Download - CERTIFICATION AUDIT REPORT - Southern Opto
SOUTHERN OPTOELECTRONICS DEVICES P.LTD
CERTIFICATION AUDIT REPORT
4372044
Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
on behalf of BVC Holding SAS - UK Branch (Address: 5th Floor,
66 Prescot Street, London, E18HG, United Kingdom)
Recertification Audit / ISO 9001:2015
Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
This report is confidential and distribution is limited to the audit team, the company and the Bureau Veritas Certification office.
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
INDEX
1 GENERAL INFORMATION
1.1 ORGANIZATION INFORMATION
1.2 CONTACT INFORMATION
2 AUDIT INFORMATION
2.1 AUDIT STANDARDS
2.2 SCOPE OF CERTIFICATION
2.3 AUDITOR INFORMATION
2.4 AUDIT SCOPE
- Audit Objectives
- Audit Plan
- General & legal compliance requirements
3 AUDIT PROCESS
3.1 AUDITOR NOTES / SIGNIFICANT AUDIT TRAILS
3.2 DOCUMENT REVIEW
3.3 AUDIT SUMMARY REPORT PER STANDARD
3.4 NON CONFORMITY REPORT
4 PERFORMANCE TO DATE
5 EXECUTIVE AUDIT SUMMARY
5.1 AUDIT CONCLUSIONS
5.2 SUMMARY OF AUDIT FINDINGS
5.3 MANAGEMENT SYSTEM EFFECTIVENESS
5.4 BEST PRACTICES
5.5 UNRESOLVED POINTS ON DIVERGING OPINIONS
6 TEAM LEADER RECOMMENDATIONS
7 SURVEILLANCE PLAN
8 AUDIT PROGRAMME
9 NEXT VISIT AUDIT PLAN
10 Certificate information
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
1 GENERAL INFORMATION
1.1 ORGANIZATION INFORMATION
Organization Name SOUTHERN OPTOELECTRONICS DEVICES P.LTD
Address No.104, Venkateshpuram , Arabic College Post
City BANGALORE
Postal Code 560045
County/State -
Country India
Phone Nº +9108025476627 Fax Nº
Contract nº 4372044
1.2 CONTACT INFORMATION
Contact Name Prakash Savanur
Email [email protected]
Phone Nº +9108025476627
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
2 AUDIT INFORMATION
2.1 AUDIT STANDARDS
Audit Standard(s) ISO 9001:2015
Language Scope of Certification
2.2 SCOPE OF CERTIFICATION
Site Name Head
Office
Standard
EN MANUFACTURE OF LED LAMPS, LED
DISPLAYS, POPULATED PCB ASSEMBLIES
AND LED LIGHTING PRODUCTS
HO ✓ISO 9001:2015
Nº of Sites 1
Nº of Employees 85
Head Office HO
If this is a multi-site audit an Appendix listing all the relevant sites and/or remote locations has been established and attached to the
audit report.
Recertification AuditType
Audit Start Date 11-02-2019 Audit End Date 13-02-2019 Duration 3
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
2.3 AUDITOR INFORMATION
Team Leader Team MembersInitials Initials
NAGARAJU THEJASWINI THN-IN T. V. VARDARAJAN TVV-IN
PRIYADARSANAN KAPPALLIL MADHAVAN PRK-IN
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
2.4 AUDIT SCOPE
1. To confirm that the management system conforms with all the requirements of the audit standard(s);
2. To confirm that the organization has effectively implemented its planned arrangements;
3. To confirm that the management system is capable of achieving the organization’s policies and objectives and
evaluation of the ability of the management system to ensure the client organization meets applicable statutory, regulatory
and contractual requirements;
4. If applicable to identify areas for potential improvement of the management system.
5. The purpose of the stage 2 audit is to evaluate the implementation, including effectiveness, of the client's management
system.
It shall include at least the following:
a) information and evidence about conformity to all requirements of the applicable management system standard or other
normative document;
b) performance monitoring, measuring, reporting and reviewing against key performance objectives and targets (consistent
with the expectations in the applicable management system standard or other normative document);
c) the client's management system and performance as regards legal compliance;
d) operational control of the client's processes;
e) internal auditing and management review;
f) management responsibility for the client's policies;
g) links between the normative requirements, policy, performance objectives and targets (consistent with the expectations
in the applicable management system standard or other normative document), any
applicable legal requirements, responsibilities, competence of personnel, operations, procedures, performance data and
internal audit findings and conclusions.
Audit Objectives
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Audit Plan
CommentAuditorProcessSite NameDate - Time
Activity
11-02-2019 - 09:30
Opening meeting
HO THN-IN,
TVV-IN,
PRK-IN
11-02-2019 - 10:00
Plant tour
HO THN-IN,
TVV-IN,
PRK-IN
11-02-2019 - 10:30
Audit
HO Top Management THN-IN,
TVV-IN,
PRK-IN
11-02-2019 - 11:00
Audit
HO Management Process THN-IN
11-02-2019 - 11:00
Audit
HO Production TVV-IN
11-02-2019 - 11:00
Audit
HO Stores & Despatch PRK-IN
11-02-2019 - 12:00
Audit
HO Purchase PRK-IN
11-02-2019 - 13:30
Lunch
HO THN-IN,
TVV-IN,
PRK-IN
11-02-2019 - 14:00
Audit
HO Quality Assurance TVV-IN
11-02-2019 - 14:00
Audit
HO Training THN-IN
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SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
CommentAuditorProcessSite NameDate - Time
Activity
11-02-2019 - 15:30
Audit
HO Maintenance THN-IN
11-02-2019 - 15:30
Audit
HO Marketing TVV-IN
11-02-2019 - 17:00
Auditor(s)
preparation for
closing meeting
HO THN-IN,
TVV-IN
11-02-2019 - 17:30
Closing meeting
HO THN-IN,
TVV-IN
13-02-2019 - 09:30
Reporting
HO THN-IN
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SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
08-03-2019Audit plan preparation date
Comment
Audit Plan is tentative.
General & legal compliance requirements
Refer Appendix-1
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
3 AUDIT PROCESS
3.1 AUDITOR NOTES / SIGNIFICANT AUDIT TRAILS
Mr. ANATHA KUMAR11-02-2019
DateAuditor ContactsProcess
PRIYADARSANAN
KAPPALLIL
MADHAVAN
Purchase
Standard
ISO
9001:2015
Notes
The process involves selection of vendors/suppliers, purchase of raw material and components, issuing of raw
material kits to external provider, outsourcing of assembly processes and receipt of final assemblies from the external
provider by the organization. The suppliers are selected on the basis of their capability to supply quality
materials/components within specified requirements of quality and delivery date. Existing suppliers are taken as
approved suppliers based on their past performance. Based on evaluation of samples supplied, the supplier is
approved. Supplier rating is being carried out on the external provider on a monthly basis as evidenced digitally.
Vendor Qualification is done on new vendors as per Doc Ref No. F/PURIOS Rev No.00 dated 03.02.2014.
The overall procedure followed is the Standard Operating Procedure for Store Process vide Doc Ref No. SOP/STR/08
Rev 3 Issue 2 dated 01.02.2019 and the Work Instruction Ref No. WI/STR/01-S2 Rev No.1 Issue 1 dated 28/5/2018 .It
was evidenced that Raw Materials are issued to the External Provider M/s Varidha, Mysore, by Work Order as
evidenced in Work order Ref No. VET/0081/2018-19 dated 31 Jan 2019. This external provider was selected as the
provider of ‘Wave Soldering Process’ after a series of trials culminating in validation of the process and freezing of its
operating parameters.
The organization ensures that externally provided products procured from overseas suppliers conform to
requirements in an indirect way by testing the final assembly product only. There is no test required to be done on
components at inward goods section as evidenced in Inspection Plan Ref No. WI/QA/02-S2 Rev 00 Issue No.1 dated
20/7/2015. However, controls are being applied on such externally provided products by ensuring that the components
are procured only from authorized dealers/manufacturers of the designated component manufacturer recommended by
the client. For example, for the item HBC Fuse TIA20, the client M/s Siemens Healthcare has recommended that the
procurement should be Fuses of GE ( Cooper Bussmann) make only. It was evidenced the items are actually being
procured from dealer M/s Kreatronix as per Invoice G181961241 dated 25 Jan 2019 for supply of Qty 760 numbers.
As per Sales order No. 212755910 dated 11.1.2018, M/s EATON who is the manufacturer of the GE/Cooper
Bussmann product has originally supplied Qty 360 numbers of the item to M/s Kreatronix.
The organization communicates to external providers, its requirements for processes and products by verbal
communication only and not by documented manner. However, it was verbally confirmed that the organization has so
far not determined/communicated to its external providers any requirements for competence, including any
qualification of persons carrying out outsourced processes, although there is no objective evidence, since all
communication is verbal. (Clause 7.2 under Training/HR refers).
