Assessment Report/Checklist: Systems: QMS ISO 9001 (2015) & EMS ISO 14001 (2015)

BRSM
Systems: QMS ISO 9001 (2015) & EMS ISO 14001 (2015)
Assessment Report/Checklist
Form 009

CLIENT‐ORGANIZATION (NAME): Lavan Ertebat Co.

PHYSICAL LOCATION(s): Unit 24, 5th Floor, Vali‐e‐Asr commercial
complex, Valadi St.,
Tehran, Iran , Iran
Stage II Audit Date(s): 28 & 29 Aug 2016
Stage I Audit Date(s): 17 Aug 2016
NAICS (or NACE) CODE 33.20 & 62.02
NAICS : North America Industry Classification System (if you operate within the EC you may use NACE)
ISO 9001 EXCLUSIONS: ‐‐‐
Assessment objectives: Third party assessment of requirements of QMS ISO
9001:2015 and ISO 14001:2015, is met in companies
management system, as well as legal requirements

ASSESSMENT TEAM INFORMATION
Assessment Team Leader, ATL khoshgoo
Assessor 2 Yasaman Zehtab
Assessor 3
Assessor 4
Assessor 5
Assessor 6

Note: Adjusting the language within this form to the type of activity and nature of the organization is acceptable.

Reference Clause Observation
We pursuit to assure that client‐organization adheres to the protection of communities and consumers. This is to
1 follow the intent to the substitution of the word “identify” to the word “determine” as part of the importance to
the processes being capable of achieving desired outputs (including consumer’s well‐being).
Consulting, designing, supporting, implementation, installation, sales and after sale
2 Scope of activities
services of computer networks and communication data centers
BRSM requires that the organization’s legal obligations and regulatory are met.
Legal status Technical supervisor is main responsible for executing and monitoring of these
3 regulations ok
Obligatory applicable
standard which N/a
organization has to follow
4 Context of the organization
The organization has determined External and Internal issues relevant to its purpose /
Understanding the strategic direction, affecting its ability to achieve the intended result(s) of its quality
organization and its management system.
4.1
ok
context Organization has done PEST and SOWT analysis.as example of strength point knowledge
QMS/EMS staff.
MD approved Documents.
The interested parties relevant to quality management system, to meet customer and
applicable statutory and regulatory requirements have been determined (while in stage I it
was not identified); The requirements of these interested parties relevant to the quality
Understanding the management system have been determined External Issues: and DoE. The Internal issues
have been determined. The organization monitors and reviews information about these
needs and
interested parties and their relevant requirements. Above information was documented,
4.2 expectations of
ok
Mrs Khakbaz is responsible for keeping monitor and view information about interested
interested parties parties.based on SWOT nad PEST analysis the list of interested party was estrablished.
QMS/EMS
, sample of matters considered in the expectations; Increase of controls over factories by
authorities has led to increase of monitoring and control costs over environment aspects,
and the production has to consider these over heads in calculations
Determining the
scope of the
quality/
4.3 Refer to stage I audit and 4.1 and 4.2
ok
environment
management
system
The processes needed for QMS/EMS and their application throughout the organization has
been defined effectively. The sequence and interaction of these processes has been
Determined effectively with a risk based approach.
Quality/environment Risk of organization were evaluated (refer to 4.1 and 4.2)
management Following documents were checked in stage I audit
4.4
ok
system and its The process map
processes improvements
Organization chart
5 Leadership
FORM‐009_V4_QMS‐EMS Issued: July 9, 2003 Revised: June 2016 Page 2 of 12
5.1 Leadership and commitment
The MD demonstrates leadership and commitment with respect to the quality/environment
management system by: taking accountability for the effectiveness of the quality
management system.
5.1.1 quality policy and quality objectives are established for the quality management system and
General
ok
qms are compatible with the context and strategic direction and result of SWOT and Pest
analysis;
integration of the quality management system requirements into the organization’s
business processes was considered for establishing management systems
5.1.2 management demonstrated leadership and commitment with respect to customer focus
Customer focus
ok
qms and Documented information
5.2 Policy
Quality/Environment Policy has been established in documented information, with ID:
QP/00, Version: 0 Issued: Dec 2015 Approved by. Is appropriate to the purpose and context
of the organization and supports its strategic direction; provides a framework for setting
Establishing the
quality objectives; includes a commitment to satisfy applicable requirements; includes a
5.2.1 quality/environment
ok
commitment to continual improvement of the quality management system. The policy is
policy
