Annexure-14
INTERNAL AUDIT REPORT
Format No: SMLP-QA-F-014-00
Department
Effective Date:
Sample
01.04.2021
Date of Audit
Auditees’ Names
Reference Audit
Standard
Sr. No.
ISO 9001: 2015 QMS, ISO 14001: 2015 EMS and ISO 45001: 2018 OHSMS
Requirements
Ref.
Clause
No.
Auditors’ Names
Compliance
Yes
No
Observation and Comments
N/A
SMLP/PRD/CIRO
Review No: 01
Review Dated: 01/04/2020
Review No: 01
Review Dated: 01/04/2021
Risk --Issues: High Batch Time Cycle
1.
Has the department determined internal &
External issues and risk & opportunity related
to the IMS with systematic approach?
Describe context issues and risk
opportunity….
Risk: Production Loss/ Late Delivery
4.1/
6.1.1
Yes
--
--
Control: SCADA, Competent person / Production procedure, Evaluation
and monitoring in Log sheet verification / Batch tracking sheet
Risk Score:6 – Not Acceptable Risk
Action Plan: Replacement of Under Capacity Equipments/ Batch cycle
time to be monitored on daily basis and minimize the deviation for
findings.
Opportunity --Issue: High Batch Time Cycle
Opportunity: Replacement of Under Capacity Equipments
Action Plan: Action plan for Replacement of Under Capacity Equipments
Page 1 of 6
Annexure-14
INTERNAL AUDIT REPORT
Format No: SMLP-QA-F-014-00
Effective Date:
01.04.2021
Review frequency – Six Monthly
Verified and found satisfactory
SMLP/PRD/NIRO
Review No: 01
Review Dated: 01/04/2021
2.
Has the department determined needs &
expectations of interested parties and risk &
opportunity related to the IMS with systematic
approach?
External Interested Party: Customer
Needs/ Expectations: Material Received as Per Specification, No
Variation in Weight
4.2/
6.1.1
Yes
--
--
Describe needs, expectations and risk
opportunity….
Internal Interested Party: QA
Needs/ Expectations: Proper sample with intimation slip, Batch details for
batch record analysis
Risk: Customer Complaints
3.
Has the people are aware of organization IMS
Policy. How it is communicated in the
department up to bottom level?
5.2
Yes
--
--
Has documented organization chart for
department?
4.
5.
Page 2 of 6
Verify Responsibility & Authorities of
employees at different levels. What happens
in absence? Trained to work at higher level?
Is consultation of workers for as below:
needs and expectations of interested
parties
establishing the IMS policy
Review frequency – Six Monthly
Verified and found satisfactory
Annexure: 05 – Quality & EHS Policy
Interview Person Name: XXX
Awareness found regarding Quality and EHS Policy
5.3
Yes
--
--
SMLP/PRD/RRA
Designation: Shift In-charge
Verified and found documented.
5.4
Yes
--
--
Procedure SMPL/SOP.EHS/018 - Participation and Consultation
Near-miss report –Reporting for Participation of workers to identity the
hazards.
Annexure-14
INTERNAL AUDIT REPORT
Format No: SMLP-QA-F-014-00
Effective Date:
6.
assigning organizational roles,
responsibilities and authorities
fulfil legal requirements and other
requirements
establishing OH&S objectives and
targets
controls for outsourcing, procurement
and contractors
Is consultation of workers for as below:
identifying hazards and assessing risks
and opportunities
determining actions to eliminate hazards
and reduce OH&S risks
determining competence requirements,
training needs, training and evaluating
training
investigating incidents and
nonconformities and determining
corrective actions
Evident verified and found satisfactory.
5.4
Yes
--
--
7.
Has the department determined environmental
aspect impact?
6.1.2
Yes
--
--
8.
Dose retaining information of identified
environmental aspect and updated
periodically?
6.1.2
Yes
--
--
Page 3 of 6
01.04.2021
Verified and found Ok.
SMLP/PRD/EIA
Review No. Dated: 01.04.2021
Document prepared as per the requirements.
Aspect Impact ref. SMPL/PRD/EIA
Ref.
Review No: 01
Review Dated: 01.04.2021
Activity: Atmospheric distillation
Aspect: Vent loss
Impact: 1. Discomfort / Nuisance to people. 2. Air pollution.3.Depletion
of resources.
Condition: Normal/ Direct
Control: Mechanical seal is provided to Agitator to avoid leakage through
gland
Annexure-14
INTERNAL AUDIT REPORT
Format No: SMLP-QA-F-014-00
Effective Date:
01.04.2021
Score: 08 – Non Significant Environment Aspect however cutoff score is
25.
