Western Engineering Co.

Form/Format Title: Internal Audit & Management Review Plan Sr No 01 02 03 04 05 06 07 08 QMS Activity IA 02 MRM-02 IA 03 MRM- 03 IA 04 MRM-04 IA 05 MRM-05 Ap r M ay Ju ne Ju ly A u g S e p # # # # # # O ct Document No: WECO/FF/5.6.1 - 01 Issue: 01, Rev: 0, Date : 01.11.2009 N o v D ec Ja n F e b M ar # # Ap r Ma y Jun e Jul y

___ MR

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Western Engineering Co.

Form/Format Title: Internal Audit & Management Review Plan
From,

Document No: WECO/FF/S-09 Issue: 01, Rev: 0, Date : 01.11.2009

MR To, All Auditees Ref: ISO 9001:2008 QMS Our Internal Audit (Based on ISO 9001:2008 Standard) will be held as per the following schedule: Sr. no 01 02 03 04 Section / Dept. Top Management MR/HR/Marketing Purchase & Store Design & Production Auditee Mr. Ramesh Mr. Keval Mr. Keval Mr. Keval Mr. Ramesh Mr. Keval Date 20.03.2010 20.03.2010 20.03.2010 20.03.2010 Time 11:00 am 12:30 pm 02:30 pm 04:30 pm Acknowledgement Auditor Mr. Dayananda Tewari

The audit will focus on the current documentation system / implementation of quality system. All the sectional heads / managers are requested to co-operate with the auditors.

M.R. Dated: 10.03.2010

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Western Engineering Co.

Form/Format Title: Internal Audit Checklist Document No: WECO/FF/S-10 Issue: 01, Rev: 0, Date : 01.11.2009

I/A No. Circular Date

IA/06/WECO 10.03.2010

I/A Date Audited By

20.03.2010 Mr. Dayananda Tewari

Cl No. Description & Evidence of the Clause 4.2.3 Whether Master List of Documents (Internal & External) exists? Master List of Documents are available ( Doc. Ref. No.WECO/FF/S-2,Issue No.01,Rev-0, Dt.01.07.2009): Yes Internal Documents: Quality Manual, Procedure Manual, Form Formats & Brochure (Copy No: 02, Holder-MR, Issue No: 01, Dt 01.07.2009) are Available in the Master list of Documents. External Documents: ISO 9001:2008 Standard Bought from BIS Office, Mumbai , Others Standard IS:996:1964, IS: 7538: 1975 Specification for three phase squirra cage induction motors for centrifugal pumps 4.2.2 All processes are determined and sequence is defined All Process Sequence Determined & Documented in Quality Manual (Annex A) Ref Doc. No: Yes WECO/QM/Annex-A, Page no: 20, Issue No.01, Rev-0, and Dt.01.10.2007. with interaction of process Annex B (E.g. sales & Marketing, Design & Development, Purchase, preservation, QC & QA, HRD & Admin) . All process interacts between the All above process. 4.2.3 Whether Document Change Request, if applicable Request for change addition form are available (Doc. Ref. No. WECO/FF/S-04, Issue No.01, Rev-0, Dt. Yes 01.10.2007). Client Enquiry Form no ( WECO/MKTG-O1 A) & Quotation Form No (WECO/MKTG-O1) merged in 1 Forms, Form No: MKTG O1 4.2.4 Whether Control of Record Matrix exists? Record Matrix are available (Doc. Ref. No.WECO/FF/SYS-05,Issue No.01,Rev-0, Dt.01.10.2007): Yes As per Standard Requirement for the Control of records, Record Control Matrix Maintained Properly (e.g. Sr. no. Records 12,Records Name: Preventive Maintenance Records (Doc. Ref. No.WECO/FF/6.2.-02,Issue No.01,Rev-0, Dt.01.10.2007, Custodian Maint In Charge, Retention Period-3 yrs, Mode of Disposition Tearing 5.3 Whether Quality Policy (must be signed, having revision no., date and shall be displayed along with translation) exist? Quality Policy (Doc. Ref No: WECO/QM/05 5.3, Issue No.01, Rev-0, Dt. 01.10.2007) are available with Signed, Yes revision no. revision date. Quality Policy displayed at strategic position. 5.4.1 Whether Quality Objectives (must be measurable and defined for all depts. and all levels of staff) exist? Quality Objective (Doc. Ref No: WECO/QM/05 Cl Ref 5.4.1/Sec No: 05), Purchase : Raw Material stock at Yes lower rate for various Product Approx 150 kgs by March2011 5.5.1 Whether Organization Chart exists? Organization Chart is available (Doc. Ref No. WECO/QM/Annex-C, Issue No.01, Rev-0, Dt.05.01.2008): Yes Level 1: Proprietor Handle Accounts & Design, Level 2: CEO/MR handle Purchase/Production/Inspection sales & After sales Service, Level 3: I/C of Store, Machining, winding & fitting, Level : Turner, Winder & Helper 5.5.1 Responsibility & Authority (must be defined for all people in the organization chart) Organization Chart is available (Doc. Ref No. WECO/QM/Annex-D, Issue No.01, Rev-0, Dt.18.09.2007): Yes Level 1: Proprietor Handle Accounts & Design, Level 2: CEO/MR handle Purchase/Production/Inspection sales & After sales Service, Level 3: I/C of Store, Machining, winding & fitting, Level : Turner, Winder & Helper 5.6.1 MRM records: committee shall be defined, advance notice, periodicity, minutes, action plan & follow-up As per Standard requirement, top management is conduct a management review committee meeting on 25.07.2009 & circular of meeting dated on 15.07.2009 (Doc. Ref. No. WECO/FF/S6, Issue No.01, Rev-0, Dt. 01.10.2007) against the I/A audit date 15.07.2009, 3 Nos NCs are raised. All Members present in this meeting( Mr.Ramesh Sheth, Keval R Sheth & Jalpa K Sheth) all points are discussed & set the target date of completion & whos the responsibility done this work mentioned properly(Doc. Ref. No. WECO/FF/S702,Issue No.01, Rev-0, Dt. 01.10.2007). FF NO.SYS 13 Yes