reviewed annually.
Policy: as the expansion of R & D unit, , increase market share and increase knowledge of
personnel, decrease waste
Policy has been established in documented information, with ID: QP, Version: 1 Issued: Dec
Communicating the 2015 Approved by. Quality policy was communicated to staff, as staff was asked they were
5.2.2
ok
quality policy aware of the policy.QA Engineering and Contract Manager were asked. The policy is
available to relevant interested parties. Such as: Contractor.
The Management approved related document s
Organization Chart was observed.
Organizational roles,
Job description was observed.
5.3 responsibilities and
ok
Job description of QA Manger, system Maintenance Expert was observed.
authorities
Mrs Khakbaz has appointed by MD as QA manager some of her responsibilities : to ensure
reporting on performance of the quality management system and fine
6 Planning
The organization has considered the issues affecting its strategies and directions
and their requirements and has determined the risks and opportunities that need
to be addressed.
Sample of risks and based on SWOT analysis:
External
Threat : new technologies introduce in market it may cause competitors
Actions to address progressing advancing .
6.1 Opportunities: loan with low interest for IT industries provided by private Bank.
ok
risks and
opportunities The organization has integrated and implemented the actions into its quality
management system processes. The organization has evaluated the effectiveness of
the actions. Actions taken to address risks and opportunities are proportionate to
the potential impact on the conformity of products and services. Above information
was documented, Type of document: Procedure: risk assessment, Approved by:
MD, Date issued: Dec 2015 Changes needed to the quality management system has
been implemented
The scope of environmental management system is environment effects resulted
6.1.1
producing paper filters, as Production process effectiveness and efficiency ,to
ok
General
ems
manage these aspects the system has considered risks associated and controls
Risks have been addressed in W02 work instruction, including risk, RPN , control if
6.1.2 Environmental needed and result after control, sample of risks considered: iron waste(scarp of
ok
ems aspects metal sheet) RPN 60
After Reduction RPN 40 which is acceptable
In Iran there is no obligation for this kind of storage and service providers.
There for the organization make list of pollutant :
6.1.3 Compliance The have power usage,
ok
ems obligations Energy usage for Heating and Cooling
Paper usage
scarp of metal sheet
iron waste(scarp of metal sheet) RPN 60
6.1.4 After Reduction RPN 40 which is acceptable
ok
Planning action
ems For reducing energy usage the use CLF lam and sensors.
The windows has two shells. But at the end of Storage there was broken Window.
Quality Objectives have been documented, Issued: March 2015 Approved by, MD.
Quality / Objectives cover all QMS requirements, as
environment . The objectives include product conformity/customer satisfaction. The objectives
6.2
are being monitored.
ok
objectives and
6.2.1
planning to achieve Sample objectives: 3 % of reduction of Power energy,
them Increasing customer satisfaction 5%
Reduction delivery time 10%

Base on context of organization,the may have change in technology ,there for
Planning of changes
Change to MS is carried out in planned manner. Changes are planned to be
6.3 Achieve reviewed periodically every year. Planning of changes cover all MS requirements, as
ok
environmental follows: the purpose of the changes and their potential consequences; the integrity
objectives
of the quality management system; the availability of resources; the allocation or
reallocation of responsibilities and authorities. To cover the standard
7 Support
7.1 Resources
To determine and provide the resources needed for the establishment,
implementation, maintenance and continual improvement of the quality
7.1.1
General management system. The capabilities of, and constraints on, existing internal
ok
qms
resources has been considered. Needs to be obtained from external providers have
been considered.
Base on SWOT analysis and threat , the organization needs knowledge worker
The organization has determined and provided the persons) necessary for the
7.1.2
People effective implementation of its quality management system and for the operation
ok
qms
and control of its processes.
Job Qualification of personnel were observed.
The have storage infrastructure was checked.
7.1.3 Instruction of instruction was observed.
Infrastructure
nc
qms Lift trucks have performance check (examination).
In office software were keep updated.
The organization has determined, provided and maintained the environment
Environment for the socially/psychologically and physically necessary for the operation of its processes
7.1.4
operation of and to achieve conformity of products and services. Observation: Light and noise
nc
qms
processes are in normal condition.

