19 Participant Workbook

Participant Work Book
ISO 9001:2015 Auditor/ Lead Auditor Training Course
Course Number: ISO 9001:2015 LA Dates of Course: 17 Sep 2022 to 25 Sep 2022
Venue of the Course: Online City: Thrissur Kerala Country: India
Participant Name (IN CAPITALS) : SUJITH PALLIKARA PUSHPAKARAN Signature:
: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 assessment on every day. Please ensure
that you submit this workbook to the tutor(s), for daily continuous assessment at the end of each day.
3) On the last day, please return back 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 have to be attended;

 The course evaluation shall consider two aspects – your daily performance shall be monitored by the
tutors and continuous assessment and your score in written examination shall be considered for your
final 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);
 Every member should lead team in rotation for different exercises.
 Following are the List of Exercises :
# Exercise # Exercise
Documentation Audit – Performance
1 Introduction to Participants (Interviewing) 11 Evaluation
2 Terms & Definitions pertaining to Quality 12 Documentation Audit - Improvements
3 Mapping Management Principles 13 Facts or Inferences
4 Process Approach 14 Audit Plan Preparation
5 Documentation Audit – Management Issues 15 Audit Checklist Preparation
6 Documentation Audit – Context of Organization 16 Cases – NC Recordings
Role play ( Audit Interview Process &
7 Documentation Audit – Leadership 17 Recording NCs)
8 Documentation Audit – Planning & FMEA 18 Audit Report Preparation
9 Documentation Audit – Support 19 Audit Follow up – NC Closures
10 Documentation Audit – Operation
Issue 2, Rev.02 Apr 2016 Page 1

Exercise 1 Introduction of Participants

Exercise – 15 Minutes
YOUR PARTNER NAME : Mr.Prakash Padh
Working Organization:
Designation:
Knowledge of ISO 9001:2015 :

(and Rank 1(Minimum) to
5(Maximum)
Any I/II/III Party Audit Experience:

(Rank 1(Minimum) to
5(Maximum)
Objective of attending this course:
Expectations from the course:
Any additional Information

(something interesting of yourself) :

Terms & Definitions pertaining to Quality

Exercise 2 Exercise – 20 Minutes
# Mapping Quality # Quality Term

Description Terms
1 Ability to apply knowledge and skills to 12 Competence
achieve intended results. 1 QUALITY
2 Set of interrelated or interacting activities 3 Process
which transform inputs into outputs. 2 EFFECTIVENESS
3 Action to eliminate the cause of 11 Corrective action
nonconformity and to prevent recurrence. 3 PROCESS
4 Need or expectation that is stated, 5 Requirements DOCUMENTED
4 INFORMATION
generally implied or obligatory.
5 Information required be controlling 4 Document
and maintaining by an 5 REQUIREMENTS
Information
organization and the medium
on which it is contained.
6 Effect of uncertainty on an expected result. 6 Risk 6 RISK
Set of interrelated or interacting elements 13 Management
7 of an organization to establish policies and 7 OUTSOURCE
system
objectives
and processes to achieve those objectives.
8 Extent to which planned activities are 2 Effectiveness 8 NON-CONFORMITY
realized and planned results achieved.
9 intentions and direction of an organization 10 Policy
as formally expressed by its top 9 MONITORING
management
make an arrangement where an external 7 Outsource
10 organization performs part of an 10 POLICY
organization’s function or process
11 CORRECTIVE ACTION
12 COMPETENCE
MANAGEMENT SYSTEM
13
14 INNOVATION
15 CONFORMITY

Exercise 3 Mapping Management Principles Exercise – 20 Minutes
1. Customer Focus 2. Leadership 3. Engagement of people 4. Process Approach

5. Improvement 6. Evidence Based Decision Making 7. Relationship Management
S. Principle (Srl.#-
No. Feature: see above)
1 4 Process
Every input goes for process giving output Approach
2 Ensuring that the bonded stores dispatch correct material to 1 Customer
customers respective Focus
3 3Engagement of
Motivating the factory personnel take care of Quality in production people
4 Ensuring that the process interfaces are mapped adequately that the information is 4 Process
transferred to process owners in effective and safe manner Approach
5 The Quality and Purchase team considers the actual rejections during inspections 6 Evidence
in supplier performance evaluations based Decision
Making
6 The review of one year customer complaints indicated that % of complaints have 5. Improvement
reduced, compared to previous year,
7 Helping the supplier in calibrating his measurement instruments, using master 7 Relationship
instruments of the organization Management
8 1 Customer
Changing bicycles by motorcycles for faster and better service to customers
Focus
9 Motivating employees to suggest changes in the processes to reduce cycle time and 2 Leadership
set examples
10 People accepting ownership of problems and their responsibility for solving them. 3Engagement of
people
11 The design manager is present at the commissioning site to make required changes 6 Evidence
in the pressure controls based on the actual readings based Decision
Making
12 Organization does II party audit on supplier as Customer wants to ensure the 1 Customer
organization supplier’s quality is maintained by performing a system audit Focus &
7 Relationship
Management
13 4 Process
Identifying, understanding and managing interrelated processes as a system Approach
14 Defining objectives in a manner by which the gap between objectives and results 5 Improvement
reduce

