Answer The Below Questions For Each Case. Each Right Answer To Each Case Will Be Given 3 Marks. All Questions Assess CLO3

CASE STUDY 1 TOTAL:36 MARKS
IDENTIFICATION OF NONCONFORMITIES/CONFORMITY
Answer the below questions for each case. Each right answer to each case will be given 3 marks.
All questions assess CLO3.
a. Identify nonconformity or conformity for each case

b. Identify most appropriate clause of ISO 9001:2015
c. Explain the justification for a and b for each case
1. A person worked in a Bank using a computer to prepare demand drafts. The computer was placed
where direct sunlight fell on the monitor's screen, causing inconvenience in visibility and resulted
in many mistakes in drafts.
2. During the last 3 audits, the purchase dept was having 15-20 Nos of Non-conformities. However,
other departments were relatively a smaller number of NCs. Internal audits were carried out as per
defined procedure and plan.
3. When auditing a non-banking financial Institution, the auditor noted that the process flow chart
PMX 03 shows that Term deposit Certificates received from a client after maturity were to be
verified for payment and then authorized by the Managing Director or Financial Director and
recorded in the client’s 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 did not need to be recorded or authorized.
4. The company had installed the latest pressure calibrator Serial no PC 3145 for measurement of
their pressure gauges. On requesting evidence of calibrator’s 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 equipment’s 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 collecting and analysing data
relating to the quality management system. The quality Manager responds that customer
feedback/complaints, product/process discrepancies, rejection, and return product are all collected
and analysed. When asked about suppliers' data, the manager informed that the records of supplier
selection and annual evaluation were well maintained. Other than the entry on the management
review minutes that stated that all current suppliers were OK, no other data was collected on an
annual evaluation.
6. When the auditor asked about quality management system planning. The company representative
replied that since their products are reasonably standardized and produced over the years, there
was no need for QMS planning other than production planning
7. A customer used to purchase a product of Model X over the years. Suddenly, he changed the
model to ‘Y’ and sent a demand to the company’s sales department to buy 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 company’s 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 company’s 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 the best
quality of product and has been considered for benchmarking; hence, there was no need for any
continual improvement plan.
11. During the Design and Development department audit, 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. On enquiring where the overall project plans were, he was
informed that it was company policy not to impose such constraints on design staff to inhibit
creativity. New designs were allowed to evolve through informal discussions between the
Marketing, Design and Manufacturing Departments as required.
12. The auditor asked the managing director how to achieve company objectives to reduce customer
complaints and increase customer satisfaction; the Managing Director replied that complaints are
recorded, analysed, and corrective action is taken to satisfy the customer and stop the problem re-
occurring. By following this strict process, customer complaints would reduce and therefore, the
objective will be achieved.

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CASE STUDY 1 TOTAL:36 MARKS

a. Identify nonconformity or conformity for each case

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