Internal Audit Format

I have Attached Internal Audit Format

 INTERNAL AUDIT POINTS

 

STATUTORY COMPLIANCE

 

1.      PF Act

• Payment of Contribution before 15^th of every month (Payment to be credited to their account)
• Annual Return (Form 3A & 6A)
• Monthly Return every month
• PF number should appear in pay slip from next month of employee’s joining
• PF eligibility Register (computerized or manual) to be maintained and updated every month
• PF Slips to be issued every year and (Copy to be maintained – preferably)
• PF Inspection Register to be maintained

 

2.      ESIC Act

• Payment of Contribution before 21st of every month (Payment to be credited to their account)
• Half yearly return in May & November
• New joinees to be issued Temporary Cards with in stipulated time
• ESIC Inspection Register to be maintained
• ESIC deduction & remittance on labour charges for miscellaneous jobs performed at premises
• ESI contribution on OT ?

 

 

3.      FACTORIES Act

 

• Annual Return Form – 21 by 31^st January
• Half yearly Return(Form -22) by 15^th day of January & July
• Application for License Renewal by 31^st October
• Appointment of Factory Manager & Occupier (change if any should be incorporated)
• Lay out plan approved by competent authorities to be maintained
• MSDS in respect of Chemicals used to be maintained & displayed at respective areas
• Maintaining Creche – as per the provision of Statute in case of 30 or more  women are employed (Management shall decide up on your feedback)
• Provision of Fire Exhausters as per approval / Survey of Fire Department
• Fire Exhausters to be refilled with in due date
• Stairs / Aisles to be free from obstacles
• Emergency exit to be clearly marked
• Aisles to be clearly marked at shop floor
• Hoist / Compressors to have a valid fitness certificate from competent Charted Engineer
• Leave Card to be issued every year
• Muster Roll to be maintained (manual / computerized) . In case of computerized application to be submitted for approval of Factory Office
• Form – 11 duly approved by Factory Office to be displayed
• Health Check up for Paintshop employees (or any other hazardeous process as decribed by statute) to be performed every year and register duly signed by approved medical practitioner to be maintained
• Payment of OT for excess working hours as per the statute
• System of booking / payment of OT

 

4.      Other labour enactments

• Any notices for conciliation , arbitration or adjudication pending un-attended
• Reminders to be sent to long absentees (at least to people absenting un-authorise more than a week)
• Payment of Bonus with in stipulated time
• Rate of Bonus paid is as per bonus act (set on / set off) etc.
• Bonus annual return Form –D to be submitted before 31^st December
• Bonus Register A,B,C to be maintained
• Payment of minimum wages to all employees including Contractor roll
• Payment of wages not later than 7^th even for contractual workers
• Environment Audit report by 30^th September – pollution
• Application for Conscent  by 30^th November – Pollution

 

 

OPERATIONAL SYSTEMS & PROCEDURES

• Appointment letter, I-card & Uniform to be issued with in a reasonable period of time.
• Personnel files all company roll employees to be properly maintained
• Pending confirmations if any
• Any change in terms & conditions of employment including transfer should be recorded (copy should be available in file)
• Stipend to Trainees as per guideline set by MCO
• Implementation of suggestion scheme
• All AMCs , Contract & Agreements ( like Security , Housekeeping ,Canteen , Labour contractor, Staff Bus etc.) should be in place.
• Training calender  should be available at all units
• Training documents like Attendance of participants, effectiveness evaluation , Training planned v/s actual etc. should be available at units.
• All newly joined employees should undergo induction process.
• All newly joined employees and their dependent family members (as applicable) should be covered under Medicliam with effect from 1^st day of proceeding  month of joining
• Implementation of Mobile policy set by MCO.
• Settlement of Full & final – No unwanted delay
• Payment of gratuity – As per rules

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Internal Audit Format

I have attached the Standard Internal Audit Format.

Company Name

AUDIT  FINDINGS  (Scope for Improvement – SFI    , Requires Correction – RC   ,  Nonconformity – NC  )

ISO 9001:2008 QMS

NOTE:  PLEASE WRITE ONLY ONE AUDIT FINDING PER FORM

1.

NCR NO :		DIVISION:		TYPE OF AUDIT:	IQA	AUDIT REF NO	Y	Q	NO:
DATE:		DIVISIONAL HEAD’S NAME:		DOC NO:

 

2.  Audit Findings  ( NCR \ RC \ SFI )

2.1 PROBLEM

2.2 EVIDENCE

2.3 REQUIREMENT/S  ISO 9001 : 2008 ref. ;  Class ref.   ;  Company  ref. ;

2.4 UNDESIRABLE  IMPACT TO THE PROCESS due to the problem.

 

AUDITOR’S NAME / DESIGNATION / SIGNATURE :	AUDITEES   NAME / DESIGNATION / SIGNATURE :
Date :	Date :

 

3.   FIND THE ROOT CAUSE   (Fish bone , Pareto , 5 why , etc., ) (use additional  paper too )

 

4 CORRECTION

5.    PROPOSED CORRECTIVE ACTION   FOR IDENTIFIED   ROOT CAUSES

 

Item	Root Cause	Corrective action	Completion date	Responsibility of Completion & Sustainability	Monitoring Responsibility
1
2
3 , etc.,

 

6.    TYPE OF RECORDS TO MAINTAIN FOR DATA ANALYSIS.

7.    AUDITOR/S  & AUDITEE  AGREEMENT ON 3,4,5 AND 6 .

AUDITOR’S NAME / DESIGNATION / SIGNATURE :	AUDITEES   NAME / DESIGNATION / SIGNATURE :
Date :	Date :

 

SIGNATURE OF MD/CEO or  GM  :

DATE:

 

8. FOLLOW UP AUDITS

 

Item / Root Cause	IMPLEMENTATION STATUS OF THE PROPOSED CORRECTIVE ACTION

 

AUDITEE’S NAME / DESIGNATION / SERVICE  NUMBER	AUDITEE’S  SIGNATURE:			DATE:
SIGNATURE OF MD/CEO or  GM  :		DATE:

 

SIGNATURE OF  MR  :

DATE:

 

 

 

 

 

 

 

Issue		No:	Date:	Revision	No:	Date:	Ref No.
	Generated from SP for Internal Audit (8.2.2-DQA-CP-01)

 

 

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