Exercise 4 Process Approach Group Exercise – 30 Minutes
Give the following information in the spaces provided for this bottling line (examples):
1. The inputs
2. Outputs
3. Monitoring & Measuring opportunities
4. Efficiency & Effectiveness
RESOUCES & METHODS
INPUTS BOTTLING OPERATION LINE OUTPUTS

Juice
MONITORING & MEASUREMENTS
INPUTS Resources & Process OUTPUTS Effectiveness &

Methods (Monitoring & Efficiency
Measurements)
1. The Beverage Bottling Plant Monitoring: Filled, capped and Effectiveness:
2. Empty Bottles Work Instruction 1.Speed of Conveyor labeled bottles 1.No of Bottles collected
3. Caps SOP 2.Smoothness of operation filled
4. Labels Manpower 3.free from spillage 2. Proper capping and
Compressed Air 4, No undue noise sealing.
3.Free from breakage
Measurement:
1.Quality filled Efficiency:
2.line parameters such as 1.No of Bottles in/out ratio
pressure/speed 2. No of Bottles
capped/uncapped.
3.No of broken bottles VS
total bottles

Exercise 5 Documentation – Stage 1 audit

Group Exercise- 45 minutes
Read the Quality Apex Documented Information of Good Glass company MANAGEMENT ISSUES [including Scope &
Applicability]) and identify those issues which do not comply to the requirements of the standard (up to specific sub-
clause) with reference to chapter & page number of the Apex Documented Information
# Issue Apex Document Standard

reference reference
1 Non applicability and justification-NC-Justification for not Page 7 of GGC Apex Cl 4.3/4.4
applicability(exclusion) not given for 8.5.1(f)Documented
information
2 The scope at page no 6 does not contain the INSTALLATION Page no 5,6 & 22 C 4.3
activity, where in the page no of 5 product & services and at page
no 22GCC clause 8.5.1talks about installation
3 Quality policy does not contain the purpose at 5.2.1(a) as well as Page 9 of GGC Apex Cl 5.2.1
at the policy statement below of the GCC and the requirement of
5.2.1(d) for continual documented information improvement in
not addressed
4 Objectives are not quantified Page 11 6.2.1
5 Auditors impartially/independency are not mentioned in the Page 22 Cl 9.2

internal audit process
Note If more points, use backside of the page
Exercise 6 Documentation – Stage 1 audit Group Exercise- 45 minutes
Read the Quality Apex Documented Information of Good Glass Company Context of Organization and identify those
issues which do not comply with the requirements of the standard (up to specific sub-clause) with reference to
chapter & page number of the Apex Documented Information

# Issue Apex Documented Standard

Information reference reference
Identification of issues appears not covering all possible on Eg: Page 6 4.1
legal, cultural, social aspects not covered.
Contractors are used for installation and interested parties do Page 7 4.2
not cover the same
Non Applicability and justification –NC- Justification for not Page 7 4.3/4.4
applicability(exclusion) not given for 8.5.1(f)
The scope at page no 6 do not contain the installation activity, Page 5,6 & 22 4.3
where in page no 5Product & service s at page no 22 clause 8.5.1
talks of installation
Outsourced process are defined in the context at page no 4 Read Page 4 4.3/4.4
as “The installation controls not linked with purchase (8.4)
No clarity on the sequence and interactions of the process Page 7 4.4

1

Note If more points, use backside of the page
Read the Quality Apex Documented Information of Good Glass Company Leadership and identify those issues which
do not comply with the requirements of the standard (up to specific sub-clause) with reference to chapter & page
number of the Apex Documented Information.
# Issue Apex Document Standar

reference d
reference
1 Integration of QMS and Business process missing Page 9 5.1.1.(C)
2 Quality Policy does not indicate the purpose at 5.2.1(a)as well as at the policy Page 9 5.2.1
statement below of the GGC and the requirement of 5.2.1(d) for continual
improvement is not addressed.
3 Documentation or reference to documentation for policy not available. Page 9 5.2.2
4 Responsibility authority though referred as Annexure A ,could not found in Page 9 5.3
the document
5 No Clarity on responsibilities and authorities as the annex is missing Page 9 5.3

Exercise 8 Group Exercise- 45 minutes

Documentation – Stage 1 audit
Read the Quality Apex Documented Information of Good Glass Company Planning and identify those issues which do
not comply with the requirements of the standard (up to specific sub-clause) with reference to chapter & page
number of the Apex Documented Information
# Issue Apex Standard

Document reference
reference
1 Quality Objectives with Quantification not seen Page 1 6.2.1
RBN Calculation is found erroneous and FMEA does not cover all relevant
processes of GCC and incomplete on action
FMEA (Failure Mode Effect Analysis) PROCEDURES
Identify the scope of the FMEA. Is it for concept, system, design, process or service? What are the boundaries? How
detailed should it be?
Review the GGC FMEA procedure (Appendix 1) and audit the same for adequacy.