QUALITY OBJECTIVES: There are two stated KPIs: i) Cost Reduction in K to be >150K/Qtr and ii)
Supplier rating should be minimum 80%. As per the KPI monitoring Sheet 2018-19 updated digitally every quarterly
basis, both KPIs are met.
INTERNAL AUDIT: The last IA was conducted on 12 Jan 2019 and one NC was recorded. Correction and Corrective
action has been taken.
Purchase Process is satisfactory.
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Mr. HANUMANTHARAYAPPA11-02-2019
DateAuditor ContactsProcess
PRIYADARSANAN
KAPPALLIL
MADHAVAN
Stores & Despatch
Standard
ISO
9001:2015
Notes
Description of process: GRN is received and the quantity of inward goods received is verified. A copy of GRN is sent
to Inwards Goods Inspection (QA) where quality assurance tests are conducted. Quarantine stores is used to keep
goods till QA tests are over. On completion of QA tests, goods are stored in Store-1 and Store-2.The location of
storage is determined as per Index Store-1 Rack dated 21.7.2018 and Store-1 Location Map dated 21.7.2018.The
storage is done as per evidenced in the Standard Operating Procedure for Stores Process Doc Ref No. SOP/STR/08
Rev 3 & Issue No.2 dated 01.02.2019. Inward goods are segregated into racks having three boxes A,B and C in each
rack. Finished goods are stored in FG Stores and are identified by their work order numbers displayed on their
packings with ink.
Bin cards are used to keep tally of the quantity of each item being issued as evidenced in Bin Card No.F/STR/03/S1
for Rack 1-A, Box-2. One Dispatch Register is maintained for recording the quantity of stores issued against each
work order as evidenced in Despatch Register No.63. Checked Work Order Traceability as per Register Reference
No.R/STR/103/S1 dated 16.8.2018 for Work Order No.WO-151 and Indent No.654. Traceability is maintained as
evidenced by recording of Quantity 45,000 SETS of the items PCB , LED ,Single pole Slide switches etc.,sent to
Assembly L-1,L-2,L-4 and L-6.
QUALITY OBJECTIVE: The KPI set for 2018-19 is that Stock not to exceed 0.5%.Stock assessment is done on first
day of every month and its trend is displayed digitally on a graph as evidenced in the graph for the current year
2018-19.The Quality Objective of Stock percentage to be within 0.5% is being met as evidenced from the recorded
values of Stock % for the months of the current year2018-19, which are as follows:-
April-0.41%; May-0.07%; June-0.14%; July-0.27%; Aug-0.21%; Sep-0.4%; Oct-0.30%; Nov-0.15%; Dec-0.03% and
Jan-0.4%.
INTERNAL AUDITS: Internal Audits are being conducted as per IA Schedule No. F/IQA/03 dated 26.10.2016 Rev 0
Issue 02 on four monthly basis. Last audit conducted on 11the and 12th of January 2019 with two reported NC.
Corrective action taken and NC closed. Audit Plan followed is as evidenced Ref Doc No. F/1QA/01 dated 26.10.2016.
Packing and Final Inspection are observed to be done as per Work Instruction Ref No. WI/QA/02-S2 Rev 00 Issue
No.1 dated 20/7/2015. Final Inspection is done as per the Inspection Plan and release of product is done after planned
arrangements are completed with evidence of conformity to acceptance criteria. Traceability to the person authorizing
the release is complied with as evidenced in the digitally signed Tax Invoice/ Bill of Sale No.0501/2018-2019 dated 31
Jan 2019 for supply of 10 Nos FG Filament Inverter PCB D781, 4 Nos FG Display and Key PCB D730 and, 7 Nos
FG Fluoroscopy Display PCB D806. The stores and dispatch process was found satisfactory.
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
MR. PERUMAL.RAJ.J.S11-02-2019
DateAuditor ContactsProcess
T. V. VARDARAJAN Marketing
Standard
ISO
9001:2015
Notes
Marketing receives customer enquiries review and determine the product requirement, procure order , handle
customer complaints and measure customer satisfaction
Audit sample
• Customer order no TTSSL/PO/2018-19/022 dtd 2-2-19 of m/s Trinity Technologies, Hubli for 3000 nos of LED
• Customer order no 4500191072 dtd 4-2-19 of m/s Godrej , Pondicherry for 400000nos of PCBs
Inquiry by email dtd 17-01-19
Quotation by e mail dtd 17-01-19
Feasibility review record vide form F/MK/01 dtd 17-1-19
Customer complaint register F/MKT/03 listed 9 complaints in the year 2018-19. Corrective action report dtd 7-1-19 for
a sample complaint from M/s Scientific Mes-Technik ltd, Indore regarding display failure in 100 nos and complaint
dtd 4-7-18 from m/s Incap regarding No glow in 10nos of LED , checked . Customer communication includes the
complaint resolution also
Customer satisfaction procedure SOP/MKT/05 dtd 25-1-18
Customer feed backs analysed and over all satisfaction level is determined. For 2016-17 it is 84 % and the same for
2017-18, it is 84.84%.
Overall process is satisfactory
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Mrs. MARY.A11-02-2019
DateAuditor ContactsProcess
T. V. VARDARAJAN Quality Assurance
Standard
ISO
9001:2015
Notes
The function is responsible for incoming, in-process and final product inspection. Calibration of test equipment
There is no Quality plan made
Sampling plan vide SOEPL/F/QA/09 dtd16-10-17
SOP QA 11 dtd 25-1-18
Audit sample
Incoming inspection of flux MCE#007 LRF dtd 1-2-19 , Qty 200 Litres and PVC vide inspection report dtd 2-2-19.
Twisted wires, green and yellow 50000 nos each dtd 24-01-19 vide inspection report dtd
However, there is no evidence of complying with the sampling plan that requires 32 litres to be sampled for lot of
200litres. Clause 8.1
In-process inspection report FT 128 dtd 9-2-19 of PCB assembly , There are 11 defects recorded I.e, 6 for soldering
short, 4 for pin hole , 1 for LED lift.
Final test report FT129 dtd 6-12-18 of PCB Qty 10 nos and the rejection log for the month Jan 2019. 70, 009 nos
foundn on conforming out of 1740290 nos inspected for 11 types of defects like LED Lift, diode reverse, without
switch/ fuse etc.
However corrective action not evident
Master list of calibration vide F/CAL/01 dtd 5-2-19 checked. There are 32 equipment listed with defined frequency and
source. Sampled the report of Digital multimeter SL NO 50459 vide report dtd 14-1-19 at Transcal.
The Quality objectives include FPY, Customer complaints etc. however no corrective action evident for the
complaints in April 18 is 3 against target of <1.
Overall process is satisfactory except the NC
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Mr. PANDYAN11-02-2019
DateAuditor ContactsProcess
T. V. VARDARAJAN Production
Standard
ISO
9001:2015
Notes
The process includes receipt of inputs like active components like Diodes, resisters, LED , switched , fuse etc and
stuff the, soldering the wires, inspection/ testing and packing .
Objectives and targets checked and noted there are 3objectives set
To achieve production of PCB/LED/DISPLAYS in lakh nos per month : 12,5 and 15 Actual in July 18 is 9.3 L
FPY of 97.5 % . Actual is okay
OEE of 80%. Actual in Nov 18 is 56 %
Action plan to achieve the targets not evident
Corrective actions for variance in achieving the target is not evident.
Risk and opportunity F/RSK/01 dtd 27-9-18 listing 4 risks and opportunities checked. However a mitigation plan for
the risks not evident
Production plan is based on the customer order and the sample for jan 19 checked. PCB is 16lakhs. However, similar
plan is not evident for other products. Actual production of PCB is 1590000 nos
Production planning can cover all products
Corrective actions for Variance between target and actual required
Audit Samples
• Work order no 139 dtd 16-1-19 for PCB Active +
• Work order no 13 dtd 29-12-18for LED
• Work order no 06 dtd 11-12-18 for Displays
Production controls checked vide the
Product description by a photograph
Work instruction WI/MFG/052 dtd 20-7-15
Work instruction WI/MFG/044 dtd 18-9-18 of stuffing thru-hole
Process log dtd 9-2-19
Final inspection report FT-129 dtd 18-1-19 of PCB
Disposition by QA
There are 3 operators engaged in lead soldering. Ms.Haseena 1032 Ms. Muskaan 2274and Ms. Saranya2295.
Competency related to soldering qualification is not evident clause 8.5.1
Validation of wave soldering process is checked vide report dtd 2-3-18 valid for 1 year. Method of validation and
criterion for validation is established.
