10th Internal Audit Findings Summary Sheet

Auditor(s) Audit No. S.No. Dept. Checkpoint Ref. Clause Observation NC/O/SFI Target Date Status Remarks

Auditor(s) Mr. Vishwajeet Singh Mr. Rajib Kumar Rout

Audit No. IAR/EMS/X/1-13

S.No. 1 2 1

Dept. Environment

Checkpoint Evaluation of compliance Monitoring & Measurement Complaint Register

Ref. Clause 4.5.2.1 4.5.1 4.5.1, 4.5.3 4.3.3 4.5.5 4.5.5 4.4.4 4.4.4 (D) 4.5.5 4.4.4 4.4.3 4.3.2 4.5.4 4.4.2 4.4.4

Observation Brahma Sarovar water got polluted. STP is running in over load. Hence it is not effective. Food Suggestion Register available but not maintained & monitored properly No objective of section/ department evidenced Available only for guest and no system for employee. Last internal audit report was not found. SOP in documented form was not found No record found. Last internal audit report was not found. SOP of year 2010 checked. It needs to be reviewed. Customer compliants registers found ok Solid waste disposal record not found. At present no disposal of solid waste found. Raw Material storage record found ok. Store found neat & clean. Competency mapping of Internal Trainers was not evidenced. Implementation of E-waste rule is under progress Post training competency proof of partcipants are required. At present no procedure regarding this has found initiated.

NC/O/SFI NC NC NC NC O O NC NC O O O O -

Target Date

Status

Remarks

Mr. Dilip Chandra G Mr. Anil Gupta

IAR/EMS/X/2 & 4-13

2 3 1 2 3 1

Guest House, House Keeping & Canteen

Objective & Targets Customer Satisfaction Internal Audit

Civil - Township

SOP Records Internal Audit SOP

Ms. Priyanka Upadhyay Ms. Janice Arora

IAR/EMS/X/3-13

2 3 4 5 1 Towncare

Customer Complaint Legal Records Competency mapping Legal

Mr. Arup Pal Mr. Rabi Narayan Padhy

2 IAR/EMS/X/5-13 3 Training

Post Training competency

4.4.2

SFI

Auditor(s)

Audit No.

S.No. 1 2

Dept.

Checkpoint Objective & Targets Training & Awareness

Ref. Clause 4.3.3 4.4.2

Observation Departmental objective for the FY 201314 is not available. Out of 40 nos, 02 nos employees in E & I department are aware about the ISO system. Training needs identification plan, record & effectiveness is not available for FY 2013-14 for any of the employees. Environmental aspect as well as their associated impacts is not identified related to departmental activities. List of measuring equipment with their calibration status is not available. No action has been evidenced against the NC related to calibration observed during the last internal audit and as discussed in last MRM of ISO 9001:2008 held in Jan. 13. Checklist related to battery checking & inspection is not evidenced. SOP-OHC-1-01/ 02, not reviewed since 30.10.10. 1) Bio Medical Waste disposal monitoring by OHC representative was not observed. 2) As mentioned in previous IMS internal audit report dated 20.03.13, Autoclave is installed but still not functioning. Although which is a requirement as per Bio-Medical Wastes (Management and Handling) Rules, 1998. Bio Medical waste generation report is recorded in decimals (1.2 gm) but not weighing machine found.

NC/O/SFI NC O

Target Date

Status

Remarks

Records

4.5.4

NC

Mr. Kaushik Dey/ Mr. Ajit Prasad Singh/ Mr. R. N. Padhy/ Mr. Vikalp Kumar

4 IAR/EMS/X/6-13 5 Electrical & Instrumentation

Hazard identification and Risk assessments

4.3.1

NC

Monitoring & Measurement

4.5.1

NC

Internal Audit

4.5.5 4.6

NC

7 1

Documentation Documentation

4.4.4 4.4.4

O O

2 Mr. Vikas K. Singh Mr. Vikalp Kumar IAR/EMS/IX/7-13 OHC Legal 4.3.2

NC

Aspect - Impact Identification

4.3.1

Aspect - Impact Identification related to OHC activities not evidenced.

Operational Control Mr. R. K. Singh Mr. Vikalp Kumar IAR/EMS/IX/8-12 Purchase & Contract Cell

4.4.6

Work order 4561508725 dated 21.08.12, contractor - M/s. Kannelite Facility Management Services, compliance Notewor related to environmental aspects have thy been clearly written & strictly been followed.

Auditor(s) Mr. R. K. Singh Mr. Vikalp Kumar

Audit No.

S.No.

Dept.

Checkpoint Operational Control

Ref. Clause 4.4.6

Observation P. O. 4561013958, dated 19.09.12, Vendor - Dunham Bush International Pvt. Ltd., chiller procurement ODS certificate available against NC no. 09996131M0000035 dated 7.01.13

NC/O/SFI

Target Date

Status

Remarks

IAR/EMS/IX/8-12 2

Purchase & Contract Cell

Notewor thy

Legal & other requirements

4.3.2

Mr. S. K. Pattajoshi Mr. Samrat Samal

IAR/EMS/X/10-13

Horticulture

Evaluation of compliance

5.2

Battery buy back clause is clearly mentioned in P. O. Objective evidence P. Notewor O. no. 4561017527, dated 13.04.13 for thy material UPS, 600 VA for quantity 10 nos. 1) Performance Year wise data found but trend to be developed. SFI 2) Requirement of chemical & fertilizer record found.

Dept. Civil & Towncare HR (Training) Safety Guest house & Canteen Electrical & Instrumentation Horticulture OHC Environment Purchase Contract

Raised 6 5 4 6 5 1 9 3 2 2

Closed

Compliance (%) 5 83.33 5 100.00 4 100.00 6 5 1 9 3 2 2 100.00 100.00 100.00 100.00 100.00 100.00 100.00

ISO 14001:2004
Contract Purchase Environment OHC Horticulture Electrical & Instrumentation Guest house & Canteen Safety HR (Training) Civil & Towncare 75.00

ISO 14001:2004 9th Internal Audit Compliance (%

MR Function EMD (Housekeeping) Contract Purchase Environment OHC Horticulture Electrical & Instrumentation Guest house & Canteen

Guest house & Canteen Safety HR (Training) Civil & Towncare 0 10 20 30 40 50

ISO 14001:2004 - 9th Internal Audit Compliance (%) - Township

Compliance (%)

75.00

80.00

85.00

90.00

95.00

100.00

dit Compliance (%)

50

60

70

80

90

100

ISO 14001:2004
Waste Disposal System at Towncare 4.4.4 At present no separate records for reuse/recycle of O waste is found Drains found dirty behind B Block, cleaning has to be NC ensured Found ok Target date is 25/05/12 Target date is 25/05/12 Target date is 25/05/12 Target date is 25/05/12 Target date is 25/05/12

Storm Water Drain Civil & Towncare

4.5.1

Complaint Register

4.4.3

Record check

4.4.4

No latest SOP & Records found in Township

NC

Aspect Impact List

4.3.1

Not found

NC

ISO 9001:2008 (5th IA held on 04th Jan.'12

Documentation requirement Organisation chart and Responsibility matrix Civil KPI Internal Audit Calibration of measuring & monitoring equipments 4.2 5.5.1 5.4.1 8.2.2 7.6 Documents numbering need to be revised as they are not identifiable Both the documents needs to be updated KPI are defined but in measurable form. KPI need to be in measurable. Record of internal audit and their result not found. No calibration report found for measuring & monitoring equipments
O O O SFI SFI

25.01.12 30.01.12 30.01.12 25.01.12 25.01.12