Read the Quality Apex Documented Information of Good Glass Company Support and identify those issues which do
not comply with the requirements of the standard (up to specific sub-clause) with reference to chapter & page
number of the Apex Documented Information.

reference reference
1 Evaluation of Training not clear Page 11 7.2

2 Clarity of an control of external document inadequate Page 15 7.5.3
3 Retention requirements not clear Page 15 7.5.3
4 Documented structure indicates 6 Mandatory procedure which Page 15 7.5.1
inadvertent
6 Control on external documents not clarified Page 15 7.5.3

Read the Quality Apex Documented Information of Good Glass Company Operation and identify those issues which
do not comply with the requirements of the standard (up to specific sub-clause) with reference to chapter & page
number of the Apex Documented Information

reference reference
1 Installation by outside partner not covered Page 15 CL 8.1

2 Design validation documentation not clear Page 19 CL 8.3.4
3 Monitoring of external providers Page 21 CL 8.4.1
4 Non-conformance management inadequate Page 24 CL 8.7

Read the Quality Apex Documented Information of Good Glass Company Performance Evaluation and identify
those issues which do not comply with the requirements of the standard (up to specific sub-clause) with
reference to chapter & page number of the Apex Documented Information
# Issue Apex Standard

Document reference
reference
1 Documented information of monitoring and measurement not clear Page 21 Cl 9.1.1
2 External Providers performance analysis not addressed in analysis &Evaluation Page 21 Cl 9.1.3
3 Internal audit mentions the audit of IMS instead of QMS Page 22 Cl 9.2
4 Clarity on Auditor independence lacking Page 22 Cl 9.2
5 MRM doesn’t cover external provider performance Page 22 Cl9.3.2


Read the Quality Apex Documented Information of Good Glass Company Improvements and identify those issues
which do not comply with the requirements of the standard (up to specific sub-clause) with reference to chapter &
page number of the Apex Documented Information

reference reference
1 Result of analysis & Evaluation not considered for continual improvement Page 23 10.3
Exercise 13 Facts or Inference Group Exercise- 30 minutes
Read the following cases and note the answer the following questions for the incidents:
1) Walker was doing an experiment (in lab) on biological changes in humans when they tell lies. Walker was
surprised to see the results of one test and wanted to inform the professor of her university. But the
telephone lines were dead. No mobile connectivity. Walker thought that since the weather was very rough
when arrived at the lab in the morning….looked out of the window and was surprised to see dark clouds
and realized that it might be raining. Took rain coat & test report and went out of the Laboratory and
rushed towards the car, to reach the professor.
# Stateme Judgment (Select by “X”) Reasons

nt
1 Mr. Walker was surprised to the
results of the test in the university Fact X Inference
laboratory.
2 The weather outside was very rough
when Walker looked out of the Fact X Inference
window of the Lab.
3 Walker was experimenting on
biological changes in humans. X Fact Inference
4 Walker took the test report to show
to the professor in rain. Fact X Inference

5 Walker rushed towards his car with
rain coat and test report. Fact X Inference

2) The swimming pool safe guard was beside the swimming pool and suddenly found that one boy fell into
the pool (slipped on the edge). The guard jumped into the pool to rescue the boy…on approaching the
boy he realized that the boy knew swimming and he swim himself to one side and started smiling. The
guard also smiled….but suddenly the boy said “help” and fainted. He was taken out of the pool and given
artificial respiration by the guard and boy came to senses. The guard insisted for medical checkup by duty
doctor and taken immediately for checkup.
# Statement Judgment (Select by Reasons

“X”)
1 The Safe guard at the pool seen that
the boy slipped into the pool and
X Fact Inference
jumped into the water to save the
boy.
2 The boy suddenly said “help” and
fainted after coming out of the pool. Fact X Inference
3 The boy himself swims to safety as
he knew swimming. X Fact Inference
4 Every one pulled out the boy out of
swimming pool when he fainted Fact X Inference
5 The boy was taken to the duty doctor
for checkup, after he came to senses, Fact X Inference
as everyone insisted for the same.
Group Exercise- 75 minutes

Exercise 14
Audit Plan Preparation 15 min for Presentation
Considering the Quality Apex Document of Good Glass Company, prepare an audit plan, as per following
guidelines:
1. Total man days = Calculate audit duration from IAF MD5 Table for 50 employees or take Four
(minimum) [One Man day = 8.30 hrs) or use audit duration as given by tutor.
2. Use all the personnel in your group as auditors (you can use auditor – 1, 2, etc.) as references,
rather than actual names.
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 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
MAKE THE AUDIT PLAN IN ROUGH ON THE NEXT PAGE & AS A GROUP ON THE FLIP
CHART(S) THE GROUP LEADER TO MAKE A PRESENTATION OF THE EXERCISE FROM THE
FLIP CHART

Assessment Plan Date: 20 th September 2022

Organization: M/s Good Glass Company
Scope: Design, Development, Manufacture and Installation of Glass Products For Infrastructure Applications
Objective of Assessment: To assess the conformity of quality management system w.r.t. ISO 9001:2015.
Criteria ISO 9001:2015. System(s) QMS documented Information

Documented Information Documented info
of Good Glass Company ref. (if any):
Team Leader: Gladis Auditor-1 Audit Start Date 28th Opening 10.00am
September Meeting
2022
Team Ananda Prakash Auditor- 2 Audit End Date 29th Closing 5..00pm
Member: Sujith Pallikara Auditor- 3 September Meeting
2022
Audit Schedule
Date Client Function Auditor Time

