INTERNAL AUDIT REPORT

Process/Function: Top Management Audit No.: IQA-01/20-21

Process Owner: Audit Date: 23.07.2020
Auditor Name: B. Vijay Kumar (External) Audit Ref.: QMS Manual A-00 dt. 01.06.20
Audit Time: 9.30AM to 10.30AM
Clause Requirements Observation Result
(ISO 9001:2015) (Process/Activity) (Objective Evidence) C NC OFI
Yes- internal and external issues relevent to the management
Context of the Organization - Understand the Internal & External
4.1 strategy is addressed in Annexure A of page 4. Eg. Internal Issues - P
Issues relevant to the manaement strategy? Strength: Infrastructure - Own Building

Yes- interested parties needs and expectations are addressed in

Determine the Interested Parties, Needs & Expectations of the Annexure B page 1. Eg.Customer: Automobile (Tier II & Tier III);
4.2 P
Interested Parties? Needs & Expectations: Schedule Adherence; Quick Response;
Certified to ISO 9001:2015

Yes-Scope of the QMS in Annexure C, A-00 dt. 04.08.17 :-

Scope of SAE: Providing Power Coating on Metal Components;
Scope of SAE (MF): Providing Electroplating on Metal Components
4.3 Scope of the QMS is defined in line with product, process and the P
QMS activities?
Business Process Map in Annexure D, A-00 dt. 04.08.17:-
Eg. Production, Marketing, QC, Stores

Determine the Sequence & Interactions, Input & Outputs, Criteria & yes-Organisational chart and RRA are defined in Annexure F
4.4 P
methods, Resources and RRA for the QMS activities? Eg,. Production I/c - Production planning

5.1.1 Demonstrate leadership and Commitment with respect to the Yes-Leadership and commitment with respect to the QMS is P
QMS? addressed in Annexure H for quality objectives and targets page 1.

Demonstrate leadership and Commitment with respect to the yes- Customer focus is addressed with statutory and regulatory
5.1.2 P
Customer Focus? aspects, risk oppurtunities are addressed in Annexure G page 1 to 6.
 Establish, Implement and Maintain a Quality Policy, appropriate to
5.2.1 Yes-Quality policy is addressed in the quality manual in Annexure E. P
the purpose of the Organization?

Quality Policy should be available, communicated within the

5.2.2 Yes-Quality policy is displayed in all process areas. P
organization and made available to the Interested Parties?

Organizational Roles, Responsibilities and Authorities are Assigned, Yes- Organisational roles, responsibilities and authorities are
5.3 P
Communicated and Understood? addressed in Annexure F.

Yes- Risk & Oppurtunities are documented in risk analysis as per

the activity base covering all the department. Eg. Production Plating
6.1.1 Determine the Risks & Opportunities related to the QMS Activities? P
unit, PRD-02 Priority Change risk, Likelihood: 3, Consequence: 3;
Risk Level: 9 (High)

Yes- Opportunity Utilization Plan is documented with Target and

Plan and Implement Actions to Address Risks & Opportunities?
6.1.2 Responsibility, Eg. Quality Powder Coating Unit, Final Inspection P
Review & Update the Risks & Opportunities?
stage, recruit Final Inspector

Establish Quality Objectives at relevant Process/Function, Yes-Quality objectives at relevant process are considered with
6.2.1 quality policy covering all the departments.Eg. In Process Quality P
Consistent with Quality Policy, Measurable & Monitoring?
Level, IQL : Less than 2%

6.2.2 Plan for Achieving Quality Objectives & Targets? Yes-Quality objectives and targets addressed in Anneture H page 1. P

Yes-Management change covering planning ,implementation,review

Management of Change - Initiating, Planning, Implementing, Review
6.3 and updating is addressed in the QMS manual Annexure I page 1 to P
& Updating the Organizational Changes?
3.

Plan and Provide Resources necessary for the effective Planning & Yes-Resources are planned as per operations & is addressed in SAE-
7.1.1 P
Operations of the QMS? PM-01

Plan, Provide and Maintain Infrastructure necessary for the Yes-Good infrastructure Provided for effective planning,Operations
7.1.3 P
effective Planning & Operations and Product Conformity? & product confirmity
 Plan and Provide Valid and Reliable Monitoring & Measuring Yes-Provided suitable, Qualified man power and Reliable monitoring
7.1.5.1 P
Resources to verify Conformity of the Product? systems are maintained & measuring equipments list maintained.

Determine the Documented Information necessary for the effective Yes-Documented information is addressed in the manual of
7.5.1 P
Planning and Operating the QMS? Annexure M page 1 to 6.

Create and update documented information with suitable Yes-Documented information is created by the concern responsibity
7.5.2 P
identification, format and review? with relevant information as per the activity.