Identification is by way of tagging the work order number on Packing slip
There are 19 KPI defined and monitored on monthly basis . few of the indicators include customer satisfaction, OTD,
Reworks etc
The bonding process of LED is outsourced to M/s. However control of out sourced process is not evident clause
8.4.2
Overall process is satisfactory except the NC
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Mr. Pandiyan11-02-2019
DateAuditor ContactsProcess
NAGARAJU
THEJASWINI
Maintenance
Standard
ISO
9001:2015
Notes
Risk and opportunities are determined
- Delay in assembly of the product due to machine breakdown
Objectives
Standard operating procedure for Maintenance process, SOP/MNT/10 Rev No 01 dtd 01.07.2017 Issue No 02 dtd
01.07.2017
Evidenced equipment List, F/MNT/01 Rev No 00 dtd 26.10.2016 that consist of Wave Soldering machine, Die bonding
display, Soldering station, manual wire bonder lamps, Power driven resistor cutting machine
Verified the break down activities for the below sample
(a) Equipment – Wave soldering machine
Breakdown dated – 22.01.2019
Break down hours – 1 hour
Break down for belt problem
Root cause – Bearing problem
Corrective action – Bearing maintenance included in preventive action plan
(b) Equipment - Power driven resistor cutting machine
Break down dtd – 15.09.2018
Break down hours – 2 hours
Break down for Cutting problem
Route cause – Teeth of cutting wheel broken
Action- New center wheel assembly replaced
Preventive maintenance for
(a) wave soldering done in the Month of Jan 2019, Dec 2018, Nov 2018
(b) Power driven resistor cutting machine for the month of Oct 2018, Nov 2018, Dec 2018
No NCs from last internal audit
Overall process is satisfactory
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Mr. Prummal Raj, Mr. Anatha
Kumar
11-02-2019
DateAuditor ContactsProcess
NAGARAJU
THEJASWINI
Management Process
Standard
ISO
9001:2015
Notes
Quality Manual Ref No QM/01 dtd 26.10.2016
Context of the organization, Doc Ref QM/I Rev No 01 dtd 23.11.2018
External issue – Competitors offers products with low cost, Increase in raw material, Meeting customer demands on
time
Internal Issues are such that – Limited product range, Increase in product cost, Man power attitude
Interested parties are determined and needs and expectations of interested parties are listed-
(a) Customer – On-time delivery, Customized products as per requirement. Good packing condition
(b) Supplier – Clear purchase specification, Clear delivery schedules
Shareholder, Service providers, bankers, Employees……
External issues, Internal Issues, Issues arising out from fulfilling needs and expectations of interested parties are
considered in determining the risks and opportunities
Evidenced mitigation action for the identified risks and opportunities
Last review dtd 23.11.2018
Sequence and Interaction of the processes, QM/H Rev No 00 dtd 26.10.2016, Issue No 02 dtd 26.10.2016
Quality Policy dtd 26.10.2016
Quality Objectives
There are company objectives set in line with the company quality policy, and these company objectives are
percolated down to the various departments, these objectives are monitored, measured and periodically reviewed
Organization chart and Roles, responsibility and Authority, QM/G Rev No 01 dtd 20.01.2018, Issue No 02 dtd
26.10.2016
Internal Audit
Procedure – SOP/IQA/12 Rev No 00 dtd 26.10.2016, Issue No 02 dtd 26.10.2016
Frequency of internal audit – Once in 3 months
Last internal audit was conducted on 11.01.2019 – 12.01.2019, 3 NCs – 2 stores, 1 Purchase. The non-conformance
raised in last internal audit were closed with appropriate correction and corrective action
NCS are closed with appropriate correction and corrective action
Previous to that internal audit was conducted on 11.10.2018- 12.10.2018.1 NC from Production
Before that the internal audit was conducted on 17.08.2018 – 18.08.2018, 1 NC from Quality
Management review
Procedure – SOP/MRM/13 Rev No 00 dtd 26.10.2016 Issue No 02 dtd 26.10.2016
Frequency – Once in 6 months
Last management review was conducted on 07.02.2019
Previous to that management review was conducted on 15.10.2018
Before that 27.08.2018
All review inputs are covered as per the standard requirement
Overall process is satisfactory
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Mr. Vijayendra P Bhat, Mr.
Prakash Savanur
11-02-2019
DateAuditor ContactsProcess
NAGARAJU
THEJASWINI
Top Management
Standard
ISO
9001:2015
Notes
1) Interaction done with the top management on integration of the QMS into the business processes, intended
outcomes expected from the QMS and the system of monitoring, measurement and review, deployment of the quality
policy and quality objectives, allocation of resources, assignment of responsibilities and authorities for the QMS,
communication mechanisms, issues impacting the QMS, needs and expectations of interested parties, determination
of the risks and opportunities and the actions being taken to address them.
2) Top Management demonstrated leadership and committment towards the QMS which was clearly demonstrated by
their involvement and during the interaction.
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Mr. Ananth Kumar11-02-2019
DateAuditor ContactsProcess
NAGARAJU
THEJASWINI
Training
Standard
ISO
9001:2015
Notes
Risks and opportunities are determined, Such as- No compete tent employee, No trainings to the employee, internal
conflict
Evidenced mitigation actions for the identified risks and opportunities
There are no recruitment happened in last year, Last recruitment happened in 01.12.2017, And in case of recruitment
it is directly handled by the top Management
Objectives are defined for the department, Compliance to statutory and regulatory requirement, Actual – Achieved
Conduct the training as per the training plan, Actual – 100%
Standard Procedural Manual for Training Process, SOP/TRG/04 Rev No 01 dtd 20.01.2018, Issue No 02 dtd
26.10.2016
Type of training – Induction trainings, On-Job training, Awareness training
Evidenced training plan for the period 2018-2019, F/TRG/04 Rev No 02 dtd 30.05.2018
Verified the below samples for training activities
(a) Awareness training - ISO 9001 awareness training dtd 03.01.2018
Trainer – External
Number of participants – 10
Training effectiveness evaluation was done, Verified for Mr. Hanumanth, and evaluated as satisfactory for both
understanding and Implementation
(b)On Job training – Wave soldering dtd 12.09.2018
Number of trainee – 5
Trainer – Internal
Training effectiveness evaluation was done on 04.11.2018, evaluated as qualified for in-depend handling of assigned
tasks for Ms. Haseena and Ms. Laths
( c) On Job training – PCB Simulation and wire removing dtd (Training duration from Oct 2017 – Mar 2018
Number of trainee – 10
Trainer – Internal
Training effectiveness evaluation was done on 05.10.2017, and evaluated as qualified for in-depend handling of
assigned tasks for Ms. Sangeetha M and Ms. Pramila N
There were no NCs from last internal audit
Overall process is satisfactory
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
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(Certification Business)
3.2 DOCUMENT REVIEW
Compliant CommentsDocument Review Item
X9K-A documentation
indicating the scope of your
Quality Management System
(QMS)
X9K-If available, a
documentation setting out
the issues, the relevant
stakeholders and their
relevant requirements for the
QMS
X9K-A detailed description of
the processes determined for
the QMS
X9K-The quality policy, quality
objectives and informations
on the associated planning
X9K-The minutes of your last
management review
X9K-The list of codes,
standards and legal /
regulatory requirements
applicable to products or
services provided
X9K-Internal audit plans
(realised and scheduled)
Document Review and Initial Audit Comments
The overall documentation is found to be satisfactory and is in line with ISO 9001 : 2015 standard requirement
Organisation Manual - Revision Date or number QM/01 dtd
26.10.2016
Doc. Review Completed on 11-02-2019
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
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(Certification Business)
3.3 AUDIT SUMMARY REPORT PER STANDARD ISO
9001:2015
Department / Activity / Process
P
roductio
n
Q
ualit
y A
ssura
nce
M
ark
eting
P
urc
hase
S
tore
s &
Desp
atc
h
M
ain
tenance
T
rain
ing
T
op M
anagem
ent
M
anagem
ent P
roce
ss
aa
T
ota
l
9K-4.1 Understanding the organization and its context ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-4.2 Understanding the needs and expectations of intereste... ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-4.3 Determining the scope of the QMS ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-4.4 Quality management system and its processes ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-5.1 Leadership and commitment ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-5.1.1 General ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-5.1.2 Customer focus ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-5.2 Quality policy ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-5.2.1 Establishing the quality policy ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-5.2.2 Communicating the quality policy ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-5.3 Organizational roles, responsibility and authorities ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-6.1 Actions to address risks and opportunities ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-6.2 Quality objectives and planning to achieve them ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-6.3 Planning of changes ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.1 Resources ✓ ✓ ✓ ✓
9K-7.1.1 General ✓
9K-7.1.3 Infrastructure ✓
9K-7.1.2 People ✓
9K-7.1.4 Environment for the operation of processes ✓
9K-7.1.5 Monitoring and measuring resources ✓
9K-7.1.6 Organizational knowledge ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.2 Competence ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.3 Awareness ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.4 Communication ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.5 Documented information ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.5.1 General ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.5.2 Creating and updating ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.5.3 Control of documented information ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.5.3.1 ( ) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-7.5.3.2 ( ) ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-8.1 Operational planning and control ✓ 1 1