Day 1 (28/09/2022) Opening meeting All 10:00 AM – 10:30AM
Site Tour Auditor 1 & 2 10:30AM – 11:00AM
Leadership Auditor 1 & 2 11:00AM – 11:30AM
Resources assigned by top Management Auditor 1 11:30AM – 12:30PM
Planning and Risk and Opportunities Auditor 2 11:30AM – 12:30PM
Marketing and Sales Auditor 3 11:30AM – 12:30PM
Lunch Auditor 1, 2 & 3 12:30PM – 1.00 PM
Brushup for Auditors Auditor 1, 2 & 3 01:00PM – 01.05 PM
HR & Training processes Auditor 1 01:05PM – 02.30 PM
Customer Related Process Auditor 2 01:05PM – 02.30 PM
Design and Development Auditor 3 01:05PM – 02.30 PM
Purchase Auditor 1 02:30PM – 03.30 PM
Production and Service Auditor 1 02:30PM – 03.30 PM
Stores and Logistic Auditor 1 02:30PM – 03.30 PM
Site Tour Auditor 1, 2 & 3 03:30PM – 04.30 PM
Day 1 Brief All 04:30PM – 05.00 PM
Day 2 (29/09/2022) Installation Activities Auditor 1 10:00 AM – 01:30PM
Quality Procedures Auditor 2 10:00 AM – 01:30PM
Performance Evaluation / Monitoring & Auditor 3 10:00 AM – 01:30PM
Measuring resources,
Lunch Auditor 1, 2 & 3 01:30PM – 02.00 PM
Brush up for Auditors Auditor 1, 2 & 3 02:00PM – 02.05 PM
Research and Development Auditor 1 02:05PM – 03.30 PM
Manufacturing Auditor 2 02:05PM – 03.30 PM
Requirements of products and services & Auditor 3 02:05PM – 03.30 PM
Control of externally provided services
Report Compilation Auditor 1, 2 & 3 03:30PM – 04.15 PM
Closing Meeting All 04:15PM – 05.00 PM

Group Exercise – 145 Minutes

Exercise 15 Preparation of Audit Checklist
15 min review
Considering the ISO 9001 standard and Quality Apex Document 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 means “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
MAKE THE AUDIT CHECKLIST IN ROUGH ON THE NEXT PAGE & AS A GROUP ON THE FLIP CHART(S) THE
GROUP LEADER TO MAKE A PRESENTATION OF THE EXERCISE FROM THE FLIP CHART
Clause # CHECK POINT (For Verification) Conclusion Evidences for

(Compliance / NC
NC)
Scope and Non-Applicability of requirements (with suitable justification)



Exercise 16 Recording Non-conformities Group Exercise- minutes

15 min 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 with 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:
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 evidences of compliance of the same, for past three consignments and shall
ensure that, you will continue to adhere to the contractual requirements.
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 terms.
We are taking a stand on this, as need to submit these evidences to all our customers 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 standard 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 sending by fax all the evidences to the number as defined in the contract. Yes we did not confirm
whether you received or not. We have all the evidences 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 machine is working
or umber has changed or any other issue. Anyhow now onwards we shall be emailing the same to your Quality
department.
And also, we shall be uploading all these evidences in our internal Intranet and giving you the password for
access (only to authorized personnel only - as identified by you), to avoid such issues recurring again.
The NCR – 15 clearly mentions that one report is missing which we agreed and responded back to your closure
(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 assure you the best of services at all time to come. We thank you for this opportunity for improvement which
we feel that without you pointing out this; our communication system would not have been improved.”

Incident 2
While doing the audit of Sheet Metal components for various industry sectors, you found that one of the gauges
(GO – NOGO) for final inspection of circular product, was found to be broken from one of the sides. Upon 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 Apex Document, you also detected that this company where
you are presently auditing, had sought exclusion for Customer Property.
Incident 3
A company manufactures 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 his hands are shaking. On enquiry you came to know that the person is the senior most people & in the
company since last 20 years & very experienced in Compasses – the only inspector - his hands shake because of an
illness. Through the complaints register you also establish that nearly 3% of the consignments on an average, come
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 for 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 detailed job descriptions and translated to local
language. 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 was 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 Top Management area (internal audit process), you noticed that one of the internal audit NC
reveals the fact of - the internal audits frequency was annually, and three internal audits 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 Srl. #: 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 for ISO 9001:2015,
you were to verify the records of the 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 (neither in hard copy nor
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 were evident.
One of the objectives of the institute was “TO BUILD CAREERS OF ATLEAST 75 % OF THE PASSED STUDENTS OF
EACH BATCH THROUGH THEIR PLACEMENT CELL.”
NON-CONFORMITY NOTE Incident: 1

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.
Students are also required to demonstrate their ability to write a well- constructed nonconformity statement that clearly describes the weakness or
failure of the management system, the audit evidence and the requirement(s) of the standard.
Note to marker:
To raise a nonconformity report when there is not sufficient audit evidence should be penalized and markers should normally award
zero mark.
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
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.
Typical solutions for nonconformities follow a standard method of presentation: i.e., 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
and the distribution of marks adhered to.

