ICM Certification (P) LTD.: STANDARD: - ISO 9001: 2015 Audit Report

ICM Certification (P) Ltd.
Plot No. 638/262, First Floor, Taaz pahadi, Near NTPC Jaitpur Road,
Badarpur, New Delhi 110044. India
Email:- [email protected] URL:- www.icmcertification.com
STANDARD: - ISO 9001: 2015

AUDIT REPORT
ISO 9001 AUDIT PLANNING
Client’s Information
Company Name: PEAREY LALL & SONS (E.P.) PVT. LTD.
Address: 9th Milestone G.T. Road, Mohan Nagar , Sahibabad, Uttar Pradesh, 2001007
Contact Person:
Mr. Harkesh Kumar
Phone No.
Official Detail : [email protected]
Total Man days for Stage 1 & 2 .A.A/S.A/R.A

Proposed Team 1. 2. . 3.
Does conflict of interest exist? For 1 Yes / No 2 Yes / No 3 Yes / No

Book audit, send letter, confirm team
Date booked for audit DD/MM/YY
Page 1 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
ISO 9001 AUDIT Report

S tage – 1 If i t is on site (other wi se opening meeting may be dr opped) Wri te Com ment Covered Y es /No.
 Openi ng m eeti ng, safety br iefi ng

 Sc ope, s tandar ds /c odes
 Client locati on & Site spec ific c ondi ti ons

 Si gnific ant aspec ts
 Inter nal audi ts
 M anagem ent r evi ews/meeti ngs
 Obj ec ti ves
 Regulator y aspec ts and complianc e
 Check Detail s on A pplic ation & file Cov er ed s taff number s
 Cor e process
 As soci ated Risk s
 Check adequac y of r es ourc es for stage 2
 Pr epar edness for s tage- 2
 Ex clusi ons
S tage – 2 On- Site
 Openi ng meeting, s afety bri efing

 Sc ope, s tandar ds /c odes/ Confor m the S tage 1 N.C.
 Use of logo/adv er ti si ng (i f appli cabl e)
 Las t exter nal audit report (i f appli cabl e)
 Inter nal audi ts
 M anagem ent r evi ews/meeti ngs
 Com pl ai nts, Cor rectiv e ac ti on
 Doc um ent c ontr ol , r ec or ds
 Des ign & Dev el opm ent
 E ffec ti venes s in ac hi ev ing obj ec ti ves
 Conti nual improvement/Pr ev entiv e action
 A n i nter vi ew with respons ible managem ent
 Contr act Rev iew
 P ur chas ing
 A naly sis of Data
 Com petence and Tr ai ni ng

 Claus es / oper ati ons audi ted (m us t be for all i nitial audi ts )
 Closi ng m eeti ng, dr aft r epor t (if requir ed)

Page 2 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
About this Report

Where the documented system does not meet the requirements of the standard this condition of certification
or nonconformance is identified in bold, prefaced by the letter C. Alternatively, the Non-Conformance
Report are listed and attached to this report. Some action is required to bring the system up to the required
level before the audit can be signed off as completed. Please provide evidence that action has been taken
for each Corrective Action Request.
The assessment was carried out in accordance with the ICM Certification (P) Ltd. standard operational
procedures which comply with the requirements of ISO/IEC 17021:2011. The assessment and this report
relate only to the scope statement written above. This report may not be reproduced, except in full. The
report is not intended as a guarantee, that any product or service will comply with the requirements of the
Standard or with any other regulatory requirements. While some comments may be made relating to legal
requirements such as health and safety, this report is not an exhaustive report on such compliance, unless
they are part of the scope statement.
Disclosure
“We confirm that information and opinions were given to you in connection with your examination of the
Management System. We acknowledge as top management that this is our responsibility for the Management
System, results and audit report, which you have prepared for the organization. All the records have been
made available to you for the purpose of your audit and all the transactions undertaken by the organization
have been properly reflected and recorded in the Management System. All other records and related
information have been made available to you.
We also confirm that there are no material contingents, major customer dis-satisfaction issues or potential
liabilities under claims or pending or threatening litigation. Disclosure has been made in the audit report for
all matters necessary for the audit report to show a true and fair view of the organization’s Management
System state of affairs and results”.
SIGNED: ____________________________________
Company Representative
Authorized Signature
Page 3 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
Attendance Sheet
Organization:. Ref. No
Date of Audit: Verification