9K-8.2 Requirements for products and services ✓ ✓ ✓
9K-8.2.1 Customer communication ✓ ✓ ✓
9K-8.2.2 Determining the requirements related to products an... ✓ ✓ ✓
9K-8.2.3 Review of requirements related to products and serv... ✓ ✓ ✓
9K-8.2.3.1 ( ) ✓ ✓ ✓
Clauses
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
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(Certification Business)
Department / Activity / Process
P
roductio
n
Q
ualit
y A
ssura
nce
M
ark
eting
P
urc
hase
S
tore
s &
Despatc
h
M
ain
tenance
T
rain
ing
T
op M
anagem
ent
M
anagem
ent P
roce
ss
aa
T
ota
l
9K-8.2.3.2 ( ) ✓ ✓ ✓
9K-8.2.4 Changes to requirements related to products and ser... ✓ ✓ ✓
9K-8.3 Design and development. of products and services
9K-8.3.1 General
9K-8.3.2 Design and development planning
9K-8.3.3 Design and development inputs
9K-8.3.4 Design and development controls
9K-8.3.5 Design and development outputs
9K-8.3.6 Design and development changes
9K-8.4 Control of extern. provided products and services ✓
9K-8.4.1 General ✓
9K-8.4.2 Type and extent of control 1 ✓ 1
9K-8.4.3 Information for external providers ✓
9K-8.5 Production and service provision ✓ ✓
9K-8.5.1 Control of production and service provision 1 ✓ 1
9K-8.5.2 Identification and traceability ✓ ✓
9K-8.5.3 Property belonging to customers or external provide... ✓ ✓ ✓
9K-8.5.4 Preservation ✓ ✓ ✓ ✓
9K-8.5.5 Post-delivery activities ✓ ✓ ✓ ✓
9K-8.5.6 Control of changes ✓ ✓
9K-8.6 Release of products and services ✓ ✓ ✓
9K-8.7 Control of nonconforming outputs ✓ ✓ ✓
9K-9.1 Monitoring, measurement, analysis and evaluation ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-9.1.1 General ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-9.1.2 Customer satisfaction ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-9.1.3 Analysis and evaluation ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-9.2 Internal audit ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-9.2.2 Internal audit programme ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-9.3 Management Review ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-9.3.1 General ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-9.3.2 Management review inputs ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-9.3.3 Management review outputs ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-10.1 Improvement - General ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-10.2 Nonconformity and corrective action 1 ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ 1
9K-10.3 Continual improvement ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓ ✓
9K-* Use of marks, and/or reference to the certification ✓
Total 3 1 4
Exclusions
- 9K-8.3 Design and development of products and Organization does not involve in product design and
justification
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(Certification Business)
services. manufactures as per the customer specifications and
requirements. Hence this clause is not applicable
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
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(Certification Business)
3.4 NON CONFORMITY REPORT
Non conformities detailed herein shall be addressed through the organization’s corrective action process, in accordance with
the relevant corrective action requirements of the audit standard.
Hereunder you will find Bureau Veritas Certification requirements for:
· expected timelines to address the nonconformity (a)
· response content (b)
Expected timelines to address the non conformity (a)
Corrections and Corrective actions (if possible) to address identified major nonconformities shall be carried out immediately.
Correction, Root Cause Analysis and Corrective action plan together with satisfactory evidences of implementation shall be
submitted within 90 days after the last day of the audit unless Bureau Veritas Certification and client agree on a longer
period of time.
Review of nonconformities is done through desktop review. However, depending of severity of the findings, our auditor may
perform a follow up visit to confirm the actions taken, evaluate their effectiveness, and determine whether certification can be
recommended or continued.
For a minor nonconformity, correction, root cause analysis and corrective action plan shall be approved by the team leader and
verification of implementation and effectiveness of corrective action(s) taken will be performed at the next visit.
It is recommended that the Client provide responses early to allow time for additional reviews if needed.
For recertification time limits to address nonconformities will be defined by the team leader in order to have them implemented
prior to expiration of certification.
Any responses to the nonconformities which were raised may be either in hard copy or electronically using the NCR herein
(preferred) and forwarded to the Bureau Veritas Certification office.
Expected response content (b)
Client response to NCR should be reviewed by the lead auditor in three parts; correction, root cause analysis and corrective
actions.
In reviewing the three parts, the auditor looks for a plan and then evidence that plan is being implemented.
Correction
1. The extent of the nonconformity has been determined (NCR has been corrected & the client has examined the system to see
if there are other examples that need to be corrected). Ensure that correction answers the question “Is this isolated case or
not?” in other words “Is there a risk that this can reoccur at the other site / department?”
2. If correction cannot be immediate; a plan to correct the NCR may be appropriate (responsible & date).
3. Evidence that the correction was implemented or evidence that the plan is being implemented.
Root Cause Analysis
1. The Root Cause is not simply repeating the finding, neither is the direct cause of the issue.
2. Well thought out analysis to determine the true root cause: e.g. someone did not follow a process would be direct cause;
determining why someone did not follow a process would lead to the true root cause.
3. The root cause statement must focus on a single issue without any obvious """"""""""""""""why"""""""""""""""" questions
remaining.
If a """"""""""""""""why"""""""""""""""" question can reasonably be asked about the root cause analysis, this indicates that the
analysis did not go far enough.
4. Ensure that the root cause answers the question, “What in the system failed such that the problem occurred?”
5. Blaming the employee will not be accepted as the only root cause
6. Address problems with the process as well as what detection system failed
Corrective Action
1. The corrective action or corrective action plan addresses the root cause(s) determined in the root cause analysis. If you have
not defined true root cause you cannot prevent the problem from its reoccurrence
2. In order to accept the plan it shall include;
- actions to address the root cause(s)
- identification of responsible parties for the actions and
- a schedule (dates) for implementation.
- always include a “change” to your system. Training and/or publishing a newsletter are generally not changes to your
system
3. In order to accept the evidence of implementation:
a. Enough evidence is provided to show the plan is being implemented as outlined in the response (and on schedule).
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
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(Certification Business)b. Note: Evidence in full is not required to close the NCR; some evidence may be reviewed during future audit when
verifying the corrective actions.
Auditing is based on a sampling process of the available information and the audit methods used were interviews, observations,
sampling of activities and review of documentation and records.
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
To be completed by Bureau Veritas
Date
11-02-2019
Organization Contract nº
4372044
Report n°
9KSMTVV-IN01SOUTHERN OPTOELECTRONICS DEVICES P.LTD
Non Conformity Observed During Main Audit
Process Production
Standard ISO 9001:2015
Clause 9K-8.5.1 Control of production and service provision
Site Name HO
Non Conformity Description
STANDARD REQUIREMENT:
The organization shall implement production and service provision under controlled conditions.
Controlled conditions shall include, as applicable:
a) the availability of documented information that defines:
1) the characteristics of the products to be produced, the services to be provided, or the activities to be performed;
2) the results to be achieved;
b) the availability and use of suitable monitoring and measuring resources;
c) the implementation of monitoring and measurement activities at appropriate stages to verify that criteria for control of
processes or outputs, and acceptance criteria for products and services, have been met;
d) the use of suitable infrastructure and environment for the operation of processes;
e) the appointment of competent persons, including any required qualification;
f) the validation, and periodic revalidation, of the ability to achieve planned results of the processes or production and
service provision, where the resulting output cannot be verified by subsequent monitoring or measurement;
g) the implementation of actions to prevent human error;
h) the implementation of release, delivery and post-delivery activities.
NON-CONFORMANCE STATEMENT:
Competency and qualification of Soldering operators not evident
EVIDENCES:
Wave soldering operators, Ms.Haseena #1032 Ms. Muskaan #2274and Ms. Saranya#2295
Grade Lead Auditor Auditor Organization Rep.
Major NAGARAJU THEJASWINI T. V. VARDARAJAN
To be completed before
22-02-2019 THN-IN 1-1KP20Q6 TVV-IN 1-14B1F-90
To be completed by the organization
Mr. PANDYAN
_
.
Root Cause Analysis (What failed in the system to allow this non conformity to occur ?)
Correction (What is done to solve this problem)
_
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
.
_
.