ISO 9001:2015 CLAUSE No: 8.2.1 (C)
Company Area unit involved

documents MAJOR / MINOR
ABC Catering [Strike out as
ABC Catering Company specs.
Company required]
Sheet “ABC_SPEC 212 issue 2 dt.
12 Jan 2010
Failure (Nonconformity) (WHAT):
During the Audit, a customer complaint was noticed, that there is a discrepancy in customer
Communication on requirements for products and services pertaining to ISO 9001:2015 section 8.2.1 Clause C which
states obtaining customer feedback relating to products and services, including customer complaints.
Evidence (reference of Process/Personnel/Documents) (WHERE):

During the discussion/Interaction (In Audit) following reason are drawn before concluding.
1. Evidence of FAX send to the customer by the ABC catering company needs to be verified.
2. We need to check whether the customer FAX machine is operational or not.
3. Whether the FAX number provided by the customer is working properly or has been changed.
Requirement (WHY):
ISO 9001:2015, section 8.2.1 Clause C which states obtaining customer feedback relating to products and services,
including customer complaints.
Auditor Auditee Date
Comments:
NO NCR
ISO 9001:2015 CLAUSE No: 8.5.3, 4.3
Company documents Area unit involved MAJOR / MINOR

[Strike out as
Quality Apex document Sheet Metal Components required]
Industry MINOR


During the Audit, it was noticed that the gauge is found damaged and not reported to the customer
as per ISO 9001:2015 section 8.5.3 Para – 3 states the property of a customer or external provider is lost, otherwise
found to be unsuitable for use, the organization shall report this to the customer or external provider and retain
documented information on what has occurred and moreover Justification for the Exclusion of external property is not
provided.
During Audit, upon the site visit it was noticed that the organization
is using customer property where the organization claimed that
1. it was supplied by the client & would be returned to the client with the last consignment. No evidence of
documented information on property of customers or external providers.
2. On verification of the Quality Apex Document, the Company had sought exclusion for the Customer Property.
Requirement (WHY):
ISO 9001:2015 section 8.5.3 Para – 3 states the property of a customer or external provider is lost, otherwise found to
be unsuitable for use, the organization shall report this to the customer or external provider and retain documented
information on what has occurred ISO 9001:2015 section 4.3 of the organization’s quality management system 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.
ISO 9001:2015 CLAUSE No: No:8.5.1.e

[Strike out as
Manufacturer of Compasses for Manufacturer of Compasses
required]
for Pleasure Crafts
Pleasure Crafts MAJOR
During the Audit, it was observed that the appointment of competent persons including any required
Qualification is not determined.

During Audit, upon the site visit, it was noticed that only inspector in the organization with vast experience performs
critical inspections
 Wearing thick glasses.
 Where his hands shake due to illness.
 Nearly 3% of the consignments on an average come back from the market.
Stock ready for delivery have problems of centricity.

Requirement (WHY): ISO 9001:2015 section 8.5.1.e states the appointment of competent persons, including any
required qualification.
ISO 9001:2015 CLAUSE No: 7.2
Company Area unit involved MAJOR / MINOR

documents [Strike out as
The brand retail
required]
Management
business MINOR
Review Meeting
minutes
During the Audit, it was observed while reviewing the “Management Review Meeting minutes “that the necessary
competence of person(s) doing work under its control that affects the performance and effectiveness of the quality
management system, ensuring these persons are competent on the basis of appropriate education, training or
experience.

During the Audit it was observed that
1. Due to local laws, the company has recruited local manpower.
2. Human Resources developed competency matrix and detailed job descriptions are translated to local language due
to foreign language problem in communication.
3. There is a restriction in law that female employees will not interact with males & vice versa.
4. Business targets were not been able to meet business objectives (sales & branding).
Requirement (WHY):
ISO 9001:2015 section 7.2 states the organization
1. Shall determine the necessary competence of person(s) doing work under its control that affects the performance
and effectiveness of the quality management system.
2. Ensure that these persons are competent on the basis of appropriate education, training or experience.


ISO 9001:2015 CLAUSE No: 9.2.2.a, 8.6

Top Management
required]
Internal Audit
area MINOR
Process
During the Audit, it was observed that the organization has not planned, established, implemented and maintained the
audit program including the frequency, methods, responsibilities, planning requirements and reporting by taking into
consideration the importance of the processes concerned, changes affecting the organization and the results of the
Previous audits.

1. The Internal Audit frequency was annual.
2. 70% of the Non-conformities were on product quality.
3. There were no changes in the quality plan, inspection sampling plan & no trainings imparted in quality inspections.
Requirement (WHY):
(WHY):ISO 9001:2015 section 9.2.2.a states the organization shall plan, establish, implement and maintain the audit
program(s) including the frequency, methods, responsibilities, planning requirements and reporting by taking into
consideration the Importance of the processes concerned, changes affecting the organization and the results of the
previous audits.
ISO 9001:2015 CLAUSE No: 7.5.3.1

[Strike out as
Records of the students Computer Institute
required]
MAJOR

During the Audit, it was observed that the documented information required by the quality management system
should have controlled to ensure that it is available and suitable for use where and when it is needed and adequately
protected.


