually
verifies the parallel level of the pin with the surface. You as an auditor observed that the person doing the job is
wearing thick glasses and hands shaking. On enquiry you came to know that the person is the senior most person & in
the company since last 20 years & very experienced in Compasses – the only inspector - his hands shake because of
illness. Through the complaints register you also establish that nearly 3% of the consignments on an average, comes
back from the market and are replaced by the company free of cost. It was further established by you that on re-
verification of some of the samples from the stock, ready to delivery, revealed that they also have problems of
centricity.
Note: A pleasure craft (speed boat) moves very fast in water compared to big ships which, even turns very slowly. The
precision and swiftness of the compass indications are the key quality norms for acceptability.

Incident 4
While review of Management Review Meeting minutes, recorded the issue as - The brand retail business started
operations in one country and due to local laws, they had to recruit local manpower, but their English was not good
enough to sell the products to prospective customers…mainly foreigners. This was identified during interview process
also. Human Resources developed competency matrix and details job descriptions and translated to local languages.
These local personnel had no problems in selling products to local community but failed to sell products to foreign
guests, due to problem in communication. As per the law there is a restriction in law that female employees will not
interact with males & vice versa. HR & Operational Management had this problem but were not able to balance the
law and business requirements, for nearly a year due to which the business targets were not able to meet business
objectives (sales & branding). This aspect was taken up for discussions in Management Review and it was recorded in
the minutes of meeting that local regulatory labor authorities would be contacted for solutions.

Incident 5
While auditing the Management Representative area (internal audit process), you noticed that one of the internal
audit NC reveals the fact of - the internal audits frequency was annually and 70% of the three internal audit results
revealed that 70% of the non-conformities were on Product Quality. You also noted that there were no changes in the
quality plan, inspection sampling plan & no trainings imparted in quality inspections.

Incident 6
The results of one of the student (with Slr. #: 098701) of a computer institute has appeared in the Final Evaluation for
ORACLE 8 (Five months diploma course). During the audit you as a member of audit team towards ISO 9001:2015, you
were to verify the records of this students. Following were the facts which were revealed from the records (soft &
hard copy) :
 The approved marks allotted on practical exercises test on computer were not traceable (nor hard copy not in
soft copy form).
 The answers for the test revealed that they were correct in the soft copy and the hard copy – the Srl.# is correct
but the name was different on the record.
 There was also a letter from the student dated four months back (after the test) mentioning that his marks were
not disclosed by the institute and his new prospective employer wanted to verify the certificate and marks
obtained – No corrective action records evidenced.

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 One of the objectives of the institute was “TO BUILD CARRIERS OF ATLEAST 75 % OF THE PASSED STUDENTS OF
EACH BATCH THROUGH THEIR PLACEMENT CELL.”

Questions in this section are designed to test student’s ability to analyse audit situations, evaluate audit evidence and apply knowledge of the
audit criteria correctly.
NON-CONFORMITY NOTE Incident: 1
Students are also required to demonstrate their ability to write a well- constructed nonconformity statement that clearly describes the
ISO 9001:2015 CLAUSE No: _____________
weakness or failure of the management system, the audit evidence and the requirement(s) of the standard.
Note to marker:
Company documents Area unit involved
MAJOR / MINOR
To raise a nonconformity report when there is not sufficient audit evidence should be penalized and markers should normally award zero
[Strike out as required]
mark.
Requirement:
To complete an audit investigation where there is sufficient evidence to report nonconformity can often be supported and be given marks,
normally up to a maximum of 7 marks from a possible 10 marks.
To be awarded marks a student must clearly state their reason for thinking there is not yet sufficient evidence to report the findings as a
Failure (Nonconformity):
nonconformity and describe the investigation they would follow to determine conformity or nonconformity; including audit trails and audit
evidence they would seek and for what purpose, quoting relevant ISO 9001 clause numbers.
Exceptionally, where there was some obvious ambiguity in the description of the audit situation or the student demonstrates logical argument,
knowledge of the subject and the answer shows an ability to make a reasoned judgement leading to a clear determination of conformity or
nonconformity marks up to the maximum available may be given.
Evidence (reference of Process/Personnel/Documents):
Typical solutions for nonconformities follow a standard method of presentation: ie failure in the system (3 marks for identifying the failure),
audit evidence (3 marks for identifying the audit evidence) and requirements (1 mark for identifying the ISO 9001 clause and requirement).
Alternative structure or presentation of the nonconformity by a student is acceptable provided these three components of the nonconformity
are clearly present andAuditor
the distribution of marks adhered to. Auditee Date