Corrective Action (What is done to prevent reoccurrence)
Implementation of
Corrective Actions
Date of Completion
Org. Representative
_
_
To be completed by Bureau Veritas
Verification of
corrective Actions
Date Status
CA Waiting Proposal T. V. VARDARAJAN
Auditor
Comment
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
To be completed by Bureau Veritas
Date
11-02-2019
Organization Contract nº
4372044
Report n°
9KSMTVV-IN02SOUTHERN OPTOELECTRONICS DEVICES P.LTD
Non Conformity Observed During Main Audit
Process Production
Standard ISO 9001:2015
Clause 9K-8.4.2 Type and extent of control
Site Name HO
Non Conformity Description
STANDARD REQUIREMENT:
The organization shall ensure that externally provided processes, products and services do not adversely affect the
organization’s ability to consistently deliver conforming products and services to its customers.
The organization shall:
a) ensure that externally provided processes remain within the control of its quality management system;
b) define both the controls that it intends to apply to an external provider and those it intends to apply to the resulting
output;
c) take into consideration:
1) the potential impact of the externally provided processes, products and services on the organization’s ability to
consistently meet customer and applicable statutory and regulatory requirements;
2) the effectiveness of the controls applied by the external provider;
d) determine the verification, or other activities, necessary to ensure that the externally provided processes, products and
services meet requirements.
NON-CONFORMANCE STATEMENT:
Control of out sourced processes is not evident
EVIDENCES:
The bonding process of LED is outsourced to M/s. Wuxi Ever bright co ltd, China
Grade Lead Auditor Auditor Organization Rep.
Minor NAGARAJU THEJASWINI T. V. VARDARAJAN
To be completed before
22-02-2019 THN-IN 1-1KP20Q6 TVV-IN 1-14B1F-90
To be completed by the organization
Mr. PANDYAN
_
.
Root Cause Analysis (What failed in the system to allow this non conformity to occur ?)
Correction (What is done to solve this problem)
_
.
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
_
.
Corrective Action (What is done to prevent reoccurrence)
Implementation of
Corrective Actions
Date of Completion
Org. Representative
_
_
To be completed by Bureau Veritas
Verification of
corrective Actions
Date Status
CA Waiting Proposal T. V. VARDARAJAN
Auditor
Comment
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
To be completed by Bureau Veritas
Date
11-02-2019
Organization Contract nº
4372044
Report n°
9KSMTVV-IN03SOUTHERN OPTOELECTRONICS DEVICES P.LTD
Non Conformity Observed During Main Audit
Process Quality Assurance
Standard ISO 9001:2015
Clause 9K-8.1 Operational planning and control
Site Name HO
Non Conformity Description
STANDARD REQUIREMENT:
The organization shall plan, implement and control the processes (see 4.4) needed to meet the requirements for the
provision of products and services, and to implement the actions determined in Clause 6, by:
(e) determining, maintaining and retaining documented information to the extent necessary:
1) to have confidence that the processes have been carried out as planned;
2) to demonstrate the conformity of products and services to their requirements.
NON-CONFORMANCE STATEMENT:
There is no evidence of complying with the specified sampling plan SP001.
EVIDENCES:
Incoming inspection of flux MCE#007 LRF dtd 1-2-19 of 200 liters . Sample Qty is not known while the sampling plan
specified 32 litres.
Grade Lead Auditor Auditor Organization Rep.
Minor NAGARAJU THEJASWINI T. V. VARDARAJAN
To be completed before
22-02-2019 THN-IN 1-1KP20Q6 TVV-IN 1-14B1F-90
To be completed by the organization
Mrs. Mary A
_
.
Root Cause Analysis (What failed in the system to allow this non conformity to occur ?)
Correction (What is done to solve this problem)
_
.
_
.
Corrective Action (What is done to prevent reoccurrence)
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Implementation of
Corrective Actions
Date of Completion
Org. Representative
_
_
To be completed by Bureau Veritas
Verification of
corrective Actions
Date Status
CA Waiting Proposal T. V. VARDARAJAN
Auditor
Comment
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
To be completed by Bureau Veritas
Date
11-02-2019
Organization Contract nº
4372044
Report n°
9KSMTVV-IN04SOUTHERN OPTOELECTRONICS DEVICES P.LTD
Non Conformity Observed During Main Audit
Process Production
Standard ISO 9001:2015
Clause 9K-10.2 Nonconformity and corrective action
Site Name HO
Non Conformity Description
STANDARD REQUIREMENT:
When a nonconformity occurs, including any arising from complaints, the organization shall:
a) react to the nonconformity and, as applicable:
1) take action to control and correct it;
2) deal with the consequences;
b) evaluate the need for action to eliminate the cause(s) of the nonconformity, in order that it does not recur or occur
elsewhere, by:
1) reviewing and analysing the nonconformity;
2) determining the causes of the nonconformity;
3) determining if similar nonconformities exist, or could potentially occur;
c) implement any action needed;
d) review the effectiveness of any corrective action taken;
e) update risks and opportunities determined during planning, if necessary;
f) make changes to the quality management system, if necessary.
Corrective actions shall be appropriate to the effects of the nonconformities encountered.
NON-CONFORMANCE STATEMENT:
Corrective actions for several of the non-conformities are not evident
EVIDENCES:
a) In-process inspection report FT 128 dtd 9-2-19 of PCB assembly , There are 11 defects recorded I.e, 6 for soldering
short, 4 for pin hole , 1 for LED lift.
b) Final test report FT129 dtd 6-12-18 of PCB and the Rejection log for the month Jan 2019. 70, 009 nos foundn on
conforming out of 1740290 nos inspected for 11 types of defects like LED Lift, diode reverse, without switch/ fuse etc.
c) Customer complaints from M/s Scientific Mes-Technik ltd, Indore regarding display failure in 100 nos and complaint
dtd 4-7-18 from m/s Incap regarding No glow in 10nos of LED ,
d) Actuals is not complying with the set Targets in production objectives
In July 18, PCB produced is 9.3 against 12 lakh nos
In Nov 18, OEE is 56% against 80%
Grade Lead Auditor Auditor Organization Rep.
Major NAGARAJU THEJASWINI T. V. VARDARAJAN
To be completed before
22-02-2019 THN-IN 1-1KP20Q6 TVV-IN 1-14B1F-90
To be completed by the organization
Mr. PANDYAN, Mrs.
MARY A, MR.
PERUMAL.RAJ.J.S
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
_
.
Root Cause Analysis (What failed in the system to allow this non conformity to occur ?)
Correction (What is done to solve this problem)
_
.
_
.
Corrective Action (What is done to prevent reoccurrence)
Implementation of
Corrective Actions
Date of Completion
Org. Representative
_
_
To be completed by Bureau Veritas
Verification of
corrective Actions
Date Status
CA Waiting Proposal T. V. VARDARAJAN
Auditor
Comment
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(Certification Business)
4 PERFORMANCE TO DATE
The Quality Management System is found to be effective with the existence of documented information at appropriate levels like Quality Manual, Quality Policy, Quality Objectives,
Procedures and Work Instructions. Quality Plan, Documents, Records, Formats, etc., are also available.
Internal Audits and Management Reviews are being conducted as per the plan. The Customer satisfaction is collected periodically. Awareness on quality management system among
the personnel was also found to be good.
All the requirements of ISO 9001:2015 are addressed in the quality manual. Overall, the quality management system documentation is found adequate.
The organisation has established Quality policy and Quality objectives in line with the Quality Policy. Specific functional measurable quality objectives have also been established for
supporting the organisational quality objectives. Trend towards achievement of Quality Objectives are being reviewed in Management Review Meetings.
Non conformity
number
Non conformity description Process Standard Clause Grade Issued Date Date of Completion Verification
of Corrective
action
9KSMTVV-IN01 __11-02-2019Major9K-8.5.1 Control
of production and
service provision
ISO
9001:2015
ProductionSTANDARD REQUIREMENT:
The organization shall implement production
and service provision under controlled
conditions.
Controlled conditions shall include, as
applicable:
a) the availability of documented information
that defines:
1) the characteristics of the products to be
produced, the services to be provided, or the
activities to be performed;
2) the results to be achieved;
b) the availability and use of suitable
monitoring and measuring resources;
c) the implementation of monitoring and
measurement activities at appropriate stages
to verify that criteria for control of processes
or outputs, and acceptance criteria for
products and services, have been met;
d) the use of suitable infrastructure and
This report is confidential and distribution is limited to the audit team, the company and the Bureau Veritas Certification office.
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Page 32 / 61
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Non conformity
number
Non conformity description Process Standard Clause Grade Issued Date Date of Completion Verification
of Corrective
action
environment for the operation of processes;
e) the appointment of competent persons,
including any required qualification;
f) the validation, and periodic revalidation, of
the ability to achieve planned results of the
processes or production and service
provision, where the resulting output cannot
be verified by subsequent monitoring or
measurement;
g) the implementation of actions to prevent
human error;
h) the implementation of release, delivery and
post-delivery activities.