Phone No.
Opening Closing
No. Name Title (Position) E-mail
Meeting Meeting
Harkeshkumar
1. Mr. Harkesh Kumar DGM- QA
@plsindia.com
ppsharma@plsi
2. Mr. Pawan Sharma
ndia.com
imranhusain@p
3. Mr. Imran Husain
lsindia.com
dpant@plsindia
4. Mr. Durgesh Pant
.com
Mkuttan@plsin
5. Mr. M Kuttan
dia.com
6.
7.
8.
9.
10.
11.
12.
13.
Page 4 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
ICM Certification (P) Limited

ASSESSMENT REPORT
Client Name: - PEAREY LALL & SONS (E.P.) PVT. LTD.
Address: - 9th Milestone G.T. Road, Mohan Nagar , Sahibabad, Uttar Pradesh, 2001007
Scope: -
Any change in the Scope: No
Amended scope verified by Auditor
This report is based on random samples and therefore not every aspect of the organization’s activities has
necessarily been assessed. Hence where no non-conformities are reported it does not follow that none exist.
Signed on behalf of Approved

______________ ______________________________
Lead Auditor Organization Representative
Date Signature
ICM Certification (P) Limited

Page 5 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
VERIFICATION OF DOCUMENTATION & RCORDS AS PER STD REQUIREMENT

(C- Conformity, NC-Non Conformity, O-Observation)
Clause Requirements C/NC/O Document Verification detail with statement of

no. Conformity
4.0 CONTEST OF
ORGANISATION
4.1 UNDERSTANDING THE
ORGANISATION (SWOT)
-Has the organization
determined external and internal
issues?
-Has the organization monitored
& reviewed the issues?
4.2 -Understanding the needs &
expectations of parties?
-who are the relevant &
interested parties?
-what are the requirements
identified?
-are these requirements
monitored & reviewed ?
4.3 DTEREMINING THE
SCOPE OF QMS
-Is the documented scope
contain type of
product/services?
-Is there any non applicable
requirement of standard?
-Is justification of non
applicability appropriate?
4.4 QMS & ITS PROCESSES
-are the processes of QMS
identified? (with input, output,
KPI & onus)
-Is the sequence & interaction
given?
-Are the risks & opportunities
identified?
-Is the effectiveness of these
processes monitored?
5.0 LEADERSHIP
Page 6 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
-Is quality policy documented & C Yes, quality policy and quality objective is properly
communicated? documented and properly communicated or also visible
-Are the objectives framed? on the different areas of shop floors.
-Are all resources needed Also are the responsibilities are defined or documented
identified & provided? in the quality manual.
-Are all statutory & regulatory
requirements met?
-Are role & responsibilities
defined, documented &
communicated?
5.1 CUSTOMER FOCUS
-Are the customers obligatory,
risk requirement identified &
met?
5.2 POLICY
-Is the documented policy C Yes, quality policy and quality objective is properly
appropriate to the context & documented and properly communicated or also visible
purpose of the organization? on the different areas of shop floors.
-Does it provide framework for
the objectives?
-Does it include commitment to
comply the requirements and
continual improvements?
-How is it communicated
internally / externally?
5.3 ORGANISATION ROLE,
RESPONSIBILITY &
AUTHORITIES
-To whom responsibility & C All the responsibilities are defined or documented in
authority assigned for the quality manual.
implementation, improvement &
reporting the effectiveness of
QMS?
6.0 PLANNING
6.1 ACTION TO ADDRESS
RISKS & OPPORTUNITIES
-Is evaluation of effectiveness of
action risk monitored?
6.2 QUALITY OBJECTIVE &
PLANNING TO ACHIEVE
THEM
-Are the documented objectives
consistent with policy
Page 7 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
measurable, monitored,
communicated & updated?
-Is the action plan prepared to
achieve targets?
6.3 PLANNING OF CHANGE
-Is the purpose, availability of
resource, reallocation of
responsibility & integrity of
QMS considered in any change
in QMS?
7.0 SUPPORT
7.1 RESOURCES
7.1.1 -are the capabilities &
constraints on existing resources
considered?
-What needs to be obtained from
external providers?
7.1.2 PEOPLE
-Is the competent person
provided?
7.1.3 INFRASTRUCTURE
-Is the required infrastructure
provided?
7.1.4 ENVIRONMENT
-Is the suitable environment of
production provided?
7.1.5 MONITORING &
MEASURING RESORCE
-Is the fitness of monitoring &
measuring resource maintained?
-Is the record of fitness
maintained?
Is the resource identified in
order to determine their status ?
7.1.6 ORGANISATIONAL
KNOWLEDGE
-Is the knowledge necessary for
operation &of its processes & to
achieve the conformity of the
product identified?
7.2 COMPETENCY
-Is the competency required
identified?
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ICMC-F052 Rev 00.01 (15 Oct 2015)
-Is the competency available