7.1.5 Monitoring and measuring resources
Equipment is suitable for the specific type of monitoring and measurement
7.1.
Equipment is maintained to ensure their continuing fitness for their purpose. The
5.1 General
ok
organization has established documented information as evidence of fitness for
qms
purpose of the monitoring and measurement resources, Procedure name:
List of calibrate equipment (MF.003.001) were checked. As sample the calibration
7.1. of the ohmmeter, Calibration by Laksar company in Jan 2016.
Measurement
5.2
Ok
traceability
qms
The organization has determined the knowledge necessary for the operation of its
processes and to achieve conformity of products and services.
Every six month the personnel have gathering about technical and market and the
communicate about new technologies or markets, after that from the minute of the
7.1.6 Organizational meeting , the extract useful points and try to use it as explicit knowledge.
ok
qms knowledge The minute of the last meeting in March 2016 was observed.
Also as training plan, after any staff attend in seminar or conference out of the
organization he/she must give documented repots about main keys and
achievements of external training.

They have developed training procedure and there are training profiles for each
staff.
For Mrs.khakbaz. (Operation staff) profile was checked. Training plan with
determining 5 training courses, (including, ISO 9001:2016 requirements) were
7.2 Competence
ok
observed. The records of this course in 5‐Dec‐15 were observed including training
effectiveness evaluation for Mrs. khakbaz with score of 95%.
for Mr.samiei (IT staff)training effectiveness evaluation for CISCO courses in Jan
2016 Was observed.
Quality policy was communicated to staff, as staff was asked they were aware of
the policy. Staff asked. Staff is aware of their contribution to the effectiveness of
7.3 Awareness
ok
the quality management system and the implications of not conforming to the
quality management system requirements are not feed backed to staff.
The organization has determined the internal and external communications
7.4 Communication relevant to the quality management system. The communication includes following
ok
criteria: communications are mostly; verbally, Face to Face, Out look
And external communications are by email and letter. The communication is
7.4.1 Internal effective and efficient according to the complications and size of organization. the
ok
ems communication order of Customer in April 2016 through email was observed.
7.4.2 External
ok
ems communication
7.5 Documented information
Documented information required by current International Standard(s); has been
determined: Such as: Documented information by the organization as being
7.5.1 General
ok
necessary for the effectiveness of the quality management system has been
determined: Such as: educational programs ,QC plans
Creating and Documented Information such as QC repots forms, customer orders, Customer
7.5.2
ok
updating satisfaction has date, author ,reference number ,format are PDF and scanned
7.5.3 Control of documented information
Staff based on their responsibilities have access to date and information in networks,
7.5.3.1
For dales staff the accessibility in networks was checked. Also storage instruction is installed in walls of storage.
The organization try to use paper less system and according the backup plan and priority of information they
have every 2 month and every week back up from documented procedure.
They have master list which contains the methods distribution, access, preservation …
Method of defining distribution: green and red stamp. Method of retrieving of records: backup of raw electronic
7.5.3.2 file. Method of disposing of records: when a new record is in place the old one is collected and disposed.
As evidence records of Customer NO 0123 PDf, approved by sale manager and customer Singh was observed..
Sample of external documents: regulations of DOE
8 Operation
The organization has planned, implemented and controlled the processes needed
to meet the requirements for the provision of services, and to implement the
actions determined in by: Determining the requirements for the products and
services, Establishing criteria for the processes, and the acceptance of products and
services, Determining the resources needed to achieve conformity to the product
Operational and service requirements, Controlling of the processes in accordance with the
AR
8.1 planning and criteria, Determining, maintaining and retaining documented information to the
control extent necessary, criteria established for the processes, and the acceptance of
products and services, The output of this planning is suitable for the organization’s
operations.
Sample: The project of Consulting and Installation of Mehr Ayin Company where
checked.
Segregation of waste has not been done appropriately
Emergency A drill for Firing has been run in the company, in Feb 2016, the emergency teams
8.2
preparedness and have been formed ahead of circumstances, and everybody knows his/her duty in
ok
ems
response case of accident, all Fire extinguishers Capsule is charged timely.
8.2
Requirements for products and services
qms
Requirements met in communication with customers are as follows
Sample :
They have website, emails
For Mehy Ayin project the customer requirements where checked. They had sent
8.2.1 Customer
proposal to customer that contains project durations, information about changes in Ok
qms communication
requirements and etc…
In case of repair the keep customer property in defined area in storage, and put
label which demonstrate statues of project.