Documented Information should be available and suitable for use, Yes- Documents are available and with appropriate identification
7.5.3.1 P
and adequately protected? with labels.

Control of Documented Information for Distribution, Access,

Yes- Documents are controlled with distribution register are
7.5.3.2 retrieval, Use, Storage, Presrvation, Change Control, Retention and P
available and addresses in Annexure-M
Disposition?

Plan, Implement and Control the Manufacturing Processes to Yes-To acieve the product conformity manufacturing plan,
8.1 Impliment, toolings & control methods are discussed in the P
achieve the Product Conformity?
Feasibility study report.

Yes- Product requirements are determined in the meeting & verified

Determine the Requirement for the Product? P
the manufacturing Feasibility record.

Determine the Acceptance Criteria for the Product? Yes- Product acceptance criteria is established through Drawings. P

Determine the Resources necessary for the Product Realization and Yes-Resources necessary for the product realization & product P
to achieve the Product Conformity? confirmity is provided .

Yes- Change management is addressed in Annexure I & documents

Plan, Implement and Control of Changes to the Product and Process
are maintained for Management of change plan management of P
as necessary?
change request & change report.
 Plan and implement Monitoring, Measurement, Analysis and
9.1.1 Performance and effectiveness is addressed in Annexure N P
Evaluation of the QMS?

Evaluate the performance and the effectiveness of the quality

management system, and retain appropriate documented Customer satisfaction survey report verified . P
information as evidence of the results?

Monitor customers’ perceptions of the degree to which their needs

9.1.2 Customer feedback indicating customer satisfaction scoring. P
and expectations have been fulfilled?

Determine the methods for obtaining, monitoring and reviewing QMS program is evidenced for reciew the information and take P
this information? action against.

conduct internal audits at planned intervals to ensure that the QMS Yes-Internal Audit plan, schedule and frequency are evidenced for
9.2.1 P
implemented effectively? FY2018-2019. Internal Audit is conducted as per plan & Schedule

Plan, establish, implement and maintain an audit programme(s) Yes- Audit programmes evidenced for frequency, method,
including the frequency, methods, responsibilities, planning responsibility, planning requirements & reportings are evidenced. P
requirements and reporting? Annexure-O .

Yes- Audit criteria and scope for each audit is defined. Refer Internal
Define the audit criteria and scope for each audit? P
Audit Plan, Verified Production Department

Select auditors and conduct audits to ensure objectivity and the Yes-Qualified Internal Auditor (external) is engaged for Internal P
impartiality of the audit process Audit.

Ensure that the results of the audits are reported to relevant Yes - discussed in MRM, all Managing Partners are aware about the P
management NC's and OFI's observed during Internal Audit Cycle 02

Take appropriate correction and corrective actions without undue

Yes - discussed in MRM, Managing Partner is aware P
delay?
 Retain documented information as evidence of the implementation
Yes - Internal Audit Cycle 2 Reports available P
of the audit programme and the audit results?

Review the organization’s quality management system, at planned

9.3.1 Yes- Management review meeting conducted once in a year P
intervals?

Yes- All agenda points like Previous MRM points, N.C closure,
Plan and carryout the management review considering all agenda
Management objectives, & improvements points plans are P
points?
evidenced as per Annexure-P

The outputs of the management review include decisions and

actions related to, opportunities for improvement, any need for As per ISO 9001:2015 being conducted. Eg. MRM-02 during Jun-18 P
changes to the quality management system, resource needs?

Retain documented information as evidence of the results of

MRM-02 Minutes available P
management reviews?

Determine and select opportunities for improvement and Improvement and Opportunities are addressed in Annexure-S
10.1 implement any necessary actions to meet customer requirements Continual improvement. Improvement projects are to be discussed P
and enhance customer satisfaction? in the MRM.

Improve products and services to meet requirements as well as to The needs and expectaions of the intereseted parties were P
address future needs and expectations? addressed to meet requirements as well.

Risk Assessment is done for all process initially. Corrective action

Correct, prevent or reduce undesired effects? P
done if any undesired effect arise and update in risk assessment.

Improve the performance and effectiveness of the quality Periodic Internal Audits and Management Review. Plan evidenced
P
management system? for both during FY 2018-19

When a nonconformity occurs, react to the nonconformity, take When the nonconformity occurs, the details ere updated in NC
10.2.1 P
action to control and correct it and deal with the consequences? register and corrective action is initiated against it.

Evaluate the need for action to eliminate the cause(s) of the As per the procedure CA format to be used , currently using CA P
nonconformity, in order that it does not recur or occur elsewhere? Report for the customer complaint.
 implement any action needed, and review the effectiveness of any Corrective action taken against for a complaint and the action
P
corrective action taken? implemented and the performance is reviewed.