identified?
-Is the training plan prepared to
fill the gap in competency?
-Is the training record
maintained with its
effectiveness?
7.3 AWARENESS
-Are the employees aware about C
quality policy, objectives, QMS
effectiveness & non
conformities?
7.4 COMMUNICATION
-Are what, when, whom, how,
who identified for
communication about QMS?
7.5 DOCUMENTED
INFORMATION
-Is there any list of documents C Yes, Master list of all documents are available
internal/external?
-How are documents identifiable
reviewed& approved?
-Is there any list of record?
-How is distribution, assess ,
retention , storage, retrieval ,
disposal of record maintained?
8.0 OPERATION
8.1 Operational planning 7
control
-Is the quality plan prepared? C Yes, Quality plan and work instruction is prepared and
-are the process control well maintained , all the critical parameters are
parameters identified identified
_are work instructions prepared?
8.2 Requirement for product

/services
8.2.1 Customer communication

-How providing product related
information?
-How handling customer
inquiries?
-How getting customer feed
Page 9 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
-back /complaint?
-Has contingency plan
prepared ?
8.2.2 Determining the requirements
for product/services
-Has customer requirements
identified?
-Has applicable statutory &
regulatory requirements
identified?
8.2.3 Review of requirements
-Are the stated, necessary,
specified & regulatory
requirements reviewed?
-Has record of review retained?
-Has the record of any change
retained ?
8.3 Design & Development
8.3.2 Planning
-Has stages & control of design
& development identified?
-Have records of it retained?
8.3.3 Input
-Has functional & requirement
identified?
-Is there any similar design
identified?
-Has statutory & regulatory -*z-
*requirements, standards, code
of practice, FNEA identified?
-Is the record of input retained?
8.3.4 Control
-Are designs reviewed,
verification & validation done?
-Is the record retained?
8.3.5 Design output
-Does out needs input
requirement?
-Does record of output retained?
8.3.6 Design & development change
-Does record of change, review,
authorization, preventive action
retained?
Page 10 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
8.4.1 Control of Externally