Western Engineering Co.

Form/Format Title: Internal Audit Checklist Document No: WECO/FF/S-10 Issue: 01, Rev: 0, Date : 01.11.2009

I/A No. Circular Date

IA/06/WECO 10.03.2010

I/A Date Audited By

20.03.2010 Mr. Dayananda Tewari

Cl No. Description & Evidence of the Clause 6.2 Record of Education, Skill and Experience Record of Education, skills & Experience are available & Maintained Properly (Doc. Ref. No. WECO/FF/S08 03, Issue No.01, Rev-0, and Dt. 01.10.2007): Records are available, but employess are name are not included in the records of education & skills. (E.g. Name of Employee: Mr. Milan Khara work as an office admin & store assistant, 6.2 Personnel Competence Matrix As per organizations designation actual requirement are described in Personnel Competence matrix (Doc. Ref. No. WECO/FF/S09,Issue No.01, Rev-0, Dt. 01.10.2007): (E.g. Designation: CEO, Qualification: Degree Electrical & Mechanical, Min Experience: 5yrs, Skills: Communication, Purchase, Production management, Sales & After sales service.) 6.2 Training Calendar is available or not? Training Plan is available (Doc. Ref. No. WECO/FF/S10, Issue No.01, Rev-0, Dt. 01.10.2007) ISO Awareness Training May2010, On job Training April2010, Sept2010 & Mar2011 etc... 6.2 Training record & Evaluation are available or not? Training Records are available (Doc. Ref. No. WECO/FF/6.2-03,Issue No.01, Rev-0, Dt. 01.10.2007) 6.3 List of Capital/ Utility Equipments Name List of Capital Equipment are available (Doc. Ref. No. WECO/FF/S11,Issue No.01, Rev-0, Dt. 01.10.2007): (e.g. Lathe Machine No: 01 WECO/01/AIDAH & Drill Machine WECO/02-B/DAH) 6.3 Preventive Maintenance Plan is available or not? If plan are available maintained properly or not? Preventive Maintenance Records (Doc. Ref. No. WECO/FF/S12, Issue No.01, Rev-0, Dt. 01.10.2007) . Machine No: WECO/01/AIDAH Lathe M/C Month of February- Cleaning/oiling Daily, Greasing-Fortnightly Checking Every 2 months 6.3 Breakdown Maintenance Record is maintained Properly? Break down Maintenance Records (Doc. Ref. No. WECO/FF/S13, Issue No.01, Rev-0, Dt. 01.10.2007). Till date no any breakdown the machines, so no records are available. 7.2 Customers Enquiry Customer Enquiry records are maintained Properly (Doc. Ref. No. WECO/FF/S12, Issue No.01, Rev-0, Dt. 01.04.2010) : Client Enq No: WECO/CIQ/1011/146 From Air Solutions for hp, 960 rpm, single phase 230 volt ,50 cycles, Enquiry Dated : 14.02.2010, Delivery within 5 days ( Immediate), Client PO No: WECO/CPO/1011/31 7.2 Quotations of Cos Customer Enquiry records are maintained Properly (Doc. Ref. No. WECO/FF/S1, Issue No.01, Rev-0, Dt. 01.04.2010) : Client Enq No: WECO/CIQ/1011/146 From Air Solutions for hp, 960 rpm, single phase 230 volt ,50 cycles, Enquiry Dated : 14.02.2010, Delivery within 5 days ( Immediate), Client PO No: WECO/CPO/1011/31 7.2 Order Acknowledgement / Contract Review These records maintained only for the customer requirements basis. 7.2 Order Amendment Note Till adte no any order are amendment from Customer Side, But any changes from Customer end issued the new another enquiry/Quotation & Client PO. 7.3 Design & Development Planning Design & Development records are maintained properly. 7.4 New Suppliers Approval Record New Suppliers Formats are available (Doc. Ref. No. WECO/FF/S14, Issue No.01, Rev-0, Dt. 01.10.2007), But FF NO.SYS 13