Update risks and opportunities determined during planning, if

Risk & Opportunities were addressed for all process function initially
necessary, make changes to the quality management system, if covering all risk in QMS. Eg. Production P
necessary?

Retain documented information as evidence of the nature of the

Document information is retained for the Non conformities and the
10.2.2 nonconformities and any subsequent actions taken, the results of P
corrective action taken.
any corrective action?

continually improve the suitability, adequacy and effectiveness of The continuous improvements are initiatedand found discussed in
10.3 P
the quality management system? MRM-02

ABC-TMP-DIR-07
 INTERNAL AUDIT REPORT
Process/Function: Administration Audit No.: IQA-01/20-21
Process Owner: Audit Date: 23.07.2020
Auditor Name: B. Vijay Kumar (External) Audit Ref.: QMS Manual A-00 dt. 01.06.20
Audit Time: 10.30AM to 11.30AM
Clause Requirements Observation Result
(ISO 9001:2015) (Process/Activity) (Objective Evidence) C NC OFI
Yes- Human Resources are planned as per planning & Operations
Plan and Provide Human Resources necessary for the effective
7.1.2 .Training Calender for the year 2018, competency standard, List of P
Planning & Operations of the QMS? Employees updated verified

Plan, Provide and Maintain Work Environment for the effective Yes- Good enviroment provided for efficient operation; Shop Floor,
7.1.4 P
Planning & Operations and Product Conformity? Lab, etc,.

Yes-Training provided to all employees and record maintained.

Verified training calender. Eg. Bath Analysis & Reporting conducted
Determine and Maintain Organizational Knowledge (collect from
7.1.6 internal or external sources)? on 24.09.2018 for Prakash, Annamalai, Mohanraj, Kulanthaivelu & P
Devi; Trainer: Mr.G.Elangovan; Feedback of S.Devi: Understood;
Evaluation comments: Qualified

Determine and Ensure Personnel Competency with necessary Yes-Competency standard maintained for all the employees and
7.2 Actions? verified Skill Matrix for Verified for Devi, Eg. Chemical Addition P
knowledge: B (Can work Independently)

7.2 Determine and Ensure Personnel Competency with necessary Yes - evidenced via Skill Evaluation and OJT (On the Job Training) P
Actions? Record, Eg. Colour Finish dated 05.10.2018 for P.Devi

Yes- Employees are Aware of Quality Policy and training imparted

Ensure Personnel Aware of Quality Policy, Objectives and their
7.3 about ISO 9001:2015. P
Contribution to the QMS?
Interviewed Devi and found satisfactory
 Plan and Provide Resources necessary for the effective Internal & Internal and External Communication Document maintained by
7.4 P
External Communication? Admin. Eg. Verified via Mail & Letter communication evidenced.

Maintain the infrastructure necessary for the operation of its Yes- Operators: Required - 4, Available - 5;
7.1.3 processes and to achieve conformity of products? Powder coating Booth: Required: 4, Available: 4 P
Found reviewed in MRM and provided.

Maintain the environment necessary for the operation of its Yes-Suitable environment is provided for the operation process &
7.1.4 P
processes and to achieve conformity of products? conformity of the Product

ABC-TMP-DIR-07
 INTERNAL AUDIT REPORT
Process/Function: Marketing Audit No.: IQA-01/20-21
Process Owner: Audit Date: 23.07.2020
Auditor Name: B. Vijay Kumar (External) Audit Ref.: QMS Manual A-00 dt. 01.06.20
Audit Time: 11.30AM - 12.15 PM
Clause Requirements Observation Result
(ISO 9001:2015) (Process/Activity) (Objective Evidence) C NC OFI

Yes - evidenced via Inspection Report, Invoice Copy along with each
8.2.1 (a) Communicate with Customer regarding Product Information? despatch. Verified for Part Name: Yoke; Part No.: 26261570F; P
Invoice No. 2018192123 dated 22.11.2018, Qty: 2450 Nos.

Communicate with Customer regarding Enquiry, Contract or Order Yes-Customer communication regarding the product enquiry -
8.2.1 (b) P
including Amendments? through e-mail. Verified Enquiry Record

Yes-Customer feed back form comunicated to Customer Lucas TVS,

Aureka and Manatec and obtained feedback. Eg. Lucas TVS, Period:
Jan. to Jun. 2018: 91%
8.2.1 (c) Communicate with Customer regarding Feedback and Complaints? P
Customer complaint Register available . No Customer Complaint
from Jan. to Oct. 2018

Communicate with Customer regarding Handling and Controlling Yes. Customer Property maintained.
8.2.1 (d) P
Customer Property? Eg. Customer: Lucas TVS, Property: Go-No Go Guage

Yes- Product requirements and statutory & Regulatory

8.2.2 Determine the Requirements for Product, including Statutory & requirements are evidenced e.g GSTN, PAN requirements, Pollution P
Regulatory Requirements?
Consent, etc,.