provided Processes, product &
services
-Are the outsourced processes,
product & services identified?
-Is the criteria for the evaluation,
selection, monitoring of
performance, re-evaluation for
external provider identified?
-Is the record of evaluation
retained?
8.4.2 Type & extent of Control
-What type of control over the
outsource provider?
8.4.3 Information for external
provider
-What type of information given
to external provider?
8.5 Production & Services
Provision
8.5.1 Control of Production &
Services & Production
-Are the characteristics & Yes, the competent personnel available for each and
specification documented? every processes.
-Are the monitoring &
measurement resources
available?
-Are the suitable infrastructure
& environment available?
-Are the competent personnel
available?
8.5.2 Identification & Traceability
-How is test status of the
product identified?
-How is traceability maintained?
-Is the record of traceability
maintained?
8.5.3 Properties belonging to
customer or external provider
-What are the properties
belonging to customer or
external providers?
-Does the record of damaged
Page 11 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
property retained?
8.5.4 Reservation
- Is there any specific
reservation requirement from
storage to transportation?
8.5.5 Post-delivery activities
-What type of post-delivery
activities identified?
8.5.6 Control of Change
-Are the changes in production
& services production recorded
or reviewed & authorized
persons for release & evidence
of conformity?
8.6 Release of product / services
-Are the products / services
released by authorized person?
-Is the record maintained?
8.7 Control of Non- confirming
output
-What action is taken to non-
conforming output?
-Is the record of non-conforming
output & actions retained?
-Is the authority identified with
non-conforming output?
9.0 Performance Evaluation
9.1 Monitoring, Measurement,
Analysis & Evaluation
9.1.1 -Are what, when, how of
monitoring of QMS
effectiveness identified?
-Is the result of effectiveness
retained?
9.1.2 Customer Satisfaction
-Is the customer satisfaction
identified?
9.1.3 Analysis & Evaluation
-Is the product & services,
customer satisfaction index,
QMS effectiveness, planning,
implementation, actions for
risks/opportunities, performance
Page 12 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
of external providers evaluated?

-Are the need for improvement
identified?
9.2 Internal Audit
- Is the responsibility to
conduct internal audit
identified?
- -Is the plan scheduled
auditors identified?
- Is the record for the
audit maintained?
9.3 Management review
-Is the management review
record maintained?
10 Improvement
-What are the action taken for
improvement?
10.2 Non conformity & Corrective
action
- What is the status of
corrective actions taken?
- Is the record of
corrective action
maintained
10.3 Continual improvement
-Is the record of suitability,
adequacy & effectiveness of the
quality management
maintained?
Page 13 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
Summary of the Audit Team

Audited Firm:
Address
Standard: ISO 9001:2015
A. Stage of audit:
Initial Certification
Follow Up Audit
Surveillance Cum Transfer
Modification
Renewal
Upgrade From
Other
B. Recommendation:
Issuance of Certificate
Refusal of the Certificate
Follow Up audit
modification of the current certificate (registration no. and expiration date remain unchanged)
other :
C. Reason:
The quality system complies with the requirements of the reference standard: Congratulations, on the
basis of the above summary, Lead Auditor is pleased to put forward a recommendation for issuance of
certificate.
The quality system complies with the requirements of the reference standard with exception of minor
NC: Congratulations, Lead Auditor is pleased to put forward a recommendation for registration of Organization
upon off-site verification of closure of all issues, the NC closure need to be submitted along with the Corrective
Action Plan and objective evidence with 15 days from the stage 2 audit but not later than60 days from the date
of Stage 2 audit. If all non-conformances are not closed within 60 days, a full reassessment may be required.
Evidence of major non conformities: Organization is not recommended for next assessment at this time. A
follow-up assessment will be scheduled to allow for on-site verification and closure of all issues within 60 days
from the date of Stage 2 audit. If all non-conformances are not closed within 60 days, a full reassessment may
be required.
Not Recommended: Organization is not recommended for certification, a Stage 2 audit will be required. To
progress your application for registration, please respond to each non-conformances, with a plan showing
proposed actions, timescales and responsibilities for resolution. The organization should consider the root
cause of the non-conformance and the potential for related issues in other parts of your system.
Proposed Audit Date for Surveillance Audit (mm/dd/yy)
Sign Off : Date
ICM Report Submission Client Acceptance for Report
Name of Auditor Name:
Signature: Sign
Designation:
Page 14 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
NON CONFORMANCE/ OBSERVATION

NON CONFORMANCE/ OBSERVATION:
Organization PEAREY LALL & SONS (E.P.) PVT. LTD. Date:
Customer Issued by (Signature)

Classified By MAJOR MINOR
Assessment Team Department/Area
As: OPPORTUNITY
Standards Clause
Verification Assessment is: needed (refer to “Plan of Verification Visit”)

RESPONSE/ ACTION PLAN TO NONCONFORMITY BY CUSTOMER:
The following action has been taken or plan devised to correct the non-conformance
Name / Title _____________________________________
Projected completion date: Date of this response:

CLOSURE OF NON-CONFORMITY RECORD
Response Acceptable Yes or No
If No, Comment
Verified By______________________
Note: Effectiveness of corrective/preventive action(s) will be verified next assessment.
Page 15 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
Client Feedback Form

Your feedback is important to us, so that we may seek to improve our services.
If you have any comments that you would like to make about the services you have received, please fill in
this form and send it back to us using the details below
Company Name PEAREY LALL & SONS (E.P.) PVT. LTD.
Contact Person Mr. Harkesh Kumar
Date of Feedback
5 = Very Pleased 4 = Satisfied 3 = Moderately Satisfied 2 = Dissatisfied 1 = Poor
Availability and Service 5 4 3 2 1
1. How satisfied were you with the ease by which you were able to contact us?
2. How satisfied were you with the staff and the way they handled your query?
Sales
1. How satisfied were you with the speed of quotation, accuracy & completeness?
2. How satisfied are you with the value for money of our services?
Auditing
1. How satisfied were you with the technical competences and ability of your
evaluator/Auditor?
2. How satisfied were you with structure and planning of the audit?
3. How satisfied were you with the questioning technique and interpersonal
skills?
4. How satisfied were you with the evaluators/Auditors awareness of your
industry and its technology?
Reporting & Certificates
1. How satisfied are you with our speed of reporting?
2. How satisfied are you with the layout and contents of our reports?
3. How satisfied are you with the layout and content of our invoices?
4. How satisfied are you with the content of our certificates?
5. How satisfied were you with the time taken to issue your certificates?
Overall
1. How satisfied are you with us overall?
Comments or Suggestions
Please add any further comments or suggestions for improvement:
Would you like someone from ICM Certification Pvt. Ltd. to contact you to discuss any of the above?
Yes / No
Please return this form to ICM Certification Pvt. Ltd.,
Page 16 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
Administration
Report completed – including invoice,
manuals returned Yes / No
Conditions cleared (if applicable) NA / Yes date __DD_/__MM_/_YY_
File purged of old clearance information,

Yes
letters on spike
Scope / terms / file cover updated NA / Yes
Is a new certificate required? Yes / No
Update Database No Change/Change as follows:
Clearance letter sent Yes / No date______/______/_______
Job invoiced/database updated Yes date_______/_______/_______

T.C. Head: I confirm that I have reviewed Signed:
the records, the system of ICMC has been Dated
followed and certification will be:
(Circle one) Granted
Continued Suspended
Withdrawn
Name of T.C. Signed:

1.
2.
3.
Page 17 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)
ICMC CLEARANCE SHEET

ISO 9001:2015
To be filled by client in block letters in own hand writing.
1. NAME OF THE FIRM:-
2. ADDRESS:-
3. CONTACT NUMBER: -
4. SCOPE:-
5. STANDARD :-
6. PROCESS IN SHORT: -
7. Name of employee & owners:-
S. No. Name of employees & Designation Department Education Experience

owners Qualification
1.
2.
3.
4.
5.
6.
7.
o Registration of Certificate o Signature on Master Agreement

o Visiting Card o Competency sheet
o Address Proof o Skill Matrix
o Brochure / Pamphlet o Internal Audit / MRM
o Total number of Employee o Process/activity related Document
Page 18 of 18
ICMC-F052 Rev 00.01 (15 Oct 2015)

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ICM Certification (P) Ltd.

STANDARD: - ISO 9001: 2015

Company Name: PEAREY LALL & SONS (E.P.) PVT. LTD.

Official Detail : [email protected]

Total Man days for Stage 1 & 2 .A.A/S.A/R.A

Does conflict of interest exist? For 1 Yes / No 2 Yes / No 3 Yes / No

Date booked for audit DD/MM/YY

ISO 9001 AUDIT Report

 Openi ng m eeti ng, safety br iefi ng

 Client locati on & Site spec ific c ondi ti ons

S tage – 2 On- Site

 Openi ng meeting, s afety bri efing

 Com petence and Tr ai ni ng

 Closi ng m eeti ng, dr aft r epor t (if requir ed)

About this Report