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University of Petroleum & Energy Studies

Internal Audit Plan


Standards: ISO 9001:2008
& ISO 14001:2004

Project No.: UPES/ISO/02 Date: 01 JULY.1

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Audit Location Energy Acres, P.O. Bidholi Via
Prem Nagar, Dehradun-248007,
Uttarakhand, India
Date of Audit 2014- JULY-18 2014-JULY-19 &
2014- JULY-21

Audit Type Internal Audit ISO 9001:2008 &
ISO 14001:2004

Project No UPES/ISO/02
Site contact
Team Leaders
Dr. V J Byra Reddy
Dr Neeraj Anand(DNA)
Dr Nihal Siddiquee(NAS)

Team
Auditor(s)
Dr Ramesh Kumar(RK)
Dr Rishi Dewan(RD)
Dr Amit Agarwal (AA)
Dr Shyam Pandey(SP)
Ms Rajeshwari Deb(MRD)
Team Leader
Mail address
vjbyrareddy@ddn.upes.ac.in
nanand@ddn.upes.ac.in
nihal@ddn.upes.ac.in

Team Leader
phone #

+91-7895771775
+91-9997807491
+91-9634525401
Co-auditors 1) Mr Vikram Tomar (VT)
2) Dr Pushpanjali Singh (PS)
3) Mr Charu Pant(CP)
4) Mr A P Semwal (APS)
5) Dr. Inder Singh (IS)



Scope
Key Audit
Objectives
1) Determination of the conformity of the QMS & EMS management system with the
standard
2) Evaluation of the effectiveness of the management system to ensure the organisation
is capable to:
Meet applicable statutory, regulatory and contractual requirements, and
Achieve specified objectives

Focus Areas System effectiveness
Date : 2013-July-18
Site: University Of Petroleum & Energy Studies
Time &
Shift

Activity/Department Auditee Auditors
10.00-
11.00
Opening Meeting with Senior
Management Briefing on QMS/EMS
Procedures, importance of
accreditation; Discussion on Scope
and Quality Policy
---------------- All Team
Members/Auditors/PVC/
Campus Director/Deans/Asso.
Deans/Departmental Heads
etc.
11.00-
12.15
Audit of Management System- Quality
Manual, Procedures and Process
control Sheets
Structure of Documentation and
Document Control
Departmental
Heads/Deans/
Directors
AA/SP/RD/VT /PS
/RK/MRD/APS/DNA/NAS
University of Petroleum & Energy Studies
Internal Audit Plan
Standards: ISO 9001:2008
& ISO 14001:2004

Project No.: UPES/ISO/02 Date: 01 JULY.1

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12.15-
13.30
Course Planning & Delivery
Syllabi design & review Feedback and
Monitoring
Asso. Dean -
CoMES (Gen. S.P.S.
Narang) /Asso.
Dean -COES
(Dr. S.C.Gupta)
Asso. Director
COLS (Dr.T.Ahmad)
AA/SP/RD/VT /PS
/RK/MRD/APS/DNA/NAS
13.30-
14.00
Lunch
14.00-
15.00
SRE CE (Dr
Bhattacharya)
SP/MRD/APS/DNA
15.00-
16.00
Career Services Ms Alka Madan RD/APS/RK/NAS
Date : 2014-JULY-19
Site: University
Time &
Shift

Activity Auditor
10.30-
11.30
Purchase & Stores CFO (Mr.
Vashisth)

11.30-
12.00
IT Mr Ravindr
Yataigiri
AA/VT/RD
12:00-
12:30
Library Dr Ranjan
S.Thakur
RD/VT/PS/DNA
12.30-
13.30
Enrolment Mr Vikram
Tomar
SP/RD/NAS
13.30-
14.00
Lunch
14.00-
14.30
Consultancy & Technical
services
AA/NAS
14.30-
15.30
Govt. Relations & Media
Affair
Mr Arun Dhand SP/DNA
15.30-
16.30
Student Development &
Student Affairs
Brig Anil
Sharma
AP/RK
16.30-
17.00
Maintenance Of
Infrastructure
Brig.S.S.Dhillo
n
DNA/NAS
17.00-
17.30
HR Mr Amal Gupta AA/SP/RD
Date : 2014-JULY-19
Site: University
Time &
Shift

Activity Auditor
10.30-
11.30
Administration Brig SS Dhillon AA/SP/DNA
11.30-
12.30
R & D/Labs SP/RD/DNA/VT/PS/APS
12.30-
13.30
CCE Wg Cdr P K
Gupta/Dr. Joji
Rao
MRD/SP/SG
University of Petroleum & Energy Studies
Internal Audit Plan
Standards: ISO 9001:2008
& ISO 14001:2004

Project No.: UPES/ISO/02 Date: 01 JULY.1

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NOTE: PLEASE ENSURE THE FOLLOWING:

1. COMMUNICATE THE AUDIT AGENDA TO ALL
2. RECORDS TO BE HANDY
3. PRESENCE OF ALL KEY PROCESS OWNERS

IF YOU HAVE ANY OBJECTION TO THE INCLUSION OF ANY OF THE MEMBERS IN THE AUDIT
TEAM PLEASE INFORM US IMMEADIATELY ON RECEIPT OF THIS AUDIT PROGRAMME
13.30-
14.00
Lunch
14.00-
14.30
Industrial Relation Mr Sachin
Pasricha
SP/VT/DNA/AA
14.30-
15.30
Outreach Services Dr Neeraj
Rawat
DNA/RD/APS
15.30-
16.30
Academic Affairs Dr S.R.Das RD/AA/DNA/NAS
16.30-
17.00
MR/Dy MR Dr. Sumit Gupta/RK
17.00-
17.30
Briefing of NC & Closing
Meeting
Team Leaders and Auditors