Conduct Order/Schedule Review before committing to supply the Yes- Order reviewed by Managing Partner . Verified the Customer
8.2.3.1 Purchase Order, Customer: Lucas TVS; Part: PRD3 Yoke & Pole P
Product? Assembly; PO No. 07013231 dated 27.06.2018
 Retain the Documented Information for the results of the review Yes- Documented information for the results of review are
8.2.3.2 P
and any new or change in Requirements? maintained.

Ensure that relevant documented information is amended, and that

8.2.4 Yes-Document change Note maintained. P
relevant persons are made aware of the changes?

Monitor customers’ perceptions of the degree to which their needs Yes- Customer satisfaction report is maintained. Verified the report.
9.1.2 P
and expectations have been fulfilled? [Eg. Lucas TVS: 91%]

Yes- Customer feed back form evidenced . Lucas TVS Jan-18 to June
18 -91% . Six Months Once.
Determine the methods for obtaining, monitoring and reviewing
this information? Lucas TVS Vendor Quality & Delivery Rating: Sep-18: 81.2%; Oct-18: P
85.4%
GIPL Vendor Rating: Sep-18: 97%; Oct-18: 96.88%

Analyse and evaluate appropriate data and information arising from

9.1.3 Yes- Customer Satisfaction analysis carried out by Managing Partner P
monitoring and measurement?

Determine and select opportunities for improvement and

10.1 implement any necessary actions to meet customer requirements Yes- Improvement and Opportunities are addressed in Annexture-S P
Continual improvement.
and enhance customer satisfaction?

Yes- Risk assesment is carried out to reduce the undesired effects.

Correct, prevent or reduce undesired effects? P
16 risks are identified in Marketing function.

Improve the performance and effectiveness of the quality Yes- discussed in MRM held during June 2018 P
management system?

ABC-TMP-DIR-07
 INTERNAL AUDIT REPORT
Process/Function: Purchase Audit No.: IQA-01/20-21
Process Owner: Audit Date: 23.07.2020
Auditor Name: B. Vijay Kumar (External) Audit Ref.: QMS Manual A-00 dt. 01.06.20
Audit Time: 02.00PM - 02.45 PM
Clause Requirements Observation Result
(ISO 9001:2015) (Process/Activity) (Objective Evidence) C NC OFI

Yes-External provided processes,producrs and services are

Ensure that externally provided processes, products and services identified. List of approved suppliers - Sree Maruthi Enterprises -
8.4.1 P
conform to requirements? Powder (Make: Vernacoat). Reason for enrollment: Good Quality
and All range of products availability

Determine the controls to be applied to externally provided Yes- Risk analysis assesment evidenced for control of the product. P
processes, products and services? Eg. Purchasing Process - Delivery Delay

Yes- Supplier Performance Rating Criteria:

Determine and apply criteria for the evaluation, selection, Grade A - 80% & above: Re-approve;
monitoring of performance, and re-evaluation of external P
Grade B - 60% to 79%: Request CAPA;
providers?
Grade C - Re-evaluate or De-list

Retain documented information of these activities and any Yes- Supplier/Sub Contractor Registration form is maintained. P
necessary actions arising from the evaluations? Verified for MBI Powder Coatings Pvt Ltd.

Ensure that externally provided processes, products and services do

Yes-External provided processes,products and services are
8.4.2 not adversely affect the SAE’s ability to consistently deliver P
identified & Risk analysis is done as per Purchase Process Map.
conforming products to the customer?

Ensure that externally provided processes remain within the control Yes-Externally provided process remain within the control of the
P
of its quality management system? QMS.
 Define both the controls that it intends to apply to an external Yes- Powder (TC, Visual - No moisture) P
provider and those it intends to apply to the resulting output? Chemical (Test Certificate, In-process Inspection, Visual)

Monitoring the potential impact of the externally provided Yes-Incoming Inspection carried out , if N.C Found recorded in
products, processes and services, and the effectiveness of the Customer DC. Eg. For powder - Test certificate verified for Batch No. P
controls applied by them, and take necessary action? and Expiry Date.

Determine the verification, or other activities, necessary to ensure Yes- External processed items are Verifed during Receipt and In- P
that the externally provided processes? process stages.

Ensure the adequacy of requirements prior to their communication Yes- Order placed to supplier through phone and recorded in
8.4.3 P
to the external provider? Telephonic order register. Specification communicated to Supplier.

Communicate to external providers its requirements for the

Yes- Terms and Conditions communicated to supplier during order
processes, products and services to be provided? P
placing. Eg. Test Report and Technical Data Sheet required

Communicate to external providers the approval of products and Yes- Approval of Raw material- Powder - by Test Certificate DC one
services, methods, processes and equipment, the release of copy signed and handed over to supplier. In case of rejection, P
products and services? information communicated to supplier.