Comments:

NON-CONFORMITY NOTE Incident: 2

ISO 9001:2015 CLAUSE No:

Company documents Area unit involved MAJOR / MINOR

[Strike out as required]

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Requirement:

Failure (Nonconformity):

Evidence (reference of Process/Personnel/Documents):

Auditor Auditee Date

NON-CONFORMITY NOTE Incident: 3

ISO 9001:2015 CLAUSE No:

Company documents Area unit involved MAJOR / MINOR

[Strike out as required]

Requirement:

Failure (Nonconformity):

Evidence (reference of Process/Personnel/Documents):

Auditor Auditee Date

NON-CONFORMITY NOTE Incident: 4

ISO 9001:2015 CLAUSE No:

Company documents Area unit involved MAJOR / MINOR

[Strike out as required]

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Requirement:

Failure (Nonconformity):

Evidence (reference of Process/Personnel/Documents):

Auditor Auditee Date

NON-CONFORMITY NOTE Incident: 5

ISO 9001:2015 CLAUSE No:

Company documents Area unit involved MAJOR / MINOR

[Strike out as required]

Requirement:

Failure (Nonconformity):

Evidence (reference of Process/Personnel/Documents):

Auditor Auditee Date

NON-CONFORMITY NOTE Incident: 6

ISO 9001:2015 CLAUSE No:

Company documents Area unit involved MAJOR / MINOR

[Strike out as required]

Requirement:

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Failure (Nonconformity):

Evidence (reference of Process/Personnel/Documents):

Auditor Auditee Date

Role Play – Interview Process Group Exercise –

Exercise 15 60 Minutes for study of GGC & referring the previous
exercises outcome (exercises 5, 6, 7, 8 & 12)
60 Min. for Role Play
30 Minutes for presenting audit findings
15 Minutes for Tutor Review

Process Area (Department):

# CHECK POINT (For Verification) Conclusion Evidence for NC

Questions in this section are designed to test student’s ability to analyse audit situations,/ NC)
(Compliance evaluate audit evidence and(Page
apply #knowledge
of Manual)of
the audit criteria correctly.
1
2
Students are also required to demonstrate their ability to write a well- constructed nonconformity statement that clearly describes the
weakness
3 or failure of the management system, the audit evidence, and the requirement(s) of the standard.
Note
4 to marker:
To
5 raise a nonconformity report when there is not sufficient audit evidence should be penalized and markers should normally award zero
mark.
6
To
7 complete an audit investigation where there is sufficient evidence to report nonconformity can often be supported and be given
marks, normally up to a maximum of 7 marks from a possible 10 marks.
8
To
9 be awarded marks a student must clearly state their reason for thinking there is not yet sufficient evidence to report the findings as a
nonconformity
10 and describe the investigation they would follow to determine conformity or nonconformity; including audit trails and audit
evidence they would seek and for what purpose, quoting relevant ISO 9001 clause numbers.
Exceptionally, where there was some obvious ambiguity in the description of the audit situation or the student demonstrates logical
Write NCRs for any Four in the prescribed format on subsequent pages
argument, knowledge of the subject and the answer shows an ability to make a reasoned judgement leading to a clear determination of
conformity or nonconformity marks up to the maximum available may be given.