NO

Yes

Yes Yes Yes Yes

Yes Yes

Yes

Yes NO Yes NO

Western Engineering Co.

records are not maintained properly. (Apple Insulated, Elomoparts & Shah Enterprises registration forms are not available.

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Western Engineering Co.

Form/Format Title: Internal Audit Checklist Document No: WECO/FF/S-10 Issue: 01, Rev: 0, Date : 01.11.2009

I/A No. Circular Date

IA/06/WECO 10.03.2010

I/A Date Audited By

20.03.2010 Mr. Dayananda Tewari

Cl No. Description & Evidence of the Clause 7.4 Approved Suppliers List Approved Suppliers List is available, but New suppliers not updated in Approved Suppliers (Doc. Ref. No. WECO/FF/S15,Issue No.01, Rev-0, Dt. 01.10.2007) 7.4 Re-Evaluation of Suppliers Suppliers Re-evaluation (Doc. Ref. No. WECO/FF/S16, Issue No.01, Rev-0, Dt. 01.10.2007) are not available. 7.4 Incoming Quality Check Records: GRIN, Stamped in Chalan, etc. Incoming Quality Control records are available & Maintained Properly (Doc. Ref. No. WECO/FF/S17, Issue No.01, Rev-0, Dt. 01.10.2007), GRIN Stamp on Auto Die-casting Invoice No: 215 dt 21.02.2010 7.5.1 Control of service Provision Enquiry CUM Quotation :WECO/CI/0910/260 & WECO/Q/0910/260 Beekay Industries : 1/4th HP,4 Pole, 3 phase,415 volt, 50 cycles Pcs 10, dt. 13.01.2010 Internal Process Checking:Testing No. As per Internal Process Checking Testing No: 12189 -12198 dt. 14.01.2010 Final Process Checking: As per Test Report No: D10509-D-10518 Delivery:15.01.2010 Sales Servicing (If): Till date not necessary. 7.5.2 Record of Validation of Special Process: Welding, Soldering, Heat Treatment etc. This clause is not applicable since there is no process in this Organization whose output can not be verified by inspection. 7.5.3 Production/Service Records etc. i.e Work order wise Delivery Enquiry CUM Quotation :WECO/CI/0910/260 & WECO/Q/0910/260 Beekay Industries : 1/4th HP,4 Pole, 3 phase,415 volt, 50 cycles Pcs 10, dt. 13.01.2010 Internal Process Checking:Testing No. As per Internal Process Checking Testing No: 12189 -12198 dt. 14.01.2010 Final Process Checking: As per Test Report No: D10509-D-10518 Delivery:15.01.2010 Sales Servicing (If): Till date not necessary. 7.5.4 Customer Property: Suitability, Loss, Damaged Info Customer property are given from customer and maintained properly & any damage of materials intimation to Customer through Customer property loss damage forms (Doc. Ref. No: WECO/FF/7.5.4-01,issue no:01,Rev:0, Dt.01.10.2007): 7.5.5 Stores Records Stock Records Maintained Properly (Doc. Ref. No: WECO/FF/7.5.1-01,issue no:01,Rev:0, Dt.01.10.2007): (e.g. ) 7.6 Calibration Schedule / Record Calibration Records are maintained Properly 8.2.1 / Customer Feedback: Analysis & Action thereof 7.2

NO NO Yes Yes

Yes Yes

Yes Yes

Customer Feedback is available & also analysis is available. 8.2.1 / Customer Complaint records 7.2 Customer complaint are available, But this complained are not recorded in documented Format S-20A Internal Audit Record: Advance notice, NC Report, NC Closure, Summary of Report, Annual Audit Plan FF NO.SYS 13

Western Engineering Co.