Communicate to external providers the competence, including any

Yes-Through telephone and email P
required qualification of persons?

Communicate to external providers the interactions with the

Yes- Main contact and Alternate contact available for each supplier. P
organization?

Yes- Communication through Supplier performance Rating Report -

Communicate to external providers the control and monitoring of every three Months. Eg. Sree Maruthi Enterprises Rated - 96% P
the external providers’ performance applied?
during July18 -Sep18. Result: Grade A - Re-approved the Supplier

Communicate to external providers the verification or validation Yes- Communication through e-mail. Terms & Conditions to be
activities that the SAE, or its customer, intends to perform at the communicated clearly to Supplier P
external providers’ premises?
ABC-TMP-DIR-07
 INTERNAL AUDIT REPORT
Process/Function: Production Audit No.: IQA-01/20-21
Process Owner: Audit Date: 23.07.2020
Auditor Name: B. Vijay Kumar (External) Audit Ref.: QMS Manual A-00 dt. 01.06.20
Audit Time: 02.45PM - 03.45 PM
Clause Requirements Observation Result
(ISO 9001:2015) (Process/Activity) (Objective Evidence) C NC

Plan, Implement and Control the Manufacturing Processes to Yes- WI Displayed in Shop floor for each process. Powder Coating
8.1 P
achieve the Product Conformity? Booth : Volt & Pressure spec. available.

Implement Process Controls inaccordance with the Acceptenace Yes- WI followed and Parameters Recorded in respective Records.
P
Criteria? Eg. Phospating Record.

Maintain and Retain Documented Information necessary to have Yes- Phospating Record, Shift Register & Bath Analysis maintained P
confidence on the Process and Product Conformity? to update process parameters

Yes- Change management is addressed in Annexture I & documents

Plan, Implement and Control of Changes to the Product and Process
are maintained for Management of change plan management of P
as necessary? change request & change report.

Conduct Order/Schedule Review before committing to supply the Yes- Order review on receipt of Material through DC.
8.2.3.1 P
Product?

Retain the Documented Information for the results of the review

8.2.3.2 Yes- Changes is verified and approved by Management. P
and any new or change in Requirements?
 Ensure that relevant documented information is amended, and that
8.2.4 Yes-Document change Note maintained. P
relevant persons are made aware of the changes?

Plan, implement and control production process under controlled Yes- Planning & Review mechanism is in place. Eg. Evidenced via
8.5.1 P
conditions? Control Plan, Daily Production Plan

Ensure the availability of the Documented Information? Yes- WI displayed in Production area, PCB-I P

Ensure the characteristics of the products to be produced, or the

Yes- Work Instructions will demonstrate the product characteristics P
activities to be performed?

Yes-In-process Inspection carried out as per Control Plan (SAE-CP-

02, Hot Phosphating & Powder Coating).
Ensure the results to be achieved? Part: Yoke; Hot Degreasing Concentration.: 56 (50-60); Time: 15 (10- P
15 mins.)

Ensure the availability and use of suitable monitoring and Yes- measuring suitable instruments like Temperature Controller, P
measuring resources? Timer, Coating Thickness Guage.

Ensure the implementation of monitoring and measurement

activities at appropriate stages to verify that criteria for control of Yes- monitoring methods inspection methods are defined in stages P
processes or outputs, and acceptance criteria for products and and acceptance creteria is defined. (Control Plan).
services, have been met?

Ensure the use of suitable infrastructure and environment for the Yes-Suitable infrastructure and proper environment provided for P
operation of processes? operation.

Ensure the appointment of competent persons, including any Yes- Qualified and competent persons are employed for performing P
required qualification? the operation. Eg. Ms.S. Devi - In-process Quality
 Ensure the validation, and periodic revalidation, of the ability to Yes- Process validation done for Powder Coating. Frequency of
achieve planned results of the processes for production, where the validation is yearly once. Eg. Yoke machining Dt 20.09.2018. Next P
resulting output cannot be verified by subsequent monitoring or Due on 19.09.2019. Hot Degreasing Temp. - 76 (70 - 80 deg. C);
measurement? Result - ok

Yes- Risk assesment is done to prevent the human errors during

Ensure the implementation of actions to prevent human error? P
Inspection. Verified the record.

Yes-After Production all products verified and recorded the result in

Ensure the implementation of release, delivery and post-delivery Supplier Quality Assurance Certificate, and then dispatched to the P
activities? customer. Verified Yoke. In SQAC - Visual, Dimensional and Material
details found recorded.