Typical solutions for nonconformities follow a standard method of presentation: ie failure in the system (3 marks for identifying the failure),
audit evidence (3 marks
Issue for identifying
03 Rev 03 the audit evidence) and requirements
Jan 2024 (1 mark for identifying the ISO
Page 35 9001
of 47clause and requirement).
Alternative structure or presentation of the nonconformity by a student is acceptable provided these three components of the
nonconformity are clearly present and the distribution of marks adhered to.
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ISO 9001:2015 Auditor / Lead Auditor Course

NON-CONFORMITY NOTE (Role Play) NC: 1

ISO 9001:2015 CLAUSE No: _____________

Company documents Company documents MAJOR / MINOR

[Strike out as required]

Requirement:

Failure (Nonconformity):

Evidence (reference of Process/Personnel/Documents):

Auditor Auditee Date

NON-CONFORMITY NOTE (Role Play) NC: 2

ISO 9001:2015 CLAUSE No: _____________

Company documents Area unit involved MAJOR / MINOR

[Strike out as required]

Requirement:

Failure (Nonconformity):

Evidence (reference of Process/Personnel/Documents):

Auditor Auditee Date

NON-CONFORMITY NOTE (Role Play) NC: 3

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ISO 9001:2015 CLAUSE No: _____________

Company documents Area unit involved MAJOR / MINOR

[Strike out as required]

Requirement:

Failure (Nonconformity):

Evidence (reference of Process/Personnel/Documents):

Auditor Auditee Date

NON-CONFORMITY NOTE (Role Play) NC: 4

ISO 9001:2015 CLAUSE No: _____________

Company documents Area unit involved MAJOR / MINOR

[Strike out as required]

Requirement:

Failure (Nonconformity):

Evidence (reference of Process/Personnel/Documents):

Auditor Auditee Date

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Exercise 16 Keywords Approach to understand ISO 9001 requirements Time: 75 Minutes

Find and State keywords in the clauses of ISO 9001:2015.

Clause No. Keywords

4.1
4.2
4.3
4.4
5.1
5.2
5.3
6.1
6.2
6.3
7.1.1
7.1.2
7.1.3
7.1.4
7.1.5
7.1.6
7.2
7.3
7.4
7.5
8.1
8.2
8.2.1
8.2.2
8.2.3
8.3.1
8.3.2
8.3.3
8.3.4
8.3.5
8.3.6
8.4.1
8.4.2
8.4.2
8.5.1
8.5.2
8.5.3
8.5.4
8.5.5

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8.5.6
8.6
8.7.1
8.7.2
9.1.1
9.2.1
9.2.2
9.3
10.1
10.2
10.3

1 Mark for each clause or part of a clause. Max 10 marks for all correct answers

AUDIT REPORT PREPARATION- Group Exercise – 60 Minutes for report preparation

Exercise 17
On- site Audit- stage2 30 Minutes for the report’s presentation
15 Minutes for tutor feedback
Based on the audit done and findings recorded, please prepare Audit Report as below:
(A flipchart can be used in addition to the workbook)

AUDIT REPORT (B003)

Name of Company (Organization):

Address: Al Marrakesh Street

10303 Dubai,
United Arab Emirates
Contact Person: Position: Director
Alternate Contact Person: Position:
Registration Scope:

Registration No.: No. of Employees: No. of Shifts:

Company’s Documentation Reference:

Management Standard:
Audit Type:
Audit Commencement Date: Audit Completion Date:
Audit Team:
Name: Status
Lead Auditor
Team Member
Audit days:

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Nonconformities raised during Audit

NCR Ref. No.
Minor/Major
Nonconformities raised during last visit
NCR Ref. No.
Closed/Open

Context of the organisation

Leadership

Planning

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Support

Operation

Performance Evaluation

Improvement

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AUDIT CONCLUSION (B007)

NONCONFORMITY REPORT Client Representative:

NCR Reference Details of nonconformity Management
Standard/
Document
Reference

*Add more rows if required

RECOMMENDATION FOR CERTIFICATION(B006)

Congratulations, we are pleased to recommend certification for the scope detailed in Audit Report, subject
to submission and approval of corrective action plan within 20 days for each of the two Minor NC’s detected
during this audit along with complete evidence.

Subsequently this Audit Report Pack along with your satisfactory Corrective Action Plan and
objective evidence (if applicable) shall be reviewed independently with in BSCIC. Once the recommendations are
found as sound, BSCIC will be pleased to issue a Certificate of Registration. This will come along with the BSCIC Logo
and Accreditation Mark. The conditions for use of BSCIC Logo
and Accreditation Mark have been stipulated and the same will be provided to you.