1. The approved marks allotted on practical exercises test on computer were not traceable (neither in hard copy nor in
soft copy form).
2. The answers for the test revealed that they were correct in the soft copy and hard copy – the Srl. # :098701 is
correct but the name was different on the record.
3. 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
4. No corrective action records were evident.
Requirement (WHY):
ISO 9001:2015 section 7.5.3.1 states that documented information required by the quality management
system and by the International standard shall be controlled to ensure:
a) It is available and suitable for use, where and when it is needed.
b) It is adequately protected.
Role Play – Interview Process Group Exercise-

Exercise 17
60 Minutes for study of GGC & referring the
previous exercises outcome (exercises 6 ,7 ,8 ,9,
10,11,12 & 13)
180 Min. for Role Play
45 Minutes for presenting audit
findings 15 Minutes for Tutor
Review
Teams to be made – Each Team will audit for the specific function allotted by tutor.
Tutor will act as Auditee.
Does the role play involving each team so that all get a chance for the LIVE AUDIT?
The group which is not auditing shall observe the other group while auditing and discuss their
observations and findings.
Process Area (Department) : Top Management and MR
# CHECK POINT (For Verification) Conclusion (Compliance / NC) Evidences for NC

(Page # of Apex
Documented
Information)
To management
5.1.1a Please explain your role in taking responsibility and
accountability for QMS
5.1.1b What is your approach in providing a high level policy
and ensuring objectives

5.1.1c How do you ensure integration of QMS in to business
process
5.1.1d How do you make sure the promotion of risk based
thinking and process approach
5.1.1e How do you ensure the resources are provided for an
effective QMS
5.1.1f What efforts at your level to communicate the
importance of QMS
5.1.1g What is your approach in ensuring that the QMS fulfills
the expected outcome
5.1.1h How does the employees across are supported to
contribute for QMS
5.1.1i Your strategy to promote improvement
5.1.1j What is your approach for promoting leadership at the

next level of managers
5.1.2 How at your level demonstrate customer focus
5.2 Can you please give your thoughts related to your

quality policy and its percolation
5.3 How does the roles, responsibilities., authorities are
defined including those for effective QMS
7.1 How do you ensure fulfillment of resource
requirements
9.3 Can you please explain about the management review
process and your views on its effectiveness
Management representative
4.1 What are the issues you identified in your department
4.2 Who are the interested parties within the organization
4.3 Please explain your QMS scope and applicability
4.4 Explain the process of your department
5.2 Can you explain the quality policy and your contribution to
achieve the same
5.3 What are your responsibilities and authorities
6.1 What risks and opportunities relate to your function and the
details of actions taken
6.2 What are the objectives of HR department and what is the
level of achievement
6.3 How do handle changes without affecting the integrity of the
system
7.2 Please explain your educational / training details
7..3 Please explain on what is your understanding about QMS of
your organization
7.4 How does you communication activities happen
7.5.1 Can you please explain your documentation for QMS
7.5.2 How do you handle creation and updation of
documents
7.5..3 What are the controls for documented information
8.7 What is the process for dealing with nonconformance in your
process and details if any
9.1 What all you monitor, measure, analyze in your process
9.2 Can you explain your internal process?
Frequency
Plan
Auditor qualification
Independence
Documentation
Actions
Reporting to management
10.2 Explain the corrective action process that you follow and
details of CA if any
10.3 What improvements you could demonstrate since last audit
Write NCRs for any Four in the prescribed format on subsequent pages

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.
Students are also required to demonstrate their ability to write a well- constructed nonconformity statement that
clearly describes the weakness or failure of the management system, the audit evidence and the requirement(s) of the
standard.
Note to marker:
To raise a nonconformity report when there is not sufficient audit evidence should be penalized and
markers should normally award zero mark.
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 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.
Typical solutions for nonconformities follow a standard method of presentation: i.e., 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 and the distribution of
marks adhered to.
NON-CONFORMITY NOTE (Role Play) NC: 1
ISO 9001:2015 CLAUSE No:
Company Company MAJOR / MINOR

[Strike out as
documents documents required]
Requirement (WHY):


required]
Requirement (WHY):

[Strike out as
documents required]
Requirement (WHY):


[Strike out as
documents required]
Requirement (WHY):
Group Exercise – 40 Minutes for report preparation

Exercise 18 AUDIT REPORT PREPARATION
40 Minutes for the reports presentation
10 Minutes for tutor feedback
Based on the audit done and findings recorded, please
(A flipchart can be used in addition to the workbook)
ASSESSMENT REPORT
Name of Company (Organization):
Address:
Contact Person: Position:

Alternate Contact Person: Position:
Registration Scope:
No. of Employees: No. of Shifts:

Company’s Key Documented Information Reference (if any):

Management Standard:
Assessment Type: Registration Assessment (Stage 2)
Assessment Commencement Date: Assessment Completion Date:
Assessment
Team Name: Status:
Mandays : 4
Nonconformities raised during Assessment:
NCR Ref. No. NC 01

Minor/Major Minor
Nonconformities raised during last visit:
NCR Ref. No. NIL
Closed/Open
Areas Assessed :
Audit Conclusion & Appropriateness of the Certification Scope
**Disclaimer - Auditing & its conclusion is based on a sampling process of the available information**
Non-applicability of requirements (with suitable justification)

QMS ASSESSMENT COMMENTARY

Context of the Organization
Leadership
Planning
Support

Operation
Performance Evaluation
Improvement

ASSESSMENT COMMENTARY
(Write NA if this sheet if not applicable)

NONCONFORMITY REPORT Client Representative:
NCR Details of Management
Reference nonconformity Standard
Reference
*Add more rows if required
RECOMMENDATION FOR CERTIFICATION

Congratulations, we are pleased to recommend certification for the scope detailed in Assessment Report:
Subsequently this Assessment Report Pack along with your satisfactory Corrective Action Plan and objective evidences
(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 Assessments for a visit every Year for 2 Manday per visit.
Details of Additional Locations and Activities for certification (If applicable)

Location 1 NA
Activity NA
*Add Rows for more

Recommendation for Supplementary /Re-Assessment
1.The following have been considered as major concerns during this assessment visit------------------NA
2. This assessment is based on random samples therefore nonconformities may exist which have not been
identified.