Use suitable means to identify outputs when it is necessary to Yes- Identification & traceability is maintained in each stage of the
8.5.2 P
ensure the conformity of products? process. Identification Tag is available

Yes- Process are recorded in Hot Phospating Register, Shift Report &
Bath Analysis Report.
Date: 20.11.2018; Shift: I; Part: Yoke;
Identify the status of outputs with respect to monitoring and Hot Phosphating - Temp. : 76 (70-80); P
measurement requirements throughout production?
Bath Analysis Report - Concentration : 23 (18-25)
Shift Report - 600 Nos. Qty; Oven Loading Time: 11am; Unloading:
11:35am; Temp. while loading: 168

Control the unique identification of the outputs when traceability is

a requirement, and retain the documented information necessary Yes-identification done by keeping the material in respective place. P
to enable traceability?

exercise care with property belonging to customers or external

8.5.3 Customer property Mainteained. Eg. Plug Gauges. P
providers while it is under the MMI’s control or use?

Identify, verify, protect and safeguard customers’ or external

providers’ property provided for use or incorporation into the Customer property available and Maintained . Eg Plug Gauge. P
products?
 Report to the customer or external provider When the property of a
customer or external provider is lost, damaged or otherwise found Yes- No Such incidents. P
to be unsuitable for use?

Retain documented information regarding the status of the

Customer property List Maintained. P
property belongs to the customer or external provider?

Preserve the outputs during production to the extent necessary to Yes-Preservation, handling, and storage during production is
8.5.4 P
ensure conformity to product requirements? maintained.

Yes, Process Validation for all Parts with frequency of 1 Year

Review and control changes for production, to the extent necessary
8.5.6 Internal Complaints / Rejection trend available. Any abnormal P
to ensure continuing conformity with requirements?
trends, changes initiated via CA Report

Retain documented information describing the results of the review

of changes, the person(s) authorizing the change, and any necessary Yes, Review approved by Top Management. P
actions arising from the review?

8.6 Implement planned arrangements, at appropriate stages, to verify Yes- Process is Monitored at each stage and recorded in respective P
that the product and service requirements have been met? Report. Eg. Shift report for Oven Curing process.

Ensure that outputs that do not conform to their requirements are

8.7.1 identified and controlled to prevent their unintended use or Yes- Materials rejected are kept in Rejection Area with Tag P
delivery?

Take appropriate action based on the nature of the nonconformity Yes- Date: 07.11.2018, Yoke: 4 Pole Yoke; Thickness Low; Rej. Qty: P
and its effect on the conformity of products? 50 Nos.

Deal with nonconforming outputs with correction; segregation,

containment, return or suspension of provision of products and
Yes- Correction: Rework of above mentioned Job P
services, inform to the customer, obtain authorization for
acceptance under concession?
 Retain documented information that describes the nonconformity,
describes the actions taken, describes any concessions obtained;
Yes- Internal Rejection Record is available, verified for the month of
8.7.2 identifies the authority deciding the action in respect of the P
nonconformity? Oct-18

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esult
OFI
 INTERNAL AUDIT REPORT
Process/Function: Maintenance Audit No.: IQA-01/20-21
Process Owner: Audit Date: 23.07.2020
Auditor Name: B. Vijay Kumar (External) Audit Ref.: QMS Manual A-00 dt. 01.06.20
Audit Time: 02.45PM - 03.45 PM
Clause Requirements Observation Result
(ISO 9001:2015) (Process/Activity) (Objective Evidence) C NC

Maintain the infrastructure necessary for the operation of its Yes- List of machines is availabe - Powder coating Gun & Booth I.
7.1.3 P
processes and to achieve conformity of products? Monthly Preventive Maintenance Checklist available.

Machine History Card Available for Powder coating Gun & Booth I. P
On 07.09.2018 Complete Checkup and dust collected.

Powder Coating Booth I, PM checklist for the month Oct-18 verified.

Monthly - Wiring condition, Panel Cleaning; Daily - Gun & Hopper P
cleaning

Machine Breakdown Analysis Report carried out. No major P

breakdowns

Data Analysis: Oct 2018 - No. of breakdowns - Nil P

Yes-Suitable environment is provided for the operation process &

7.1.4 Maintain the environment necessary for the operation of its conformity of the Product. Eg. Pre-Treatment Plant, Drying - Stand; P
processes and to achieve conformity of products? Powder Coating - Booth (4 Nos.), Curing - Oven, Power - Genset; Air
- Compressor

8.5.1 Plan, implement and control production process under controlled Yes- Planning & Review mechanism is in place. Eg. Evidenced via P
conditions? Preventive Maintenance Schedule
 Ensure the availability of the Documented Information? Yes- WI available P

Ensure the use of suitable infrastructure and environment for the Yes-Suitable infrastructure and proper environment provided for P
operation of processes? operation.