BSCIC believes in value added partnership with its clients, and we will be pleased to revisit your company for the
Surveillance Audit for a visit every
Year for Audit Days per visit.

Details of Additional Locations and Activities for certification (If applicable)

Location 1

Activity

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Recommendation for Supplementary /Re-assessment

1.The following have been considered as major concerns during this Audit visit:

2. This Audit is based on random samples therefore nonconformities may exist which have not been
identified.
For Registration Audits:
3. A recommendation for certification cannot be made until the nonconformities have been cleared,
following the corrective action plan being submitted and a limited/full reaudit being satisfactorily
completed.
Scope Assessed:
4. The non-conformities identified indicate a breakdown in the management system to effectively control
the activities for which it was intended.
Immediate action is required to investigate the underlying cause of these non-conformities and implement
effective, corrective, and preventive action. A plan to determine actions, time scales and responsibilities
must be prepared and submitted to Chief Executive for review, no later than ----/-----/----------.
5. Team recommends a Limited Supplementary Audit for --- audit day(s) or a full Re-assessment for -----
audit day(s). The same could be conducted by ----/----/-------, upon satisfactory corrective action plan
submitted by client to BSCIC’s Chief Executive.
6. Client to inform their readiness to BSCIC’s Chief Executive for the further Audit in 4 above so that the
same could be satisfactorily planned & conducted.

SURVEILLANCE AUDIT(SA) PROGRAMME

SA. Frequency 1 year
S.A. Conduct Number SA1 SA2 REA
Re Assess.
Audit day(s) 2 2 3.5

MM / YYYY

Functions/ Areas / Site

Management   
M.R. Functions   
Marketing Process/Function  
Purchasing Process/Function  
Production Process/Function  
Service Provision Process/Function
Plant Maintenance Process/Function  
Quality Assurance Process/ Function  
Calibration Process/ Function  
Storage / Warehousing  
HR / Training Process/ Function  
Management Review   
QMS Documents & Changes   

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Internal Audit   
Complaints Management   
Previous NCR & Corrective Actions   
Use of BSCIC Logo & Marks   
Re-Audit (Tick ) 
Legal (QMS specific)

Notice: 1. This plan may subject to change based on circumstances

2. Assessor to Pl.  in boxes indicating a full plan. This is required to be updated upon each Surveillance Audit. Please cutoff in ink
if Not Applicable.

DECLARATION OF NON-CONFLICT OF INTEREST

I confirm that I have no consultancy or other commercial association with M/S Good Glass Company during
the last two years other than activities conducted under the direction of BSCIC.

BSCIC RA e-Report – Report Acceptance

The onsite Registration Audit of M/S Good Glass Company was completed.

BSCIC through its Team Leader / Lead Auditor confirms the Confidentiality of the information received, Observed and
Reported by the Team BSCIC.

Team Leader / Lead Auditor by signing this sheet confirms the Non-Conflict of Interests with the Organization.

This report and its full contents are completely understood and accepted.

Please sign below confirming acceptance of the Audit report’s contents

(Audit Report Number): GGC/RA/06/22

Signed for & on behalf of BSCIC Signed for on behalf of the client Co.

Name: Mr. Usman Rehman Name: MR. HUZAIFA

Date: Dec 6th, 2022 Date: Dec 6th, 2022

Tutor Marking: 10 max. mark for right presentation of audit Report including correct
recommendation & follow up options. Award one mark each for writing the nonconformity. 2 marks
for B003, 2 marks for B029, 2 marks B007 & B020 & 2 marks for recommendation options/SAP.

Group Exercise – 30 Minutes for preparation

Exercise 18 Audit Follow-up NC Closures
30 Minutes for reviewing & decision making
15 Minutes for presentation
15 Minutes for tutor feedback
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Review the closure submitted by auditee and judge weather this closure is acceptable or not, for the
below three cases.