NON-CONFORMANCE STATEMENT:
Competency and qualification of Soldering
operators not evident
EVIDENCES:
Wave soldering operators, Ms.Haseena #1032
Ms. Muskaan #2274and Ms. Saranya#2295
9KSMTVV-IN02 __11-02-2019Minor9K-8.4.2 Type and
extent of control
ISO
9001:2015
ProductionSTANDARD REQUIREMENT:
The organization shall ensure that externally
provided processes, products and services do
not adversely affect the organization’s ability
to consistently deliver conforming products
and services to its customers.
The organization shall:
a) ensure that externally provided processes
remain within the control of its quality
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SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Non conformity
number
Non conformity description Process Standard Clause Grade Issued Date Date of Completion Verification
of Corrective
action
management system;
b) define both the controls that it intends to
apply to an external provider and those it
intends to apply to the resulting output;
c) take into consideration:
1) the potential impact of the externally
provided processes, products and services on
the organization’s ability to consistently meet
customer and applicable statutory and
regulatory requirements;
2) the effectiveness of the controls applied by
the external provider;
d) determine the verification, or other
activities, necessary to ensure that the
externally provided processes, products and
services meet requirements.
NON-CONFORMANCE STATEMENT:
Control of out sourced processes is not
evident
EVIDENCES:
The bonding process of LED is outsourced to
M/s. Wuxi Ever bright co ltd, China
9KSMTVV-IN03 __11-02-2019Minor9K-8.1
Operational
planning and
control
ISO
9001:2015
Quality
Assurance
STANDARD REQUIREMENT:
The organization shall plan, implement and
control the processes (see 4.4) needed to
meet the requirements for the provision of
products and services, and to implement the
actions determined in Clause 6, by:
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SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Non conformity
number
Non conformity description Process Standard Clause Grade Issued Date Date of Completion Verification
of Corrective
action
(e) determining, maintaining and retaining
documented information to the extent
necessary:
1) to have confidence that the processes
have been carried out as planned;
2) to demonstrate the conformity of products
and services to their requirements.
NON-CONFORMANCE STATEMENT:
There is no evidence of complying with the
specified sampling plan SP001.
EVIDENCES:
Incoming inspection of flux MCE#007 LRF
dtd 1-2-19 of 200 liters . Sample Qty is not
known while the sampling plan specified 32
litres.
9KSMTVV-IN04 __11-02-2019Major9K-10.2
Nonconformity
and corrective
action
ISO
9001:2015
ProductionSTANDARD REQUIREMENT:
When a nonconformity occurs, including any
arising from complaints, the organization
shall:
a) react to the nonconformity and, as
applicable:
1) take action to control and correct it;
2) deal with the consequences;
b) evaluate the need for action to eliminate
the cause(s) of the nonconformity, in order
that it does not recur or occur elsewhere, by:
1) reviewing and analysing the nonconformity;
2) determining the causes of the
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SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Non conformity
number
Non conformity description Process Standard Clause Grade Issued Date Date of Completion Verification
of Corrective
action
nonconformity;
3) determining if similar nonconformities exist,
or could potentially occur;
c) implement any action needed;
d) review the effectiveness of any corrective
action taken;
e) update risks and opportunities determined
during planning, if necessary;
f) make changes to the quality management
system, if necessary.
Corrective actions shall be appropriate to the
effects of the nonconformities encountered.
NON-CONFORMANCE STATEMENT:
Corrective actions for several of the
non-conformities are not evident
EVIDENCES:
a) In-process inspection report FT 128 dtd
9-2-19 of PCB assembly , There are 11
defects recorded I.e, 6 for soldering short, 4
for pin hole , 1 for LED lift.
b) Final test report FT129 dtd 6-12-18 of
PCB and the Rejection log for the month Jan
2019. 70, 009 nos foundn on conforming out
of 1740290 nos inspected for 11 types of
defects like LED Lift, diode reverse, without
switch/ fuse etc.
c) Customer complaints from M/s Scientific
Mes-Technik ltd, Indore regarding display
failure in 100 nos and complaint dtd 4-7-18
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SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Non conformity
number
Non conformity description Process Standard Clause Grade Issued Date Date of Completion Verification
of Corrective
action
from m/s Incap regarding No glow in 10nos of
LED ,
d) Actuals is not complying with the set
Targets in production objectives
In July 18, PCB produced is 9.3 against 12
lakh nos
In Nov 18, OEE is 56% against 80%
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SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
5 EXECUTIVE AUDIT SUMMARY
Auditing is based on a sampling process of the available information and the audit methods used were interviews,
observations, sampling of activities and review of documentation and records.
A three manday Recertification audit was conducted by Ms. Thejasiwni Nagaraju as Team Leader & Mr.T V
Vardharajan and Mr. Priyadharshan as team Memeber at Venkateshpuram site. Out of three man-days, 2.5 was onsite
audit and 0.5 man-day was for offsite reporting on 13.02.2019.The audit was conducted against the ISO 9001:2015
standard. The objective of the audit was to determine conformance to the QMS requirements.
Audit plan was communicated in advance. The audit was started with an opening meeting attended by the Top
Management & all auditees where the audit scope, criteria, methodology, sampling principle & confidentiality clause
were explained. The possible outcomes of the audit & the processes of raising nonconformity reports & gradation of
nonconformance were also explained. The audit plan was confirmed & communicated at the end of the opening
meeting.
During the audit two major and two minor nonconformity reports were raised. The positive observations as well as
opportunities for improvements were shared with the auditees in the closing meeting at respective sites attended by the
concerned auditees & the MR. The audit sampling principle & process for closure of non-conformities was also
explained. It was informed that all Bureau Veritas Certification auditors are bound by a confidentiality agreement with
Bureau Veritas Certification and that any information that we may come across during the audit process will be strictly
kept as confidential and not disclosed to any third party without prior consent from the organization. The organization
has agreed to vacate the NCRs raised within the next 10 days.
Based on the Number and Nature of non-conformance the organization is recommended for follow-up audit of one
manday
5.1 AUDIT CONCLUSIONS
5.2 SUMMARY OF AUDIT FINDINGS
Major Minor
N° of Non Conformities recorded 2 2
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(Certification Business)
5.3 MANAGEMENT SYSTEM EFFECTIVENESS
Basic Inputs:
A three man-day Recertification audit was conducted by Ms. Thejasiwni Nagaraju as Team Leader & Mr.T V
Vardharajan and Mr. Priyadharshan as team Member at Venkateshpuram site. Out of three man-days, 2.5 was onsite
audit and 0.5 man-day was for offsite reporting on 13.02.2019.The audit was conducted against the ISO 9001:2015
standard. The objective of the audit was to determine conformance to the QMS requirements.
The audit plan was sent in advance and the audit was conducted as per the plan. A brief opening meeting was
conducted with Top Management and other Process owners. It was held to explain on the audit process, grading of
non-conformities, confidentiality, disclaimer and the possible outcome of the audit and brief introduction of Bureau
Veritas India Pvt. Ltd. and its new services and activities. The audit is conducted with respect to the ISO 9001: 2015
standard.
Confirm if the data provided in the application is valid:
The inputs like address, number of sites, manpower, accreditation, shifts were verified and found to be correct.
Description of the company activities:
M/s. SOUTHERN OPTOELECTRONIC DEVICES PVT LTD was the second company in India and first in Karnataka to
start manufacturing LED (Light Emitting Diode) Lamps and Seven Segment Displays with fully automated factory and
established in the year 1987 after extensive market research to meet the potentially high demand area, and has now
grown to become a leader in the manufacturing and marketing of Optoelectronic devices. The complete range of
lamps and displays are sold under the brand name "Starlite”. Starlite lamps and displays are manufactured against
specifications of the customer. The company is also the OE supplier, supplying against brand specifications and to
various key customers. The key customers includes M/s Godrej Consumer Products Ltd, M/s Siemens, M/s Secure
Meters Ltd, M/s MRO TEK Ltd, M/s BEL,M/s Altek Systems M/s Phoenix Contact India Pvt Ltd, etc. The factory
building is located at No.104, Venkateshpuram, Arabic College Post, Bangalore - 560 045. The organization has a
good infrastructure facility, like Die Bonding M/c, Gold Wire Bonding M/c, Curing Oven, Wave Soldering M/c, and
various types of monitoring and measuring equipment.
Validation of scope of certification:
The scope of certification remains same and is retained as-
“MANUFACTURE OF LED LAMPS, LED DISPLAYS, POPULATED PCB ASSEMBLIES AND LED LIGHTING
PRODUCTS”
The audit team has validated the scope of certification in the following manner:
The organisation has identified all the processes required and established the controls required. Procedures, SOPs,
and Formats are established. Competent manpower is provided. Required expertise to the manpower been provided.
Required infrastructure for production like Wave Soldering machine, Die bonding display, Soldering station, manual
wire bonder lamps, Power driven resistor cutting machine….required for production activities have been identified and
provided. Appropriate monitoring and measurement mechanism established. Conducive work environment been
provided. Required legal requirements been identified and compliance is evidenced. Executed many projects
successfully, Customer satisfaction is collected periodically. Evidenced many work orders in hand.