For Registration Assessments:
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 reassessment being satisfactorily completed.

Scope Assessed------NA
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 ----/-----/ NA
5. Team recommends a Limited Supplementary Assessment for --- Manday(s) or a full Re-assessment for
Manday(s).
The same could be conducted by ----/----/- , upon satisfactory corrective action plan submitted by client to BSCIC’s
Chief
Executive------NA
6. Client to inform their readiness to BSCIC’s Chief Executive for the further assessment as in 4 above so that the
same could be satisfactorily planned & conducted.

SURVEILLANCE ASSESSMENT(SA) PROGRAMME
(Write NA if any Area is not applicable. Please do not DELETE any ROW)
SA. Frequency 1 year
S.A. Conduct Number SA1 SA2 REA
Re Assess.
Man day(s) 2 2 3
MM / YYYY 12/16 12/17 10/18
Functions/ Areas / Site
  
Leadership
  
A resource assigned by top
management, the responsibility
and authority for 5.3 (a) to (e)
  
Planning / Risks and Opportunities
 
Requirements for products and
services
  
Design & development of products
and services
 
Control of externally
provided processes, products
and services
  
Production and Service provision
  
Performance Evaluation /
Monitoring and Measuring
resources
 
HR related processes

  
Management Review
QMS Documented Information &   
Changes
Internal Audits   
Complaints Management   
Previous NCR & Corrective Actions   
Use of BSCIC Logo & Marks   
Re-assessment (Tick ) 
Legal (EMS & OHSAS specific)

Notice: 1. Fill the areas as per the client activities and processes. Mandatory fields are already mentioned.
2. Assessor to Pl.  in boxes indicating a full plan. This is required to be updated upon each Surveillance
Assessment.
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 Registration Assessment Report Acceptance
The onsite Registration Assessment 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 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 assessment report’s contents
Signed for & on behalf of BSCIC Signed for on behalf of the client
Name: Name:
Date: Date:
Exercise 19 Audit Follow-up NC Closures Group Exercise – 20 Minutes for preparation
Minutes for reviewing & decision making
10minutes for tutor feedback
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

Environment for the Infrastructure 7.1.3, 7.1.4 and 7.1.5
operation of processes and & Calibration [A]

Monitoring and Measuring
Resources
A
DETAILS OF NON-CONFORMITY U
Photometer No. ABC which was installed in the reading area of library of XYZ college
was not verified for being working since past 6 months. Also, a stack of book was D
blocking the window of library. Library was found apparently evident of lacking proper I
light. On asking the admin staff for calibration records they said that they are T
not available. O
Requirement of the standard:
7.1.3 The organization shall determine, provide and maintain the infrastructure R
necessary for the operation of its processes and to achieve conformity of products and
services.
7.1.4 The organization shall determine, provide and maintain the environment
necessary for the operation of its processes and to achieve conformity of products and
services.
7.1.5.2 When measurement traceability is a requirement, or is considered by the
organization to be an essential part of providing confidence in the validity of
measurement results, measuring equipment shall be:
a) calibrated or verified, or both, at specified intervals, or prior to use, against
measurement standards traceable to international or national measurement
standards; when no such standards exist, the basis used for calibration or
verification shall be retained as documented information
AUDITOR : DATE : 22nd January 2016
NAME : ABC SIGN
ROOT CAUSE PROPOSED ACTION
Upon interviewing the librarian, she said that Books will be removed from the area [B]
she has not been trained upon the functioning in front of the window and librarian A
of Photometer to check the amount of light. will be trained upon the functioning U
of photometer to check the amount D
She had kept the stack in front of window since of light. I
those were old edition books and needed to be Target Date: 30 Jan 2016 T
kept separately. Responsibility : Librarian and Co- E
coordinator admin E
The students were comfortable with the amount
of light and never complained, they forgot to do
so, and librarian said that she is not aware of
the functioning.
ACTION TAKEN
Books have been removed from the area in front of the window and librarian has
been trained upon the functioning of photometer to check the amount of light.
VERIFICATION OF ACTION TAKEN – □ Closed □Not Closed [C]

A
Closed as Books have been removed from the area and librarian has been trained upon U
D
the functioning of photometer to check the amount of light. I
T
O
R


Designing Records of Designing 8.3.2 (a)
[A]
DETAILS OF NON-CONFORMITY
The records for the Design Plan of Base Transceiver Station # 82 does not mention the
no. of days required for designing and installing the BTS # 82. A
U
Requirement of the standard: D
8.3.2 Design and development planning I
In determining the stages and controls for design and development, the organization T
shall consider: O
a) the nature, duration and complexity of the design and development activities R
NAME : XYZ SIGN
ROOT CAUSE: PROPOSED ACTION:
It is difficult to state Expert advice upon BTS designing [B]
will be taken and duration will be A
analyzed and included in the U
design plan. D
ACTION TAKEN I
T
After much analysis the management concluded it is difficult to analyze as it depends E
upon various factors. E
VERIFICATION OF ACTION TAKEN – □ Closed □ Not Closed [C]