As per Standard requirement, MR & Top Management is conducting a Internal Audit on 23.09.2009 & circular of Audit Dated on 17.09.2009 (Doc. Ref. No. WECO/FF/8.2.department are covert within this Audit( Mr. Ramesh Sheth, Mr. Keval Sheth & Mrs. Jalpa K Sheth) 03 nos Ncs are raised in this Audit(Doc. Ref. No. WECO/FF/S-1002, Issue No.01, Rev-0, Dt. 01.10.2007) & all are closed before 25.03.2010. 8.3 Concession / Deviation Note Not Applicable S-20A Non conforming Product/Services analysis Action thereof against any non conformance Service including Customer related to the employees.

Yes

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Western Engineering Co.

Form/Format Title: Internal Audit Checklist Document No: WECO/FF/S-10 Issue: 01, Rev: 0, Date : 01.11.2009

I/A No. Circular Date

IA/06/WECO 16.03.2010

I/A Date Audited By

20.03.2010 Mr. Dayananda Tewari

Cl No. Description & Evidence of the Clause 8.2.3 Monitoring of Quality Objectives Not Available (Doc. Ref. No: WECO/FF/8.2.3-01,issue no:01,Rev:0, Dt.01.10.2007): 8.2.4 Interim & Final Test Report / Check List Enquiry CUM Quotation : Internal Process Checking: Final Process Checking: Delivery: Sales Servicing (If): 8.4 Analysis of Data No data analysis is available (Doc. Ref. No: WECO/FF/8.4-01,issue no:01,Rev:0, Dt.01.10.2007): 8.5.2 Corrective Action Records Corrective Action Report is not available (Doc. Ref. No: WECO/FF/8.5-01,issue no:01,Rev:0, Dt.01.10.2007): 8.5.3 Preventive Action Records Preventive Action Report is not available (Doc. Ref. No: WECO/FF/8.5-02,issue no:01,Rev:0, Dt.01.10.2007):

NO

NO NO NO

___________________ MR Signature with Date

_______________ Auditors Signature

Note:

YES: Requirement matches or records available as per ISO 9001:2008 Standard Requirement. NO: Requirement Mismatch or records are not available as per ISO 9001:2008 Standard Requirement. OBS: Requirement matches or records available as per ISO 9001:2008 Standard Requirement, but actually not followed
as per documented procedure.

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Western Engineering Co.

Form/Format Title: Non-Conformity (NC) report / Action- plan / NC Closure Document No: WECO/ FF/ S-21 Issue:1, Rev: 0, Dt- 02-07-09 Page 01 of 01 Non-conformity (NC) report / Action-plan / NC Closure NCR No. I/A-06/10-11/WECO/01 Department Purchase Section Audited 07 I/A Audit No. IA 06 Person Audited Mrs. Jalpa K Sheth Audit Date 20th March2010 Auditors Name Mr. Dayananda Tewari ISO Clause Ref 7.4.1 Category of the Non-conformities Major Minor ISO 9001:2008 Clause Ref Description: Record of the selection/ evaluation of supplier shall be maintained Description of the non-conformities: Approved suppliers List is not complete & also Suppliers Follow up action of result arises from vendor rating is not available. Auditor (S) Signature: Route Cause Analysis: Requirement was not known Correction: NIL Corrected By: Department Head Signature: Corrective Action Proposed: Approved suppliers list will be make & also re evaluation of all suppliers. Training will be provided Department Head Signature:

Target Completion Date:25.03.2010 Department Head signature: Corrective Action Implemented/Date & Verified: Approved suppliers List are completed with re evaluation history & also provided training/25.03.2010

Verified By:

Status:

Signature of Verifier with Date:

Abbreviation NCR No. : I/A-01/10-11/WECO/01 Internal Audit Audit no./Year of audit/Organization Name/Sl. No. of NCR Code Description Code Description Code Description IA Internal Audit NCC Non-Conformance Closed NCO Non-Conformance Open NCR Non-conformance Report NCIP Non-Conformance In-Progress

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Western Engineering Co.

