Summary GlaxoSmithKline Depot Audit ( West Region ) Conducted on 14th & 15th Dec 2013 S. No. 1 1.1 1.1.

1 1.1.1 (a) 1.1.1 (b) 1.1.2 1.1.2 (a) 1.1.2 (b) 1.1.3 1.1.3(a) 1.1.3(b) 1.1.3(c) 1.2 1.3 1.3.1 1.3.2 1.4 1.4.1 1.4.2 1.4.3 1.4.4 1.4.5 1.4.6 1.4.7 1.4.8 1.4.9 1.5 2 2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.7.1 2.7.2 2.8 2.9 2.10 Particulars Physical Verification Saleable Inventory Shortage Shortage in Units Value of Shortage Excess Excess in Units Value of Excess LOT Variance Instances Units Value SIR Stock Physically Found at Depot Freebie/POP/POS Items Shortage Excess Fixed Assets Shortage Excess Other Issues Fixed Assets not in working Condition Assets without/Wrong Parent Code in Depot Reg. Fixed Assets Installed in another Godown Fixed Assets not in Use Fixed Assets found in broken condition/damaged No. Of Pallets Present at the Depot in Total Un-Identifiable & Un-Countable Items Storage/Stacking related issues Cartons Stacked together without Space & Passage. Over and/or Improper Stacking of Freebie/POP/POS. Un-Stable Cartons may fall down & result into breakage. Inverted Cartons Overstacking of Finished Goods Stacking against wall Stacking on Floor/Pallets OTC NHC Expired/Damaged stock stacked with Fresh Stock Un-Sealed Cartons & Cartons in Torn-Off & Damaged Condition Stock Kept in different company Cartons

2.11 2.12 2.13 3 3.1 3.1.1 3.1.2 3.1.3 3.1.4 3.2 3.2.1 3.2.2 3.2.3 3.3 3.3.1 3.3.2 3.4 3.4.1 4 4.1 4.2 4.3 4.4 4.5 4.6 4.6.1 4.6.2 4.6.3 4.6.4 4.7 4.8 4.9 4.9.1 4.9.2 4.10 4.11 4.12

Inadequate Lighting Inward & Outward during PV Damaged fixed asset Lying in Godown License & Other Documentation Agreements Warehouse Agreement Pest Control Agreement Transporter's Agreement Godown Lease Agreement License Drug License FSSAI License Service Tax Registration Invoice Template GSK's Drug License VAT/CST of Customer/Consignee Inward-Outward Regsiter at Gate Goods returned to Depot properly entered in Inwards Register Other Issues First Expiry First Out (FEFO) being Followed Mis-Match in Shelf Life/PKD/EXP. Water Seepage Marks/Water Dripping from Roof GSK Board/Logo displayed Fresh Stock appearing as Expired in JDE Expired & Damaged Inventory Lying in Godown Upto 30 Days 31-60 Days 61-120 Days Beyond 120 Days Godown Temperature records Maintained Thermometers installed in Iodex Area Bin Cards properly Maintained Record Retention Policy Old Records Storage Indexing Of Documents Well laid TARRED/RCC road outside the godown Proper Hygiene maintained

Observation/Deviation- Action Required No-Observation/No Actionable Oberservation Corrective & Preventive Action Timeline Required

Ahemdabad

RSO CSL COMMENTS

45,47,496 Units worth INR 8,34,71,591

1 Instances 60 Units INR 764.40

FAR not updated. 3 Units

445 Pallets

Yes

On Pallets On Pallets Yes , Few cartons of Horlicks were kept in torn off Condition.

Yes , 99,320 Units with a value Of INR 5,48,748.80.

168 Units worth INR 25,665.36. 192 Units worth INR 30,798.72 10,380 Units worth INR 123,033.

CORRENTIVE & PREVENTIVE ACTION

CLOSURE TIMELINES