International Standards Certifications Pty. Ltd.

Report No

A.B.N. 45 071 810 949

Page No.

The Quality Centre, Suite 32/7 Anella Ave, Castle Hill, Sydney, NSW 2154, Australia

Audit
Date(s)

A/91/328/109
1

of

5th & 6th September2001

INITIAL AUDIT REPORT

COMPANY:

B. S. E. S. (India) Pvt. Ltd.,

AUDITED

Near Alka Hotel, Shastri Circle, Udaipur 313 001, Rajasthan, India.

SITE(S):
STANDARD:

ISO 9002:1994

CLIENT:

As Above
SCOPE OF AUDIT

/ CAPABILITY:

Scope: - Marketing, Sales, Service & Installation of D. G. Sets & heavy earth Equipments.
.

ANZSIC CODE

: F 4611

NUMBER OF EMPLOYEES :

34

Report By.....N. Bhattacharya ...Signature.................................................Date..07.09.2001

FORM 05 AUDREP 1
ISSUE 1 REV
4

Report No

International Standards Certifications Pty. Ltd.

A.B.N. 45 071 810 949

Page No.

The Quality Centre, Suite 32/7 Anella Ave, Castle Hill, Sydney, NSW 2154, Australia

Audit
Date(s)

Clause
ISO
9001 & 2

Clause Title

Clause
Status
*
Mi

A/91/328/109
2

CAR / NCR #. & Status

Car no. 01/01 raised

Management Responsibility

4.2

Quality System

4.3

Contract Review

Mi

4.4

Design Control

4.5

Document & Data Control

4.6

Purchasing

4.7

Control of Customer Supplied Product

4.8

Product Identification & Traceability

4.9

Process Control

4.10

Inspection & Testing

4.11

Control of Insp., Measuring & Test Equip.

4.12

Inspection & Test Status

4.13

Control of Non-Conforming Product

4.14

Corrective & Preventive Action

Mi

Car no. 01/06 raised & closed

4.15

Handl., Storage, Packag., Pres.. & Delivery

Mi

Car no. 01/07 raised

4.16

Control of Quality Records

4.17

Internal Quality Audits

4.18

Training

Mi

Car no. 01/08 raised

4.19

Servicing

Mi

Car no. 01/09 raised

4.20

Statistical Techniques
S

5th & 6th September2001

4.1

* Clause Status:

of

Mi

Car no. 01/02 raised

Not Applicable
Car no. 01/03 raised

= Satisfactory,

S
Mi

Car no. 01/04 raised

S
Mi

Car no. 01/05 raised

S
Ma = Major,

Mi = Minor,

N/A = Not audited fully

Comments

Total 9 CARs have been raised during the Initial Audit. Car no. 01/06 was closed before the close out
meeting. Completion dates have been provided for the CARs pending clearance

FORM 05 AUDREP 1
ISSUE 1 REV
4

International Standards Certifications Pty. Ltd.

Report No

A.B.N. 45 071 810 949

Page No.

The Quality Centre, Suite 32/7 Anella Ave, Castle Hill, Sydney, NSW 2154, Australia

Audit
Date(s)

A/91/328/109
3

of

5th & 6th September2001

SUMMARY OF AUDIT
An audit of the B. S. E. S. (India) Pvt. Ltd. - Udaipur, Quality System was conducted on the above
date by International Standards Certifications in accordance with the requirements outlined in ISO
Standard 10011.1 and Standards Australia publication QS5. The purpose of the audit was to verify
compliance of the implemented system to the requirements of the company quality manual, associated
procedures and ISO 9002:1994.
NONCONFORMANCES IDENTIFIED
The system Audit Plan and the Audit Attendance Register identifying those Present during the entry and
exit meetings are provided as attachments.
The audit team observed that the Management and personnel of M/s. B. S. E. S. (India) Pvt. Ltd. Udaipur, were committed to the development of the quality system and appreciated the opportunities
for improvements identified during the audit. The details of CARs raised are as follows.:
4.1 Management Responsibility
The System does not ensure that
a) The word delight used in English Quality policy is correctly translated in Hindi Quality policy.
b) All agenda points as indicated in the procedure are covered in Management review and results of
discussion are recorded in the MRM report.
4.3 Contract Review
The System does not ensure that
Before accepting order from the customer the capability to fulfill the order requirement is reviewed in all
cases.
Viz. Marketing of spare parts.
4.5 Document and Data Control
The System does not ensure that
All documents are reviewed for their correctness before approval.
Viz. a) P/STR/01 refers procedure for inward material inspection, whereas such document is not
available.
b) P/STR/01 indicates material officer in place of stores officer
4.9 Process Control
The System does not ensure that
a) A formal method of production planning and execution is adopted for repair works so that in case
of any non-conformity the root cause and responsible person can be identified.
b) All work orders are properly filed.
Viz. The estimate column of most of work orders are unfilled.
4.11 Control of Inspection, Measuring and Test Equipment
FORM 05 AUDREP 1
ISSUE 1 REV
4

International Standards Certifications Pty. Ltd.

Report No

A.B.N. 45 071 810 949

Page No.

The Quality Centre, Suite 32/7 Anella Ave, Castle Hill, Sydney, NSW 2154, Australia

Audit
Date(s)

A/91/328/109
4

of

5th & 6th September2001

The System does not ensure that

Identified Torque wrenches are calibrated regularly.
4.14 Corrective & Preventive Action
The System does not ensure that
Prompt corrective action is taken against all internal and external audit NCs. Viz. 4 internal audit NCs and
one NC on document review by 3rd party yet to be closed.
4.15 Handling, Storage, Packaging, Preservation and Delivery
The System does not ensure that
a) Procedure P/STR/01 indicates dispatch activity in the way as being done.
Ex. Parts order booking register has been addressed in the procedure.
b) All repaired engines awaiting dispatch are properly preserved.
Ex. Silencer of two engines were found unprotected and open.
c) Procedure P/STR/01 indicates stock ledger up keeping method
4.18 Training
The system does not ensure that
All training needs identified by the HODs are taken in the training plan and feed back on training imparted is
correctly recorded
4.19 Servicing
The system does not ensure that
Field Service Engineers indicate service date and FSR No. on the AMC planner as indicated in the plan.
OPPORTUNITIES FOR IMPROVEMENT
The Auditor observed that Corrective actions were immediately initiated. Car no. 01/06 was closed
before the close out meeting. Corrective action completion dates have been provided for the pending 8
CARs.

FORM 05 AUDREP 1
ISSUE 1 REV
4

International Standards Certifications Pty. Ltd.

Report No

A.B.N. 45 071 810 949

Page No.

The Quality Centre, Suite 32/7 Anella Ave, Castle Hill, Sydney, NSW 2154, Australia

Audit
Date(s)

A/91/328/109
5

of

5th & 6th September2001

CONCLUSION
The basic of the system were found to have been implemented. Future efforts will be required in coming
months to ensure the system development continues.
Based on the audit findings since no Major NCRs were found and corrective action plans against the
pending Minor NCRs have already been developed by the client, reviewed and accepted by ISC, a
recommendation for Certification of the Quality Management System of M/s. B. S. E. S. (India)
Pvt. Ltd. - Udaipur will be made under the following provisions.
Verification of the planned corrective action will be undertaken by ISC during Surveillance Audit

N. Bhattacharya - Lead Auditor

International Standards Certifications

FORM 05 AUDREP 1
ISSUE 1 REV
4