Action Plan/ OCP: SOP/PD/06
Verified and found satisfactory
9.
10.
Dose the department has prepared action plan
to significant environmental aspect?
Is product life cycle perspective determined
and considering in the aspect impact
assessment?
Describe product lift cycle perspective….
6.1.2
Yes
--
--
Verified and evidence is maintained effectively.
6.1.2/
8.1
Yes
--
--
Found Satisfactory.
Hazard Identification & Risk Assessment ref. SMLP/PRD/HIRA
Review No: 01
Review Dated: 01.04.2021
11.
Has the department determined hazards and
assess the risk (HIRA)?
6.1.2.1
Yes
--
--
Activity: Acetylation
Hazard: Reactor may get pressurized during (AC2O+H2SO4) addition
Risk: Skin contact with material, Vapour exposure
Condition: Direct/ Routine/ Emergency
Control: Engineering, SOP, Administrative, Visual and PPE controls are
available.
Action Plan/ OCP: SOP/PD/02
Verified and found satisfactory
12.
13.
14.
15.
Page 4 of 6
Dose retaining information of identified
Hazards & risk and updated periodically?
Dose the department has prepared action plan
to not acceptable OHS risk?
Is relevant applicable requirement are
identified and retained?
Does the department establish objectives at
relevant management system?
6.1.2.1
Yes
--
--
Verified and found satisfactory
6.1.2.1
Yes
--
--
Verified and found satisfactory
6.1.3
Yes
--
--
SMLP/PRD/LR -Legal register verified and updated as on dated
01.07.2021, found ok.
6.2.1
Yes
--
--
Objective Monitoring Sheet: SMLP/PRD/OBJ
Annexure-14
INTERNAL AUDIT REPORT
Format No: SMLP-QA-F-014-00
Effective Date:
Are the IMS objectives as “SMART”?
01.04.2021
Objective: Improvement in through output of Technical from 560 to 583
Kg/Hr
MS: QMS
Base Value: 560 Kg/Hr
Target Value: 583 Kg/Hr
JUN’21: 581 is less then target and reason is 1) Big mixer motor tripping
problem
2) Frequent MSEB power failure(10 Times for total 57 Hrs).
Verified and found updated.
16.
Do they retain documented information on
the IMS objectives?
6.2.1
Yes
--
--
Yes retained records effectively.
Management Program Ref. SMLP/PRD/MP
Dose the department has prepared action plan
to achieve the objective target.
17.
Is any retaining documented information on
the action plant to achieve the objectives and
targets?
6.2.2
Yes
--
--
MP No: PD-MP-02
Date: 01/01/2019
Objective: Through output of Technical from 560 to 583 Kg/Hr
Action Plan is prepared and reviewed effectively.
18.
19.
Verify the work environment condition.
(Clean, noise free, sitting arrangement etc.)
Is training related to IMS provided?
- Training records are maintained?
7.1.4/
8.1
Yes
--
--
Yes, effective work environment observed, found satisfactory.
7.2
Yes
--
--
Training Subject: External HAZOP Study for Critical processes,
Dated: 10-12 Apr 2021,
By Mr. Patel (External),
Participations No. 11
Verified and found satisfactory.
8.1
--
No
--
OHS Operation control not effective. – Minor NC
- Bare cable (Without Plug) found inserted into socket.
- Rubber mat found missing in front of panel.
Is effective operational controls are verified,
and maintained for OHS?
20.
Page 5 of 6
i.e: Obstacle materials, Leak/ Spill
Control, Process Parameter Control,
PPE’s compliance, Visual identifications,
etc)
Annexure-14
INTERNAL AUDIT REPORT
Format No: SMLP-QA-F-014-00
21.
Is effective operation of process as per
defined parameters?
- Give any Process batch sheet….
- Described Batch Process Paraments….
Effective Date:
8.5.1
Yes
--
--
01.04.2021
Batch production record –Technical
Batch No: LT28151
Start Batch: 30/01/2021
Completion Batch: 01/02/2021
Data Checked & verified found ok.
Observations Summary (Including Physical Operational Control):
Minor NC
1. OHS Operation control not effective. – Minor NC i.e. Bare cable (Without Plug) found inserted into socket. Rubber mat found missing in front of panel.
Audit Findings Category
Number
Auditor
Auditee
Signature
Signature
Conformity:
Non-Conformity
Observations:
Page 6 of 6
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