A
U
D
Not Closed I
T
O
R


Human Resources Determining the effectiveness 7.2 [A]
of the training conducted
DETAILS OF NON-CONFORMITY
The induction training for five new information security analyst of XYZ BACKGROUND VERIFICATION PVT. LTD. A
Is evidenced and found up to the mark, however no evidence was found to verify effectiveness of the same. U
D
Requirement of the standard: I
7.2 Competence T
The organization shall: O
c) where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the
actions taken; R
NAME : ABC SIGN
ROOT CAUSE PROPOSED ACTION
The information security analyst recruited were highly The information security analyst recruited will [B]
experienced and post the induction training their feedback be put forward to a questionnaire designed by A
indicated that they are very confident upon grasping the the Top Management with an intention to U
concepts taught in the training and ensure a very good check the effectiveness of the induction D
performance. This was accepted and no need for evaluating training. It has been understood that I
the effectiveness of the induction training was felt. recruiting highly experienced doesn’t mean T
that there is no need to check the E
knowledge grasped during any training. E
ACTION TAKEN
The procedure for evaluating the effectiveness for training has been modified and re-issued and in future
these would be applicable. This procedure is enclosed for reference:
A formal questionnaire consisting of 20 MCQs shall need to be answered post the induction training
conducted irrespective of the knowledge and skills of the people hired. Scoring a minimum of 70 % in the
questionnaire will indicate effective grasping of the induction training.
VERIFICATION OF ACTION TAKEN – □Closed □ Not Closed [C]

A
U
D
Closed as induction training conducted irrespective of the knowledge and skills of the people hired I
T
O
R


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ISO 9001:2015 Auditor/ Lead Auditor Training Course

Venue of the Course: Online City: Thrissur Kerala Country: India

Participant Name (IN CAPITALS) : SUJITH PALLIKARA PUSHPAKARAN Signature:

:Instructions for Participants:

 Be attentive and be present on all days. All modules have to be attended;

Issue 2, Rev.02 Apr 2016 Page 1

Exercise 1 Introduction of Participants

YOUR PARTNER NAME : Mr.Prakash Padh

Knowledge of ISO 9001:2015 :

Any I/II/III Party Audit Experience:

Objective of attending this course:

Expectations from the course:

Any additional Information

Issue 2, Rev.02 Apr 2016 Page 2

Terms & Definitions pertaining to Quality

# Mapping Quality # Quality Term

Issue 2, Rev.02 Apr 2016 Page 3

Exercise 3 Mapping Management Principles Exercise – 20 Minutes

1. Customer Focus 2. Leadership 3. Engagement of people 4. Process Approach

Issue 2, Rev.02 Apr 2016 Page 4

Exercise 4 Process Approach Group Exercise – 30 Minutes

INPUTS BOTTLING OPERATION LINE OUTPUTS

MONITORING & MEASUREMENTS

INPUTS Resources & Process OUTPUTS Effectiveness &

Issue 2, Rev.02 Apr 2016 Page 5

Exercise 5 Documentation – Stage 1 audit

# Issue Apex Document Standard

4 Objectives are not quantified Page 11 6.2.1

5 Auditors impartially/independency are not mentioned in the Page 22 Cl 9.2

Note If more points, use backside of the page

Exercise 6 Documentation – Stage 1 audit Group Exercise- 45 minutes

Issue 2, Rev.02 Apr 2016 Page 6

# Issue Apex Documented Standard

No clarity on the sequence and interactions of the process Page 7 4.4

Issue 2, Rev.02 Apr 2016 Page 7

Note If more points, use backside of the page

Exercise 7 Documentation – Stage 1 audit Group Exercise- 45 minutes

# Issue Apex Document Standar

3 Documentation or reference to documentation for policy not available. Page 9 5.2.2

5 No Clarity on responsibilities and authorities as the annex is missing Page 9 5.3

Issue 2, Rev.02 Apr 2016 Page 8

Exercise 8 Group Exercise- 45 minutes

# Issue Apex Standard

1 Quality Objectives with Quantification not seen Page 1 6.2.1

FMEA (Failure Mode Effect Analysis) PROCEDURES

Issue 2, Rev.02 Apr 2016 Page 9

Exercise 9 Group Exercise- 45 minutes

# Issue Apex Document Standard

1 Evaluation of Training not clear Page 11 7.2

Issue 2, Rev.02 Apr 2016 Page 10

Exercise 10 Documentation – Stage 1 audit Group Exercise- 45 minutes

# Issue Apex Document Standard

1 Installation by outside partner not covered Page 15 CL 8.1

Issue 2, Rev.02 Apr 2016 Page 11

Exercise 11 Documentation – Stage 1 audit Group Exercise- 45 minutes

# Issue Apex Standard

1 Documented information of monitoring and measurement not clear Page 21 Cl 9.1.1

4 Clarity on Auditor independence lacking Page 22 Cl 9.2

5 MRM doesn’t cover external provider performance Page 22 Cl9.3.2

Issue 2, Rev.02 Apr 2016 Page 10

Exercise 12 Group Exercise- 45 minutes

# Issue Apex Document Standard