Determining the The organization has determined service requirements, Such as:
8.2.2 requirements for Record for product requirements observed, For Mehy Ayin project the customer
ok
qms products and
services
The organization reviews service requirements, Such as: requirements specified by
the customer, requirements for delivery and post‐delivery activities, Requirements
not stated by the customer but necessary for specified or intended use, applicable
regulatory requirements related to the product, requirements specified by the
Review of the
organization, The company reviews the product requirements through formal
8.2.3 requirements for
documented communications with customer . Sample: Mehr Ayin projects ok
qms products and
Proposal No 0153 Contract no. MAC‐01543, dated Feb 2016, for customer:
services
They customer needed the LAN network for 18 Computers and base on wife
system ,
The organization reviewed customer order then issued proposal for customer.

, where Service requirements were changed, the organization may change the plan
Changes to
in consultation with customer ,
8.2.4 requirements for
For example for Mehr Ayin projects at firs Customer want wiring then after ok
qms products and
reviewing project they decided to use Wife systems, all records related to changes
services
were observed.
8.3
Design and development of products and services
qms
8.3.1
General e
qms Each project base on the customer order they make proposal and they
Design and established Map,
8.3.2 Base on Map other requirements and subsequence
development e
qms
planning
Sample of projects: Mehr Ayin
Peroposal No : 0153
MAP No : M‐MAC‐0153 (approved by Technical manager of Lavan on 26 Feb
Design and 2016 and approved by customer 1 March 2016)
8.3.3
development 2 staff was considered to run the projects. e
qms
inputs They software (windows server 2012) and hardware (rack, modem, hub/switch,)
were determined.
The method of validation and verification was determined.

In Mehr Ayin projects:
As example of verification: controlling maps and inputting requirements with
Design and
8.3.4 implementing systems.
development e
qms As example of validations : After implantation,
controls
Through access point they check internet connection in network and sharing
Center section(records of 11 March 2016)
Design and Refer to 8.3.4
8.3.5
development Records of all checking criteria were observed. e
qms
outputs
In accordance the scope of activity for each projects the have to design new plan
Design and
8.3.6 and maps based on customer requirements, if the changes are needed approval
development e
qms of customer is necessary.
changes

8.4
Control of externally provided processes, products and services
qms
Suppliers evaluation and selection, Approved by: Hussein Highlight The organization
8.4.1 evaluates and selects suppliers based on their ability to supply product in
General ok
qms accordance with the organization’s requirements, the Criteria for selection,
evaluation and re‐evaluation has been established . ,
The organization evaluates suppliers periodically, every 12 months. The evaluation
of suppliers includes 'ability and performance of supplier', 'effect of the purchased
product on the quality of the product' and is proportionate to the risk associated.
Sample of criteria: distance ‐ price ‐ equipment ‐ a ‐ b ‐ c. . . sample of criteria:
distance
8.4.2 Type and extent of Records of supplier evaluation of, switch /Hub date (Dec 2015) rack Cable provider
ok
qms control (date of last evaluation Jan 2016), virtual Box, hyper V (Dec 2015). Windows server
(Jan 2016) where observed.