The Clause 8.3 - Design and Development of products and services from the requirements of ISO 9001:2015 Standard
is not applicable
Organization does not involve in product design and manufactures as per the customer specifications and
requirements. Hence this clause is not applicable
Manual Adequacy
Quality Manual – QM/01 dtd 26.10.2016, All the requirements of ISO 9001:2015 are addressed in the manual. The
process is well established. All the requirement of the standard is adequately addressed in the manual. The
mandatory documented procedures have reference in the Quality Manual. The Quality Manual includes Quality Policy
and Quality Objectives. The Quality Manual is established, maintained & controlled.
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Achievement of Policy commitments:
The Top Management of the organization has established a Quality Policy which has been communicated throughout
the organization by displaying at prominent places. The present quality policy is well defined and is appropriate to the
purpose of the organization. Measurable quality objectives have been established which are monitored periodically
through MR meetings. The Quality Policy was displayed and communicated to all employees. The Top management
involvement and commitment is visible.
Description of System Conformance:
The organizations QMS documentation consists of a quality manual including mandatory procedures, work instruction,
check lists and formats. The documentation is process oriented and structured based on ISO 9001:2015
requirements. The quality objectives are set for the achievement of the company’s goals. The system is matured with
adequate process monitoring system and quality plans in place. The management is committed to continually improve
the effectiveness of the system. The effectiveness of quality management system is periodically measured &
monitored by internal audits and reviewed through Management review meetings. Experienced staff is available in the
organization and organizational knowledge is adequate for the employees/staffs. Appropriate trainings are planned to
maintain the knowledge necessary for the operation of its processes and to achieve conformity of products and
services and also to acquire new knowledge. Customer feedbacks are captured periodically, in line with the
requirements of ISO 9001:2015 Standard.
Internal Audit:
Frequency - Once in 3 months. Last conducted internal audit on 11.01.2019 – 12.01.2019, 3 non conformances
raised. The non-conformances raised in the internal audit are closed with appropriate root cause, correction and
corrective action
Management review:
Frequency – Once in 6 months. Last conducted – 07.02.2019, All the input points as per standard requirement are
reviewed in management review
Verification of each previous Bureau Veritas Certification audit nonconformities:
SA 2 – 3 NCs
1. Validation of wave soldering process is checked vide report dtd 2-3-18 valid for 1 year. Method of validation and
criterion for validation is established.
2. Last internal audit was conducted on 11.01.2019 – 12.01.2019, 3 NCs – 2 stores, 1 Purchase. The
non-conformance raised in last internal audit were closed with appropriate correction and corrective action
3. Not able to achieve the business goals, Mitigation action – KPI’s defined and tracked and reviewed periodically to
know the status
SA 1 – 4 NCs
1. Sampled the report of Digital multimeter SL NO 50459 vide report dtd 14-1-19 at Transcal. This instrument is with-in
valid calibrated period
2. Incoming inspection of flux MCE#007 LRF dtd 1-2-19 , Qty 200 Liters and PVC vide inspection report dtd 2-2-19.
Incoming inspection is done as per the requirement of the raw material
3. Actuals is not complying with the set Targets in production objectives – Since the closure is not effective raised as
major NC
4. Incoming inspection is carried out and reports evidenced for flux MCE#007 LRF dtd 1-2-19 , Qty 200 Liters
Re-Certification Audit– 2 NCs
1. Competency and qualification of Soldering operators not evident – Raised as Major NC
2. Root Cause, correction and Corrective action evidenced for Equipment – Wave soldering machine
Breakdown dated – 22.01.2019
– Effectiveness of corrective action taken is not fully Satisfactory
Extent to which the previous audit findings have been addressed by the system:
The corrective actions addressing the root cause are effective.
External communication:
The Client has adequate infrastructure for external communication with customers. The general modes of
communications are e-mail, and telephone.
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(Certification Business)
Comments on effectiveness of system implementation during the second/third shifts:
Organization is being operated in general shift. Internal communication is good across the organization with regards to
process to be carried out. Effectiveness of Quality Management System found good.
Uncertainty / obstacles that could affect the reliability of audit conclusions:
Nil
Use of logo:
Verified visiting cards, Test certificates, product, Letterheads. BV Logo is used on Vising cards and Letterheads.
Miss use of BV Logo was not observed during this audit
Agreed follow-up actions:
During the audit two major and two minor nonconformity reports were raised. The organization has agreed to vacate
the NCRs raised within the next 10 days.
Based on the Number and Nature of non-conformance the organization is recommended for follow-up audit of one
man-day.
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5.4 BEST PRACTICES
Good housekeeping
Infrastructure
5.5 UNRESOLVED POINTS ON DIVERGING OPINIONS
Unresolved points concerning diverging opinions about evidences and
findings
NIl
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6 TEAM LEADER RECOMMENDATIONS
Standard Accreditation Certificate Copies Language
ISO 9001:2015 UKAS 1 EN
Standard ISO 9001:2015
Recommendation Grant Certification after a satisfactory corrective action plan is completed.
Reason for issue or change of
the certificate
Re-certification audit
Scope Modification Comments As per CR the Scope is “Manufacture of LED Lamps, Numeric, Alpha Numeric
and Dot Matrix LED Displays, populated PCB Assemblies and Led lighting
Products”
The scope is revised to “MANUFACTURE OF LED LAMPS, LED DISPLAYS,
POPULATED PCB ASSEMBLIES AND LED LIGHTING PRODUCTS”
Is a follow up audit required Yes
Follow up audit start date 25-02-2019
Duration (days) 1
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7 SURVEILLANCE PLAN
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
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Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-4.1 Understanding
the organization and its
context
9K-4.2 Understanding
the needs and
expectations of
interested parties
9K-4.3 Determining the
scope of the QMS
9K-4.4 Quality
management system
and its processes
9K-5.1.1 General
9K-5.2 Quality policy
9K-5.2.2 Communicating
the quality policy
9K-6.2 Quality objectives
and planning to achieve
them
9K-6.3 Planning of
changes
9K-7.1.3 Infrastructure
9K-7.1.4 Environment
for the operation of
processes
9K-7.1.5 Monitoring and
measuring resources
9K-7.1.6 Organizational
knowledge
9K-7.5 Documented
information
9K-7.5.1 General
9K-7.5.2 Creating and
updating
9K-7.5.3 Control of
documented information
9K-7.5.3.1 ( )
9K-7.5.3.2 ( )
9K-8.1 Operational
planning and control
9K-8.5 Production and
service provision
9K-8.5.1 Control of
production and service
provision
9K-8.5.2 Identification
and traceability
9K-8.5.3 Property
belonging to customers
or external providers
9K-8.5.4 Preservation
X XHO Production
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Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-8.5.5 Post-delivery
activities
9K-8.5.6 Control of
changes
9K-8.7 Control of
nonconforming outputs
9K-9.1 Monitoring,
measurement, analysis
and evaluation
9K-9.1.1 General
9K-9.1.3 Analysis and
evaluation
9K-9.2 Internal audit
9K-9.2.2 Internal audit
programme
9K-10.1 Improvement -
General
9K-10.2 Nonconformity
and corrective action
9K-10.3 Continual
improvement
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(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-4.1 Understanding
the organization and its
context
9K-4.2 Understanding
the needs and
expectations of
interested parties
9K-4.3 Determining the
scope of the QMS
9K-4.4 Quality
management system
and its processes
9K-5.2 Quality policy
9K-5.2.1 Establishing the
quality policy
9K-5.2.2 Communicating
the quality policy
9K-6.1 Actions to
address risks and
opportunities
9K-6.2 Quality objectives
and planning to achieve
them
9K-6.3 Planning of
changes
9K-7.4 Communication
9K-7.5 Documented
information
9K-7.5.1 General
9K-7.5.2 Creating and