NON-CONFORMITY NOTE - 1
PROCESS ACTIVITY ISO 9001:2015 CLAUSE
Production Drilling Machine 7.6
[A]
DETAILS OF NON-CONFORMITY
The dial gage no. 45 does been used on Drilling machine does not have calibration status (as per A
procedure ABC_7.6 Rev 1) and on asking the operator replied that he does not know what U
calibration is. D
Requirement of the standard: I
T
Where necessary to ensure valid results, measuring equipment shall O
d) be identified to enable the calibration status to be determined; R
AUDITOR: DATE:
NAME: SIGN ___________
ROOT CAUSE PROPOSED ACTION
1. Operator did not understand the auditor The system of identification shall be [B]
2.. The system had stickers which came off replaced A
U
Target Date: 13 Dec 2022
D
Responsibility: QA Manager
I
ACTION TAKEN T
The sticker system is replaced by two paints. Red spot indicates the instrument has errors and E
user must consider the error factors and green spot indicates that the instrument has no errors. E
All have been trained on this new identification system with the error factors communicated to
users.

VERIFICATION OF ACTION TAKEN – □ Closed □ Not Closed [C]

A
U
D
I
T
O
R

NON-CONFORMITY NOTE - 2

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PROCESS ACTIVITY ISO 9001:2015 CLAUSE

Designing Validations of trainings 7.3.6
[A]
DETAILS OF NON-CONFORMITY
The validation records for the Design of training module # 76 (training security sniffer dogs) not A
evidenced as defined in the Design procedure. STAR_D_007 Rev.3 U
D
Requirement of the standard: I
T
Records of the results of validation and any necessary actions shall be maintained (see 4.2.4)
O
R
AUDITOR: DATE: 06nd Dec 2022
NAME: Anita Gonzalvis SIGN ___________
ROOT CAUSE PROPOSED ACTION
1. It is difficult to validate Solution for this validation shall be [B]
analyzed and action taken A
U
ACTION TAKEN D
After many analyses the management (with help of external specialist) it was concluded it is I
difficult to validate. For such training modules where it would be difficult to validate, and an T
exclusion for 7.5.2 has been approved. The changes in Para 1.2 Application chapter of the E
manual is modified with exclusions and justification given. The procedure for Design E
STAR_D_007 Rev. 4 is released. Evidence enclosed for perusal: The Revised Manual &
Procedure.

VERIFICATION OF ACTION TAKEN – □ Closed □ Not Closed [C]

A
U
D
I
T
O
R

NON-CONFORMITY NOTE - 3
PROCESS ACTIVITY ISO 9001:2015 CLAUSE
Human Resources Induction Training for New Recruits 6.2.2 [A]

DETAILS OF NON-CONFORMITY A
The induction training records for all five security guards for level 5 (recruited 20 days’ back) are not evidenced as U
required by procedure MLS_HR_008 Rev.5 Paragraph 5.5. e) which states that all new recruits would be undergoing D
induction training program for minimum 2 days, within one week of their joining. I
T
Requirement of the standard: O
The organization shall: R

AUDITOR: DATE: 06th Dec 2022

NAME: Anita Gonzalvis SIGN ___________
ROOT CAUSE PROPOSED ACTION
The recruitment was wrongly done, as for level 5 people should have 5 The recruitment procedure and induction [B]
yrs experience in special task force (s per recruitment procedure) but training shall be modified to make the system A
U
they have only 3.5 yrs and on recommendations by ministry of more effective and meaningful, to consider
D
defense, they were recruited. Management thinking what to do since these unique cases., without compromising

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20days as this may require policy change quality requirements. I

ACTION TAKEN T
E
The procedures have been modified and re-issued and in future these would be applicable. These procedures are
E
enclosed for reference:
1. The recruitment procedure has been modified with options in competency requirements, to make it more
practical
2. Induction training conducted to all the new 5 personnel, and it shall be ensured that inductions are done within
one week of joining, in future. The records of these trainings are enclosed.

VERIFICATION OF ACTION TAKEN – □ Closed □ Not Closed [C]

A
U
D
I
T
O
R

Tutor Marking: 3.3 mark for each correct CAP acceptance. 10 max. marks for the entire exercise.

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