Form/Format Title: Non-Conformity (NC) report / Action- plan / NC Closure Document No: WECO/ FF/ S-21 Issue:1, Rev: 0, Dt- 02-07-09 Page 01 of 01 Non-conformity (NC) report / Action-plan / NC Closure NCR No. I/A-06/10-11/WECO/02 Department MR Section Audited 07 I/A Audit No. IA 06 Person Audited Mr. Keval R Sheth Audit Date 20th March2010 Auditors Name Mr. Dayananda Tewari ISO Clause Ref 7.2.3 (C) Category of the Non-conformities Major Minor ISO 9001:2008 Clause Ref Description: The Organization Shall determine and implement effective arrangements for communicating with customer (Customer Feedback including Customer Complaints). Description of the non-conformities: Customer feedback records are not found.

Auditor (S) Signature: Route Cause Analysis: System ignorance.

Department Head Signature:

Correction: NIL
Corrected By: Corrective Action Proposed: Customer feedback will be taken from customer. Department Head Signature:

Target Completion Date: 25.03.2010 Corrective Action Implemented/Date & Verified: Feedback has been taken from customer.

Department Head signature:

Verified By:

Status:

Signature of Verifier with Date:

Abbreviation
NCR No. : I/A-00/00-00/WECO/00 Internal Audit Audit no./Year of audit/Organization Name/Sl. No. of NCR Code Description Code Description Code Description IA Internal Audit NCC Non-Conformance Closed NCO Non-Conformance Open NCR Non-conformance Report NCIP Non-Conformance In-Progress QMS Quality management System

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Western Engineering Co.

Form/Format Title: Non-Conformity (NC) report / Action- plan / NC Closure Document No: WECO/ FF/ S-21 Issue:1, Rev: 0, Dt- 02-07-09 Page 01 of 01 Non-conformity (NC) report / Action-plan / NC Closure NCR No. I/A-06/10-11/WECO/03 Department MR Section Audited 08 I/A Audit No. IA - 06 Person Audited Mr. Keval R Sheth Audit Date 20th March2010 Auditors Name Mr. Dayananda Tewari ISO Clause Ref 8.4 Category of the Non-conformities Major Minor ISO 9001:2008 Clause Ref Description: The Organization Shall determine, collect & analyze appropriate data to demonstrate the suitability & effectiveness of the QMS. Description of the non-conformities: Customer feedback analysis reports are not available.

Auditor (S) Signature: Route Cause Analysis: Requirement analysis was not thought earlier. Correction: NIL

Department Head Signature:

Corrected By: Department Head Signature: Corrective Action Proposed: Customer feedback will be analyzed & appropriate action will be taken, where necessary.

Target Completion Date: 25.03.2010 Corrective Action Implemented/Date & Verified: Feedback Analysis report to be completed.

Department Head signature:

Verified By:

Status:

Signature of Verifier with Date:

Abbreviation NCR No. : I/A-00/00-00/WECO/00 Internal Audit Audit no./Year of audit/Organization Name/Sl. No. of NCR Code Description Code Description Code Description IA Internal Audit NCC Non-Conformance Closed NCO Non-Conformance Open NCR Non-conformance Report NCIP Non-Conformance In-Progress QMS Quality management System

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Western Engineering Co.

Form/Format Title: Non-Conformity (NC) report / Action- plan / NC Closure Document No: WECO/ FF/ S-21 Issue:1, Rev: 0, Dt- 02-07-09 Page 01 of 01 Non-conformity (NC) report / Action-plan / NC Closure NCR No. I/A-06/10-11/WECO/04 Department MR Section Audited 08 I/A Audit No. IA - 06 Person Audited Mr. Keval R Sheth Audit Date 20th March2010 Auditors Name Mr. Dayananda Tewari ISO Clause Ref 8.5.2 & 8.5.3 Category of the Non-conformities Major Minor ISO 9001:2008 Clause Ref Description: Corrective & Preventive actions shall be appropriate to the effects of the non- conformities encountered. Description of the non-conformities: Corrective & Preventive action records are not available as per format.

Auditor (S) Signature: Route Cause Analysis: Requirement analysis was not Known. Correction: NIL

Department Head Signature:

Corrected By: Department Head Signature: Corrective Action Proposed: Henceforth, Corrective & Preventive action records will be maintained on standard format only.

Target Completion Date: 25.03.2010 Department Head signature: Corrective Action Implemented/Date & Verified: Corrective & Preventive is recorded on the standard format.

Verified By:

Status:

Signature of Verifier with Date:

Abbreviation NCR No. : I/A-00/00-00/WECO/00 Internal Audit Audit no./Year of audit/Organization Name/Sl. No. of NCR Code Description Code Description Code Description IA Internal Audit NCC Non-Conformance Closed NCO Non-Conformance Open NCR Non-conformance Report NCIP Non-Conformance In-Progress QMS Quality management System

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