All requirements met in Information for external providers as follows: products and
services; acceptance: sample of the acceptance data observed. Methods, processes
and equipment for approval100 % control. The method of release of services; after
8.4.3 Information for
approval by TE manager. Competence, including any required qualification of ok
qms external providers
persons; qc people have trainings in controlling the Services. The external providers’
interactions with the organization; the MR of the supplier in touch with
organization.
8.5
Production and service provision
qms
All requirements met in Control of production and service provision as follows: the
Control of
8.5.1 characteristics of the, the services to be provided, or the activities to be performed;
production and ok
qms the results to be achieved; the availability and use of suitable monitoring and
service provision
measuring resources;
Organization controls and records the unique identification of the product. Sample
8.5.2 Identification and product taken: Mehr Ayin project the traceability was checked.
ok
qms traceability As sample: the technical expert of project was Mr Godarzi and Mr kharazam,
The external provider of sofwares ,Tamin Tec novin Company
Property belonging In Case of repair the keep customer property in defined area in storage, and put
8.5.3
to customers or label which demonstrate statues of project. ok
qms
external providers
The organization have one Storage: Preservation method includes: Identification,
Handling, Packaging, Storage and protection. Sample product: The storage of racks,
8.5.4
Preservation Wires, cables, was checked. the Cable Quantity was not accordance the storage AR
qms
transaction sheet
Operator was aware of environment aspects related to his department.
As sample repair of Switch related of Fazel Company were checked. the records
8.5.5 Post‐delivery
of repair, list of changes of equipment, the responsible of repair were checked. e
qms activities
Records Have Code which through that traceability is possible
The organization reviews and controls changes for service provision, to ensure
8.5.6
Control of changes continuing conformity with requirements. Results of the review of changes have ok
qms
been recorded in: management review.
Records of conformity with the acceptance criteria observed inform F502, for
Release of service: filter press paper, Date finished: 34‐ May 16the person(s) authorizing the
8.6
products and release is traceable to each time release.Mr. Bashiri is authorized to release. There ok
qms
services has been no circumstance till now that the product has been released before all
arrangements being satisfactory fulfilled.
Controls and related responsibilities and authorities for dealing with
nonconforming product have been defined. Mr. fatteh is authorized to deal with
non‐conforming arise in project. The organization deals with non‐ conformities in
following ways: .Sample non‐conforming services/records observed: some racks
Control of
8.7 were damages. Correction action was considered in Nov 2015.the shelf for keeping
nonconforming ok
qms rack had been changed.
outputs
Other sample:
In Mashahd Saze project there was delay for finishing the project .the rout causes
was :the order points of cable was not define properly, during the project they
faced shortage of cable. They have reviewed all order point.
9 Performance evaluation
9.1 Monitoring, measurement, analysis and evaluation
All requirements met in Monitoring, measurement, analysis and evaluation ,as
follows: Items needed to be measured, such as; processes, quality controls,
objectives, the methods used for monitoring, measurement, analysis and evaluation
9.1.1 General to ensure valid results; such as; statistical methods, data gathering, when the ok
monitoring and measuring is performed; every 6 months, when the results from
monitoring and measurement is analyzed and evaluated; before internal audits
Above information was documented, Type of document : Form : Process measuring.
Records of satisfaction customer evaluation were observed such as:
9.1.2 Customer Customer – mehr Ayin –‐ Score 86%
ok
qms satisfaction Customer – mr zare ‐ ‐ Score 79%
Customer – Mashad sazeh–‐ score 92%.
According to the data analysis procedure monitoring processes were observed.
Organization collect, identify and analyze appropriate data to demonstrate
efficiency.
if score of customer satisfaction below than 75 or every item be zero corrective
action must be done. Score of customer satisfaction for was more than 75.
Supplier evaluation process after supplier evaluation for the first time, 2 suppliers
removed from the list. Because of the score was under acceptable define criteria.
9.1.3 Acceptable Deviation of defined finishing date is 3%,the result is 1.9%
Analysis and
Qms
evaluation of
9.1.2
ems compliance
All requirements met in design and development inputs as follows: conformity of
products and services; the degree of customer satisfaction; the performance and
effectiveness of the quality management system; if planning has been implemented
effectively; the effectiveness of actions taken to address risks and opportunities;
the performance of external providers; the need for improvements to the quality
management system.
the environmental noise is less than 90 db in west/east/south/north of the
ok
warehouse
Internal audit planning for this year observed. Interval for internal audit are once a
9.2/ Internal audit
year. The first internal audit has held on 94.10.02. (Oct 2015) checklist of internal
ok
9.2.1 General
audit is in form FRM02. Evidences have recorded completely. One nonconformity
observed and recorded. It was about records of customer satisfaction which
Internal audit correction action and effeteness were checked.
9.2.2
programme
ok
9.3 Management review
The intervals of management review meeting have been determined in; every 12
9.3.1 General ok
Months The latest management review was conducted in: 29‐ Jan ‐16.
Management Management review are planned every annually. This commission is held on 29 Jan
9.3.2 ok
review inputs 2016. All inputs observed in record.
Some of Outputs are :
Updating Analyzing data procedure by end of the year and using last version of
Management software.
9.3.3 ok
review outputs Painting storage.