Ensure the appointment of competent persons, including any Yes- Qualified and competent persons are employed for performing P
required qualification? the operation. Eg. Mr.Sathya, Maintenance In-charge

Yes- Risk assesment is done in Maintenance process. Verified the

Ensure the implementation of actions to prevent human error? P
record.

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OFI
 INTERNAL AUDIT REPORT
Process/Function: Quality Assurance & Control Audit No.: IQA-01/20-21
Process Owner: Audit Date: 23.07.2020
Auditor Name: B. Vijay Kumar (External) Audit Ref.: QMS Manual A-00 dt. 01.06.20
Audit Time: 03.45PM - 04.45 PM
Clause Requirements Observation Result
(ISO 9001:2015) (Process/Activity) (Objective Evidence) C NC OFI

Yes-All Instrument listed. Frequency of calibration is yearly once. Eg.

7.1.5.2 Measurement Tracability - Identify, Calibrate, Validate & Safeguard Weighing Scale, Temperature Controller, Standard Foil, Voltmeter, P
the Monitoring & Measuring Resources? Ammeter, etc,.
Once in a year calibrated.

Identification of MME evidenced via Stickers,

eg. Temperature Controller, TCS-01, Make : SELEC, P
Range: 0-400 deg C, Least Count: 1 deg C

Temperature Controller, TCS-01: Certificate No. HT/2827/019 dated

12.12.2017 P
Standard Foil: Certificate No. HT/2827/031 dated 16.12.2017

Determine, Maintaining and retaining documented information to

Yes-Document informations are maintained. Control Plan for Hot
8.1 the extent necessary to have confidence that the processes have P
Phosphating, SAE/CP/002; Eg. All Yoke
been carried out as planned?

Determine, Maintaining and retaining documented information to Yes-Conformity of the product is maintained. Hot Phospahting &
Shift Report for Oven to record Process Parameters and Supplier P
to demonstrate the conformity of product? Quality Assurance Certificate available.

Implement Process Controls inaccordance with the Acceptenace Yes- Process controls & Acceptance criteria is addressed in the P
Criteria? Control Plan for Hot Phosphating, SAE/CP/002 for Part: Yoke.
 Maintain and Retain Documented Information necessary to have Yes- process controls & Acceptance criteria is addressed in Control P
confidence on the Process and Product Conformity? Plan for Hot Phosphating, SAE/CP/002 for Part: Yoke.

Monitoring the potential impact of the externally provided

8.4.2 products, processes and services, and the effectiveness of the Yes-No Rejection from external Providers. P
controls applied by them, and take necessary action?

Yes- After receipt of Product - Powder verified for batch No. and
Determine the verification, or other activities, necessary to ensure expiry Date in Test Certificate. Powder Metallic Silver Grey - P
that the externally provided processes? Supplier MBI Powder Coating Pvt Ltd. Batch No.HS0002703384
Date:17.07.2019.

Ensure the characteristics of the products to be produced, or the Yes- Process Parameters are specified in the control Plan for Hot
8.5.1 P
activities to be performed? Phosphating, SAE/CP/002 for Part: Yoke.

Yes- measuring suitable Instruments are available and monitoring

Ensure the availability and use of suitable monitoring and methods are defined in the Control Plan. Eg. for Hot Phosphating, P
measuring resources? SAE/CP/002 for Part: Yoke - Coating Thickness - Evaluation Method-
Standard Foil

Ensure the implementation of monitoring and measurement

activities at appropriate stages to verify that criteria for control of Yes- In Final Inspection Coating Thickness Gauge is used to check
processes or outputs, and acceptance criteria for products and the Coating Thickness.monitoring methods inspection methods are
P
defined in stages and acceptance criteria is defined in Control Plan.
services, have been met?

Ensure the use of suitable infrastructure and environment for the All required Machines , Eg- Oven, Power coating booth with Panel, P
operation of processes? Generator and Proper Workplace with Ventilation and Lighting

Ensure the appointment of competent persons, including any Yes- Qualified and competent persons are employed for performing P
required qualification? the operation. P.Prakash with 15 years Experience.
 Ensure the validation, and periodic revalidation, of the ability to
Yes- Process validation done for Powder Coating. Frequency of
achieve planned results of the processes for production, where the
validation is yearly once. Eg. Yoke machining Dt 20.09.2018. Next P
resulting output cannot be verified by subsequent monitoring or
Due on 19.09.2019. Result - ok
measurement?

Yes- Risk assesment is done to prevent the human errors. Verified

Ensure the implementation of actions to prevent human error? P
the record

Yes-After Production all products verified and recorded in Supplier

Ensure the implementation of release, delivery and post-delivery Quality Assurance Certificate then dispatched to the customer. Eg. P
activities? Supplier Quality Assurance Certificate Report Dt 22/11/2018
Customer- TVS Lucas- Part No.26261570 -evidenced

Use suitable means to identify outputs when it is necessary to Yes- Identification & traceability is maintained by keeping in
8.5.2 P
ensure the conformity of products? respective area.