updating
9K-7.5.3 Control of
documented information
9K-7.5.3.1 ( )
9K-7.5.3.2 ( )
9K-9.1 Monitoring,
measurement, analysis
and evaluation
9K-9.1.1 General
9K-9.1.3 Analysis and
evaluation
9K-9.2 Internal audit
9K-9.2.2 Internal audit
programme
9K-9.3 Management
Review
9K-9.3.1 General
9K-9.3.2 Management
review inputs
9K-9.3.3 Management
review outputs
X XHO Management Process
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(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-10.1 Improvement -
General
9K-10.2 Nonconformity
and corrective action
9K-10.3 Continual
improvement
9K-* Use of marks,
and/or reference to the
certification
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(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-4.1 Understanding
the organization and its
context
9K-4.2 Understanding
the needs and
expectations of
interested parties
9K-4.3 Determining the
scope of the QMS
9K-4.4 Quality
management system
and its processes
9K-5.1 Leadership and
commitment
9K-5.1.1 General
9K-5.1.2 Customer focus
9K-5.2 Quality policy
9K-5.2.1 Establishing the
quality policy
9K-5.2.2 Communicating
the quality policy
9K-5.3 Organizational
roles, responsibility and
authorities
9K-6.1 Actions to
address risks and
opportunities
9K-6.2 Quality objectives
and planning to achieve
them
9K-6.3 Planning of
changes
9K-7.1.6 Organizational
knowledge
9K-9.1 Monitoring,
measurement, analysis
and evaluation
9K-9.1.1 General
9K-9.1.2 Customer
satisfaction
9K-9.1.3 Analysis and
evaluation
9K-9.2 Internal audit
9K-9.2.2 Internal audit
programme
9K-9.3 Management
Review
9K-9.3.1 General
9K-9.3.2 Management
review inputs
9K-9.3.3 Management
X XHO Top Management
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(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
review outputs
9K-10.1 Improvement -
General
9K-10.2 Nonconformity
and corrective action
9K-10.3 Continual
improvement
9K-* Use of marks,
and/or reference to the
certification
XHO Training
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(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-4.1 Understanding
the organization and its
context
9K-4.2 Understanding
the needs and
expectations of
interested parties
9K-4.3 Determining the
scope of the QMS
9K-4.4 Quality
management system
and its processes
9K-5.1.1 General
9K-5.2 Quality policy
9K-5.2.2 Communicating
the quality policy
9K-6.1 Actions to
address risks and
opportunities
9K-6.2 Quality objectives
and planning to achieve
them
9K-6.3 Planning of
changes
9K-7.1.6 Organizational
knowledge
9K-7.5 Documented
information
9K-7.5.1 General
9K-7.5.2 Creating and
updating
9K-7.5.3 Control of
documented information
9K-7.5.3.1 ( )
9K-7.5.3.2 ( )
9K-8.1 Operational
planning and control
9K-8.2 Requirements for
products and services
9K-8.2.1 Customer
communication
9K-8.2.2 Determining the
requirements related to
products and services
9K-8.2.3 Review of
requirements related to
products and services
9K-8.2.3.1 ( )
9K-8.2.3.2 ( )
9K-8.2.4 Changes to
requirements related to
XHO Marketing
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Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
products and services
9K-9.1 Monitoring,
measurement, analysis
and evaluation
9K-9.1.1 General
9K-9.1.2 Customer
satisfaction
9K-9.1.3 Analysis and
evaluation
9K-9.2 Internal audit
9K-9.2.2 Internal audit
programme
9K-10.1 Improvement -
General
9K-10.2 Nonconformity
and corrective action
9K-10.3 Continual
improvement
XHO Purchase
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-4.1 Understanding
the organization and its
context
9K-4.2 Understanding
the needs and
expectations of
interested parties
9K-4.3 Determining the
scope of the QMS
9K-4.4 Quality
management system
and its processes
9K-5.1 Leadership and
commitment
9K-5.1.1 General
9K-5.2 Quality policy
9K-5.2.2 Communicating
the quality policy
9K-6.1 Actions to
address risks and
opportunities
9K-6.2 Quality objectives
and planning to achieve
them
9K-6.3 Planning of
changes
9K-7.1 Resources
9K-7.1.5 Monitoring and
measuring resources
9K-7.1.6 Organizational
knowledge
9K-7.5 Documented
information
9K-7.5.1 General
9K-7.5.2 Creating and
updating
9K-7.5.3 Control of
documented information
9K-7.5.3.1 ( )
9K-7.5.3.2 ( )
9K-8.1 Operational
planning and control
9K-8.4.2 Type and
extent of control
9K-8.5.2 Identification
and traceability
9K-8.5.3 Property
belonging to customers
or external providers
9K-8.5.4 Preservation
9K-8.5.6 Control of
X XHO Quality Assurance
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
changes
9K-8.6 Release of
products and services
9K-8.7 Control of
nonconforming outputs
9K-9.1 Monitoring,
measurement, analysis
and evaluation
9K-9.1.1 General
9K-9.1.3 Analysis and
evaluation
9K-9.2 Internal audit
9K-9.2.2 Internal audit
programme
9K-10.1 Improvement -
General
9K-10.2 Nonconformity
and corrective action
9K-10.3 Continual
improvement
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-4.1 Understanding
the organization and its
context
9K-4.3 Determining the
scope of the QMS
9K-4.4 Quality
management system
and its processes
9K-5.1.1 General
9K-5.2 Quality policy
9K-5.2.2 Communicating
the quality policy
9K-6.2 Quality objectives
and planning to achieve
them
9K-6.3 Planning of
changes
9K-7.1.6 Organizational
knowledge
9K-7.5 Documented
information
9K-7.5.1 General
9K-7.5.2 Creating and
updating
9K-7.5.3 Control of
documented information
9K-7.5.3.1 ( )
9K-7.5.3.2 ( )
9K-8.5.2 Identification
and traceability
9K-8.5.3 Property
belonging to customers
or external providers
9K-8.5.4 Preservation
9K-8.5.6 Control of
changes
9K-8.7 Control of
nonconforming outputs
9K-9.1 Monitoring,
measurement, analysis
and evaluation
9K-9.1.1 General
9K-9.1.3 Analysis and
evaluation
9K-9.2 Internal audit
9K-9.2.2 Internal audit
programme
9K-10.1 Improvement -
General
9K-10.2 Nonconformity
and corrective action
XHO Stores & Despatch
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-10.3 Continual
improvement
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Site Name Process Clause
Surveillance
1 2 3 4 5 6 7 8 9
9K-4.1 Understanding
the organization and its
context
9K-4.2 Understanding
the needs and
expectations of
interested parties
9K-4.3 Determining the
scope of the QMS
9K-4.4 Quality
management system
and its processes
9K-5.2 Quality policy
9K-5.2.2 Communicating
the quality policy
9K-6.1 Actions to
address risks and
opportunities
9K-6.2 Quality objectives
and planning to achieve
them
9K-6.3 Planning of
changes
9K-7.1 Resources
9K-7.1.3 Infrastructure
9K-7.1.4 Environment
for the operation of
processes
9K-7.5 Documented
information
9K-7.5.1 General
9K-7.5.2 Creating and
updating
9K-7.5.3 Control of
documented information
9K-7.5.3.1 ( )
9K-7.5.3.2 ( )
9K-9.1 Monitoring,
measurement, analysis
and evaluation
9K-9.1.3 Analysis and
evaluation
9K-9.2 Internal audit
9K-9.2.2 Internal audit
programme
9K-10.1 Improvement -
General
9K-10.2 Nonconformity
and corrective action
9K-10.3 Continual
improvement
XSITE 1 –
Bangalore
Maintenance
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
Man Days
DateSurv. plan prepared / modified by 13-02-2019NAGARAJU THEJASWINI
1.5 1.5
Comment Surveillance audit Plan is tentative
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
8 AUDIT PROGRAMME ISO 9001:2015
Audits
Main Surv1 Surv2
HO - Head Office 3 1.5 1.5
Man Days 3 1.5 1.5
Sites
Tentative number of days for recertification 3
Date 13-02-2019 Prepared / revised by NAGARAJU THEJASWINI
Comment Audit Programme is tentative.
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on:
Page 59 / 61
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
9 NEXT VISIT AUDIT PLAN
Site Name Process Auditor CommentDate - Time
Activity
13-02-2020 - 00:00
Audit
HO Production
13-02-2020 - 00:00
Audit
HO Quality Assurance
13-02-2020 - 00:00
Audit
HO Marketing
13-02-2020 - 00:00
Audit
HO Purchase
13-02-2020 - 00:00
Audit
HO Stores & Despatch
13-02-2020 - 00:00
Audit
HO Top Management
13-02-2020 - 00:00
Audit
HO Management Process
Audit plan preparation date 13-02-2019
Comment Next Audit plan is tentative.
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Page 60 / 61
SOUTHERN OPTOELECTRONICS DEVICES P.LTD Bureau Veritas (India) Pvt. Ltd.
(Certification Business)
10 Certificate information
SOUTHERN OPTOELECTRONICS DEVICES P.LTD
Certificate information
Site Name
10.1 ISO 9001:2015 - UKAS - EN
Address No.104, Venkateshpuram , Arabic College Post
City BANGALORE
Postal Code 560045
-County/State
IndiaCountry
MANUFACTURE OF LED LAMPS, LED DISPLAYS, POPULATED PCB
ASSEMBLIES AND LED LIGHTING PRODUCTS
Scope
1Number of certificates
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Recertification Audit / ISO 9001:2015 Audit Start Date: 11-02-2019 - Audit End Date: 13-02-2019 - Report completed on: