Internal Audit NC Real Examples

(Objective Evidence has been changed without changing the intent to maintain the confidentiality)

No. Chapter

Audit Process Description of non-conformity

Basis

1 9.1.2 Customer Non-Conformity:

satisfaction
Process of customer score card analysis is not effectively deployed.

Standard:

The monitoring shall include the review of customer performance data including
online

customer portals and customer scorecards, where provided.

Evidence:

In case of customer score card received from HMCL, Maruti, TVS (April 18 to Oct
18) less score received against target, however no analysis evident for the same.

2 8.5.1.6 Production Non-Conformity:

Process
Process of tooling management is not effectively deployed.

Standard:

The organization shall establish and implement …. Tool identification, such as

serial or asset number; the status, such as production, repair or disposal;
ownership; and location.

Evidence:

In tool / die room – die was not kept as per defined location also some of
discarded dies lying on die rack.

Also no status of running die evident.

3 7.2 HR Process Non-Conformity:

Competency process was not effectively deployed

Standard:

The organization shall…. Where applicable, take action to acquire the necessary
competence, and evaluate the effectiveness of the action taken.

Evidence:

Training Effectiveness evaluation was not done for Mr. Vikas Puri for Calibration
training which was conducted on 18th Nov 18
 Internal Audit NC Real Examples
(Objective Evidence has been changed without changing the intent to maintain the confidentiality)

No. Chapter

Audit Process Description of non-conformity

Basis

4 8.5.1.5 Maintenance Non-Conformity:

Total productive maintenance was not effectively implemented

Standard:

The organization shall develop' implement, and maintain a documented total

productive maintenance

system…. Regular review of maintenance plan and objectives ……… Availability of

replacement parts ….. periodic overhaul

Evidence:

On 22nd March 2019 Grinding machine was under breakdown for upper gear box
tooth broker for 10 hrs. and 15 min but no root cause and corrective action plan
is evident for the same.,

Physical stock of critical spare of bearing 8768 required stock is 6 no’s min but
actual observed stock is 5 nos.

Also recording of periodic overhaul not evident.

5 8.5.6.1 Production Non-Conformity:

Process
Process of change control not effective.

Standard:

The organization shall retain documented information describing the results of

review of change

Evidence:

For Customer complaint from TVS Mootrs on dated 25-04-2016,Part name MMC
rebound /080009-940 regarding Burr ,corrective action taken to change the
process method from Straight cutting to Rotary cutting at coiling machine, but
there is no evidence of change control found for implementing above change,
internal PCN approval for change implementation not available as per internal
work instructions for 4M change control management standard
IATF/SOP/17,rev.01,20-02-2019.change control steps as per internal documented
procedure IATF/SOP/20 not followed.
 Internal Audit NC Real Examples
(Objective Evidence has been changed without changing the intent to maintain the confidentiality)

No. Chapter

Audit Process Description of non-conformity

Basis

6 8.4.2.4 Purchase Non-Conformity:

Process
Process of Supplier Evaluation is not effective.

Standard:

At a minimum, the following supplier performance indicators shall be monitored:

………. f) dealer returns, warranty, field actions, and recalls.

Evidence:

Following discrepancies found in the supplier evaluation method:

 Criteria of evaluating monthly quality & Delivery performance of

suppliers does not include Customer complaints due to supplier
material, Customer line Disruptions field returns, line stoppages &
Premium freight.
 Supplier ratings not monitored for Job work suppliers i.e. M/s Krishan
Engineers & Vaishno Engineering
7 7.1.5.1.1 Calibration Non-Conformity:

Process of measurement system analysis study is not effective deployed.

Standard:

Clause number 7.1.5.1.1 states that Statistical studies shall be conducted to

analyze the variation present in the results of each type of inspection,
measurement, and test equipment system identified in the control plan.

Evidence:

MSA Study done for Gauge no. MPC-MM-05 (digital vernier caliper) on
03/05/2017 having Equipment variation of 37.36 % and GRR is 0.92 % but there is
no software validation evident for Excel sheet F-QA-18
 Internal Audit NC Real Examples
(Objective Evidence has been changed without changing the intent to maintain the confidentiality)

No. Chapter

Audit Process Description of non-conformity

Basis

8 7.2.4 Procurement Non-Conformity:

Second-party auditor competency is not fully effective

Standard:

The organization shall demonstrate the competence of the auditors undertaking

the second-party audits. second-party auditors shall meet customer specific
requirements …… prepare audit reports, and close out audit findings.

Evidence:

Competency of Second-party auditor Kailash Singh not identified for applicable

core tool and manufacturing process requirements

09 4.2 Context of the Non-Conformity:

Organization
Identification and documentation of internal and external issue is not effective.

Standard:

The organization shall monitor & review information about these interested
parties & their relevant requirements

Evidence:

Action plan not identified for interested parties.

10 9.3.2.1 Performance Non-Conformity:

Evaluation
Management review system is not effectively deployed.

Standard:

Input to management review shall include……...customer score cards … review of

performance against maintenance objectives.

Evidence:

Review of customer-wise score cards not evident in the management review

dated 03.05.2019

And maintenance objectives like MTTR, MTBF & OEE not discussed.