Document No.

KEC/IMS/14/F/02

INTERNAL AUDIT REPORT Issue. No. 02 Rev. No. 00

Issue. Date 08-12-2018 Rev. Date 00-00-00
Page No. 1

Audit date :

Name of BU :

Locations covered in this audit :

Name (s) of Auditor (s) :

Name (s) of Auditee (s) :

Sr.No. Name Department/Activity In-charge Designation
1
2
3
4
5
6
7
ISO CLAUSE NO. / SUB-
CLAUSE NO. Responsible
CLAUSE / SUB-CLAUSE DESCRIPTION Auditor comment Process / Area C/NC/OI Support
9001: 14001: 45001: Person
2015 2015 2018
4.0 Context of the Organization
Understanding the organization and
4.1 4.1 4.1
its context
Understanding the needs & Minor
Project Provide Formats and
4.2 4.2 4.2 expectation of workers and No data present and No awareness NC PM
Management Training
interested / other interested parties
Determining the scope of Quality,
4.3 4.3 4.3 Environment and OH&S
Management system
 Document No. KEC/IMS/14/F/02

INTERNAL AUDIT REPORT Issue. No. 02 Rev. No. 00

Issue. Date 08-12-2018 Rev. Date 00-00-00
Page No. 2

Quality, Environment & OH&S

4.4 4.4 4.4
Management system.

5.0 Leadership and Worker Participation

5.1 5.1 5.1 Leadership and commitment
Found satisfactory evidences for policy
Project
5.2 5.2 5.2 Quality Policy, HSE Policy implementation, however awareness to QI PM
Management
ground level was not sufficient

Organizational roles, responsibility & Project Minor

5.3 5.3 5.3 Not found PM
authorities Management NC

Consultation and Participation of Project

-------- -------- 5.4 Not found QI PM
workers Management

6.0 Planning
Actions to address risk & Project Minor Guided on how to do
6.1 6.1 6.1 Not found PM
opportunities Management NC and format provided
-------- 6.1.1 6.1.1 General
- Environmental aspects (EMS)
- Hazard identification and
-------- 6.1.2 6.1.2 NA
assessment of risks and
opportunities (OH&SMS)
- Compliance obligation (EMS)
- Determination of legal
-------- 6.1.3 6.1.3 NA
requirements and other
requirements (OH&SMS)
-------- 6.1.4 6.1.4 Planning action
6.2 6.2 6.2 - Quality objectives and planning to
achieve them (QMS)
 Document No. KEC/IMS/14/F/02

INTERNAL AUDIT REPORT Issue. No. 02 Rev. No. 00

Issue. Date 08-12-2018 Rev. Date 00-00-00
Page No. 3

- Environmental objectives and

planning to achieve them (EMS)
- OH&S objectives and planning to
achieve them (OH&SMS)
- Environmental objectives (EMS)
-------- 6.2.1 6.2.1
- OH&S Objectives
- Planning actions to achieve
environmental objectives (EMS)
-------- 6.2.2 6.2.2
- Planning actions to achieve OH&S
objectives (OH&MS)
6.3 -------- -------- Planning of changes
7.0 Support
7.1 7.1 7.1 Resources
7.1.1 -------- -------- General
7.1.2 -------- -------- People
7.1.3 -------- -------- Infrastructure
Environment for the operation of
7.1.4 -------- --------
processes
Monitoring and Measuring
7.1.5 -------- --------
resources

7.1.6 -------- -------- Organizational knowledge

7.2 7.2 7.2 Competence

7.3 7.3 7.3 Awareness

7.4 7.4 7.4 Communication

-------- 7.4.1 7.4.1 General

 Document No. KEC/IMS/14/F/02

INTERNAL AUDIT REPORT Issue. No. 02 Rev. No. 00

Issue. Date 08-12-2018 Rev. Date 00-00-00
Page No. 4

-------- 7.4.2 7.4.2 Internal communication

-------- 7.4.3 7.4.3 External communication

7.5 7.5 7.5 Documented information

7.5.1 7.5.1 7.5.1 General

7.5.2 7.5.2 7.5.2 Creating and updating

7.5.3 7.5.3 7.5.3 Control of documented information

8.0 Operation
8.1 8.1 8.1 Operational planning and control
-------- -------- 8.1.1 General
Eliminating hazards and reducing
-------- -------- 8.1.2
OH&S risks

-------- -------- 8.1.3 Management of change (MOC)

-------- -------- 8.1.4 Procurement

- Requirement for product and
services (QMS)
8.2 8.2 8.2
- Emergency Preparedness and
response (EMS & OH&SMS)
8.2.1 -------- -------- Customer communication
Determining the requirements for
8.2.2 -------- --------
product and services
Review of the requirements for
8.2.3 -------- --------
product and services
 Document No. KEC/IMS/14/F/02

INTERNAL AUDIT REPORT Issue. No. 02 Rev. No. 00

Issue. Date 08-12-2018 Rev. Date 00-00-00
Page No. 5

Change to requirements for products

8.2.4 -------- --------
and services
Design and development of product
8.3 -------- --------
and services
8.3.1 -------- -------- General
8.3.2 -------- -------- Design and development planning

8.3.3 -------- -------- Design and development input

8.3.4 -------- -------- Design and development controls

8.3.5 -------- -------- Design and development output

8.3.6 -------- -------- Design and development changes

Control of externally provided
8.4 -------- --------
processes, products and services
8.4.1 -------- -------- General
8.4.2 -------- -------- Type and extent of control

8.4.3 -------- -------- Information for external providers

8.5 -------- -------- Production and services provision

Control of production and service
8.5.1 -------- --------
provision
8.5.2 -------- -------- Identification and traceability
Property belonging to customers or
8.5.3 -------- --------
external providers
8.5.4 -------- -------- Preservation

8.5.5 -------- -------- Post-delivery activities

 Document No. KEC/IMS/14/F/02

INTERNAL AUDIT REPORT Issue. No. 02 Rev. No. 00

Issue. Date 08-12-2018 Rev. Date 00-00-00
Page No. 6

8.5.6 -------- -------- Control of changes

8.6 -------- -------- Release of Product and services
8.7 -------- -------- Control of non-conforming outputs
9.0 Performance evaluation
Monitoring, Measurement, Analysis
9.1 9.1 9.1
and performance evaluation
9.1.1 9.1.1 9.1.1 General
- Customer satisfaction (QMS)
9.1.2 9.1.2 9.1.2 - Evaluation of compliance (EMS &
OH&SMS)
9.1.3 -------- -------- Analysis and evaluation
9.2 9.2 9.2 Internal audit
------- 9.2.1 9.2.2 General
-------
9.2.2 9.2.2 Internal audit Programme
-
9.3 9.3 9.3 Management review
9.3.1 -------- -------- General (QMS)
9.3.2 -------- -------- Management review inputs (QMS)
9.3.3 -------- -------- Management review outputs (QMS)
10.0 Improvement
10.1 General
Incident, Nonconformity and
10.2
corrective action
PM/
Project
10.3 Continual improvement No data for improvement found QI Quality/ All Guided on how to do
Management
In-charge
 Document No. KEC/IMS/14/F/02

INTERNAL AUDIT REPORT Issue. No. 02 Rev. No. 00

Issue. Date 08-12-2018 Rev. Date 00-00-00
Page No. 7

 Major NC- Completely Not fulfilling the requirement of standard. -

 Minor NC – Standard requirement not meeting adequately. -
 C- Confirming the requirement. –
 OI – Opportunity of improvement. -