Identify the status of outputs with respect to monitoring and Yes- Inspection is maintained in process note for Inprocess and final P
measurement requirements throughout production? inspection - certificate available.

Control the unique identification of the outputs when traceability is

a requirement, and retain the documented information necessary Yes- Products are placed in respective place like incoming and P
despatch area.
to enable traceability?

Exercise care with property belonging to customers or external

8.5.3 Yes - Technical Specifications provided by Lucas TVS is maintained P
providers while it is under the SAE’s control or use?

Identify, verify, protect and safeguard customers’ or external

providers’ property provided for use or incorporation into the Yes- Customer provided plug gauge maintained P
products?

Report to the customer or external provider When the property of a

customer or external provider is lost, damaged or otherwise found No such instances P
to be unsuitable for use?

Maintain documented information regarding the status of the Yes - Calibrated by Customer periodically, Eg. Plug Guage P
property belongs to the customer or external provider?
 Review and control changes for production, to the extent necessary Yes-Preservation, handling, and storage during production is
8.5.6 P
to ensure continuing conformity with requirements? maintained .

Retain documented information describing the results of the review

of changes, the person(s) authorizing the change, and any necessary No such changes recently P
actions arising from the review?

Implement planned arrangements, at appropriate stages, to verify

8.6 Yes, available as per Process Norms. P
that the product and service requirements have been met?

The release of products to the customer shall not proceed until the
planned arrangements have been satisfactorily completed, unless
Yes- without Certificate - Material is not despatched to customer P
otherwise approved by a relevant authority and, as applicable, by
the customer?

Retain documented information on the release of products, include Yes- Verified Supplier Assurance Certificate, Eg. Customer - Lucas
evidence of conformity with the acceptance criteria, traceability to TVS, Part Name: Yoke; Part No.: 26261570F; Invoice No. P
the person(s) authorizing the release? 2018192123 dated 22.11.2018, Qty: 2450 Nos.

Ensure that outputs that do not conform to their requirements are

8.7.1 identified and controlled to prevent their unintended use or Yes- Materials rejected are kept in Rejection Area with Tag P
delivery?

Take appropriate action based on the nature of the nonconformity Yes- Date: 07.11.2018, Yoke: 4 Pole Yoke; Thickness Low; Rej. Qty: P
and its effect on the conformity of products? 50 Nos.

Deal with nonconforming outputs with correction; segregation,

containment, return or suspension of provision of products and
services, inform to the customer, obtain authorization for Yes- Correction: Rework of above mentioned Job
P
acceptance under concession?

Retain documented information that describes the nonconformity,

describes the actions taken, describes any concessions obtained;
Yes- Internal Rejection Record is available, verified for the month of
8.7.2 identifies the authority deciding the action in respect of the P
Oct-18
nonconformity?
ABC-TMP-DIR-07
 INTERNAL AUDIT REPORT
Process/Function: Stores Audit No.: IQA-01/20-21
Process Owner: Audit Date: 23.07.2020
Auditor Name: B. Vijay Kumar (External) Audit Ref.: QMS Manual A-00 dt. 01.06.20
Audit Time: 04.45PM - 05.30 PM
Clause Requirements Observation Result
(ISO 9001:2015) (Process/Activity) (Objective Evidence) C NC OFI

Monitoring the potential impact of the externally provided Yes- Material Inward Register maintained. Eg. On 12/11/2018
8.4.2 products, processes and services, and the effectiveness of the Received Material- Part No. 26262399 Yoke from Lucas TVS limited- P
controls applied by them, and take necessary action? Qty - 1380 Nos. through DC No. 2904.

Yes- Part verified based on Customer provided Sampling plan . For

Determine the verification, or other activities, necessary to ensure Part No. 26262399 Yoke - 15 Nos. verified for Qty 1380 Nos. and P
that the externally provided processes? recorded in incoming Inspection Note. Verified during receipt,
Checked by Kulanthai Velu.

8.5.2 Use suitable means to identify outputs when it is necessary to Yes- Finished Products are kept in Finished Goods area . P
ensure the conformity of products?

Control the unique identification of the outputs when traceability is

a requirement, and retain the documented information necessary Yes- Part Number Displayed on Tray. P
to enable traceability?

Review and control changes in preservation, to the extent necessary

8.5.6 No change in preservation . P
to ensure continuing conformity with requirements?

Retain documented information describing the results of the review

of changes, the person(s) authorizing the change, and any necessary No change in preservation, storage , handling, labeling in stores. P
actions arising from the review?

Powder: Black Matt; Minimum Stock Level: 50 kgs; As on date 95kgs P

available
ABC-TMP-DIR-07