10 Improvement
in general the organization identifies and implements any changes necessary to
10.1 General ensure and maintain the continued suitability, adequacy and effectiveness of the ok
quality management system
In Mashahd Saze project there was delay for finishing the project .the rout causes
Nonconformity and
10.2 was :the order points of cable was not define properly, during the project they ok
corrective action
faced shortage of cable. They have reviewed all order point.
The organization continually improves the suitability, adequacy and effectiveness of
Continual the quality management system In accordance With minute of Management review
10.3 ok
improvement ,the organization has plan to expand R & D unit.
Also the feasibility study in order to increasing variety of services has started.

By exception we indicate the specific Strengths and weakness of the organization in light of the management system of the management system, as we
perceive and seen through processes in reference to requirements of the criteria being ascribed as these apply and relate to the assessment plan and
planning of the assessment. This aspect relates to AVA™ as it does to the protection of consumers in the client-organization’s role within their respective
supply – chain.
Disclaimers: (1) herein, we reiterate that any suggestion or opinion that the assessment team expresses does not construe to be a contractual
requirement. (2) The degree of certainty in conclusions increases by the competence of the assessment team as well as the attestation within the
assessment protocol, values, mission and vision under which we operate for the protection of consumers, still remains a certain level of uncertainty.
Strength Weakness
Human resources – management commitment Management system Knowledge of staff

action Request Type I Form-008 – as we indicate and that each of the RA addresses the basic four (4) questions
as seen in Form-008:
action Request Type II Form-008 – as we indicate and that each of the AR addresses the basic four (4) questions
as seen in Form-008:
The Cable Quantity was not accordance the storage transaction sheet.
Segregation of waste has not been done appropriately
Observation Form-018 – with uniquely specific identification:
ATL: Khoshgoo DATE: 29 Aug 2016
END of REPORT
FORM-009 – MS Reporting,
FORM-014 – Opening Meeting Checklist
FORM-008 – RA / AR, as requires
FORM-017 – Closing Meeting Checklist
FORM-018 – OBS, as requires
FORM-005 – Participants of opening & closing meetings
FORM-010 – As requires, recommendation for CoR
FORM-004 – Assessment Plan
FORM-026 – Assessment documents check-sheet,
FORM-007 – Planning onto -004, as process determined
for guidance purpose


Assessment Report/Checklist: Systems: QMS ISO 9001 (2015) & EMS ISO 14001 (2015)

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Observation Form-018 – with uniquely specific identification:

ATL: Khoshgoo DATE: 29 Aug 2016

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