DOC : MSC-F6.2-03
ISSUE : 03
DATE : JUL 2010
PAGE : 1 OF 5
APPROVED BY: DDG
PRELIMINARY VISIT/PRE-AUDIT REPORT
(see Note1 on Page 4)
1.TO BE FILLED BEFORE VISIT
1.1Application No.:
1.2Management System Scheme(s) :
1.3Applicable standard(s) IS/ISO :
1.4Name & Address of the Firm:
1.4.1Contact details (Phone, Fax, email):
1.5Other Sites/locations, if any:
1.6Name and Designation of Chief Executive :
1.6.1Contact details (Phone, Fax, email):
1.7Name of Mgmt. Rep./Food Safety Team Leader:
1.7.1Contact details (Phone, Fax, email):
1.8Description of product/service/process(es)/:
activities for which certification is sought
1.10Technology area(s) (CPA CODE)/Scope Sector:
1.11Is scope sector covered under accreditation,:
If yes, name(s) of the accreditation body(ies)
1.12Manual/Document(s) submitted by applicant
Title:
Issue No., Issue Date, Amendments, if any:
1.13Date of Adequacy audit of Manual/Documents:
1.14Adequacy audit (Satisfactory/NCs raised):
1.14.1Actions taken by applicant on NCs, if any:
2.TO BE FILLED DURING PRELIMINARY VISIT
2.1Date(s) of preliminary visit/Pre-audit:
2.2Person(s) Contacted:
2.3Nearest railway station and airport and distances:
from them (for all sites)
2.4Number of shifts (with timings), weekly off (if any):
DOC : MSC-F6.2-03
ISSUE : 03
DATE : JUL 2010
PAGE : 2 OF 5
APPROVED BY: DDG
2.5Total number of employees
a) Regular
b) On contract
2.6Plant Layout verification (enclose copy of layout)Annex -
2.7Verification of corrective action on nonconformities from adequacy audit, if any (enclose
(separate annexure, if required, giving details of actions taken/remarks/status of each NC)
2.8Identification of Key Processes, Flow chart(s) forGive assessment and enclose
products/process(es)/services(s) copies of relevant documents
2.9Details of process(s)/activity(ies) carried out at other
location(s) and/or Outsourced (subcontracted), if any
Process(s) Owned by self /ControlsAddress of location(s)/No. of
Activity(ies) OutsourcedExercisedOutsourced processemployees
2.10Whether the identified key processes cover Scope of certification
2.11Scope for which applicant may be certified Enclose applicant’s letter for scope
2.12Exclusion(s) sought, if any/applicable, with justification
2.13Status of implementation of the Management System
a)Controlled copy of Manual/Procedures available with respective holders:
b)Period since the Management System is operative? [Year(s)/month(s)]:
c)Whether Procedures, WIs, Plans, as applicable, are being followed?:
d)No. of internal audits carried out since installation of MSCS:
e)Date(s) of internal audit(s) during last one year:
f)Whether actions taken on nonconformity of internal quality audits?:
g)Whether any management review undertaken? If yes, give date(s):
2.14If firm is ready for Initial Audit, proposed date(s)/period for the same:
2.15If is not ready for Initial audit, reasons & time sought for readiness:
2.16Arrangement made/to be made for auditors’ security clearance, if required:
2.17Assessment of Management-Union Relationship, if significant to report:
2.18Auditee’s confirmation to provide facilities like Travel & Stay (as per:
contract, if applicable), stationery, photocopying, Auditors’ Meeting Room
2.19Estimate of time period for audit, (based on calculations on page 4 & 5 as applicable):
DOC : MSC-F6.2-03
ISSUE : 03
DATE : JUL 2010
PAGE : 3 OF 5
APPROVED BY: DDG
2.20Draft audit schedule, on MSC-F 6.4-13, duly agreed by applicant :Annex –
2.21Draft Audit Plan Matrix on MSC-F 6.4-04, clearly indicating ‘E’:Annex –
against elements/activities requiring presence of ‘Expert’
2.22Checklist, Site/workplace observations (applicable in case of Pre-audit):Annex –
3.RECOMMENDATIONS AND/OR OBSERVATION/COMMENTS, if any
(including actions to be taken by firm/BIS)
Signature(s)
Name(s) & Designation(s)
Deptt./BO/RO
MSCO( )Date
i)Assessment of completeness of details required for planning Initial Audit
ii)Outcome of discussions, if held, with technical expert(s) in the scope sector
iii)Whether time scale estimations is done properly?If not, propose corrections, with justification. (Also consider reduction in total mandays based on possibility of nomination of auditor-cum-expert(s) in the audit team)
Recommendations of MSCO(R) including proposal for team formation:
Signature of MSCO( ):
Date:
DDG( )Name:
i)Whether BIS can undertake audit in the applicant’s area of operations vis-à-vis availability of auditor/ other competencies of BIS in processing case for grant of licence.
ii)Whether involvement of personnel other person MSCO(R) would be required to assist certification process in above technical area (if new)? If so, mention name & designation
Signature of DDG( ):
MSCO( )Date:
DOC : MSC-F6.2-03
ISSUE : 03
DATE : JUL 2010
PAGE : 4 OF 5
APPROVED BY: DDG
TIME SCALE CALCULATIONS BASED ON PROCESSES/ACTIVITIES OF THE ORGANIZATION
(For Integrated Management Systems Certification Audits, use separate sheets for each Management System)
Sl.No. / Deptt./ Section / Process / Nature of Process
Complex/ Simple / Documentation in use (No. of Procedures/WIs/ CCPs for FSMS/ HACCP etc) / Dominant / Non-dominant / No. of Employees / Discipline of Technical Expertise, if required / Time Required for audit
(Minutes) / Major Product / Service related requirements
a)Total time required for audit of processes/activities (Minutes)
b)Add 25% towards opening/closing & other meetings, visit to premises(Minutes)
c)Add time for evaluation of auditors (Minutes)
d)Total Auditor(s) Mandays (a+b+c)/420days
e)Mandays required by Expert, if applicabledays
f)Grand Total of Mandays (d+e) days
(Rounded off to nearest Half-day)
NOTE 1: In order to identify the major activities/processes involved and major product/service related requirements in the technical areas of operation of the organization, the auditor, after scrutinizing the firm’s quality manual/documents and before undertaking preliminary visit/pre-audit, may consult the concerned auditor-expert/expert, if required. Such consultations, if made, should be indicated under Item 3. of this report.
NOTE 2: Refer to guidelines MSC-G6.2-01 and MSC-G6.2-02 for time-scale estimations.
DOC : MSC-F6.2-03
ISSUE : 03
DATE : JUL 2010
PAGE 5OF 5
APPROVED BY: DDG
TIME SCALE CALCULATIONS BASED ON PROCESSES/ACTIVITIES OF THE ORGANIZATION (EMS)
(For Integrated Management Systems Certification Audits, use separate sheets for each Management System)
Sl.No. / Deptt./ Section/ Services / Process / Aspects / Complexity (High/ Medium/ Low/ Limited/ SPE) / Impact * / No. of Employees Overall Complexity Category
a)No. of employee(days)
b)Total time required for audit of organization (as per table)1
c)Any addition/decrease in audit time with justification
d)Total Mandays days
(Rounded off to nearest Half-day)
NOTE 1: In order to identify the major activities/processes involved the auditor should scrutinizing the firm’s quality manual/documents and before undertaking preliminary visit/pre-audit and may consult the concerned auditor-expert.
NOTE 2: Refer to guidelines MSC-G6.2-01 and MSC-G6.2-02 for time-scale estimations.
* Auditor should correlate the aspects with the impact depending upon controls/technology used in the organization. Based on above, impact may be categorized as high/medium/low/limited/spe and this should be used to determine the overall complexity category of the organization.
DOC : MSC-F6.2-03 (EMS/OHSMS)
ISSUE : 01
DATE : DEC 2004
PAGE : 1 OF 1
APPROVED BY: ADG/DDG
PRE-AUDIT REPORT (FOR EMS/OHSMS ONLY)
NAME OF THE ORGANIZATION :
CONTACT PERSON:
ADDRESS:
TYPES OF OPERATION:
SCOPE OF AUDIT:
DATES OF AUDIT:
DATE OF REPORT:
NAME OF LEAD AUDITOR:
AUDIT TEAM COMPOSITION:
DISTRIBUTION:
SUMMARY OF OBSERVATION: i) Document Review Observations
ii) Site/Workplace Observations
DEPARTMENTS VISITED:
SIGNATURE OF LEAD AUDITOR
DOC : MSC-F6.2-03 (EMS)ISSUE : 02DATE : MAY 2005PAGE : 1 OF 7 APPROVED BY: ADG/DDG
EMS CHECKLIST
DOCUMENT REVIEW
Audit Type / Date:Auditors:
Audit Of:
Clause / Compliance
Status / Documents Examined / Remarks
COM* / NA/PAR*
4.1 General Requirements
- Scope of EMS is defined and documented.
- Policy is appropriate to the nature, scale and env. impacts of organization’s activities, products and services.
- Includes a commitment to continual improvement and prevention of pollution
- Includes a commitment to comply with relevant legal and other requirements
- Provides a framework for setting and reviewing environmental objectives and targets
- Is documented, implemented and maintained and communicated to all persons working for or on behalf of the organization
- Is available to the public
- Procedures exit to identify Aspects of its activities, products and services
- Aspects with significant impacts are identified
DOC : MSC-F6.2-03 (EMS)ISSUE : 02DATE : MAY 2005 PAGE : 2 OF 7 APPROVED BY: ADG/DDG
Clause
/ Compliance Status / Documents Examined / RemarksCOM / NA/PAR
4.3.2 Legal & Other Requirements
Procedure exists to identify and have access to legal and other requirements that are related to environmental aspects.
4.3.3 Objectives, Targets and Programmes
- These have been established, implemented and maintained at each relevant function and level.
- The following issues were considered in estb. them
- They are consistent with environmental policy
- Programs for achieving objectives and targets have been established and include:
and level
- Means & Time frame for implementation
DOC : MSC-F6.2-03 (EMS)ISSUE : 02DATE : MAY 2005 PAGE : 3 OF 7 APPROVED BY: ADG/DDG
4.4.1 Resources, roles, responsibility and
authority
- Resources essential to establish, implement, maintain and improve of EMS are provided (Resources include human resources, technology, finances, special skills and organizational infrastructure)
- Roles, responsibilities and authorities are defined, documented and communicated.
- Mgmt. Representative has been appointed by top management with DEFINED roles, responsibilities and authority for:
EMS
- Reporting on performance to top Mgmt. for
review, including recommendations for
improvement
4.4.2 Competence, training and awareness
- Training needs are identified
- All personnel whose work may create significant env. impacts have received appropriate training.
- Procedures are established, implemented and maintained to make these personnel aware of :
significant env. impacts (actual & potential) of their work activities and benefits of improved personal performance
their roles and responsibilities in achieving conformance with policy, procedures and with the EMS, including emergency response.
potential consequences of departure from specified operating procedures.
- Personnel performing tasks which can cause significant environmental impacts are competent
- Training imparted is recorded and evaluated at all levels.
DOC : MSC-F6.2-03 (EMS)ISSUE : 02DATE : MAY 2005 PAGE : 4 OF 7 APPROVED BY: ADG/DDG
4.4.3Communication
The company has established, implemented and maintained procedures for:
- Internal communication among various levels and functions of the organizations
- Receiving, documenting and responding to relevant communications from external interested parties.
- The company has considered method for external communication of its significant environmental aspects and documenting its decisions.
4.4.2Documentation
Following documents are available:
- The environmental policy, objectives and targets
- Description of scope of EMS
- Information describing the main elements of the EMS and their interaction and reference to related documents
- Documents, including records to ensure effective planning, operations and control of processes related to significant aspects
4.4.5Control of Document
A procedure has been established, implemented and maintained for controlling documents to ensure that:
- Documents are approved for adequacy prior to issue
- They can be located
- They are periodically reviewed, updated and re-approved
- Current versions of relevant documents are available at appropriate locations
- Obsolete Docs are removed
- Obsolete Docs retained for later use are identified
- Documents are legible, dated, (with dates of revisions) readily identifiable, maintained and retained
DOC : MSC-F6.2-03 (EMS)ISSUE : 02DATE : MAY 2005 PAGE : 5 OF 7 APPROVED BY: ADG/DDG
4.4.6Operational Control
- Activities related to significant aspects are identified
- Organization has planned its activities to ensure that they are carried out under specified conditions.
- Operating criteria stipulated
- Procedures have been established, implemented and maintained related to significant aspects of goods and services
- Related portions are communicated to suppliers and contractors
4.4.7Emergency Prep. & Resp.
- Procedures are established, implemented and maintained for identifying potential for and response to accidents and emergency situations
- The procedures include for preventing and mitigating the environmental impacts that may be associated with them
- These are reviewed periodically and revised as necessary
- Procedures are periodically tested where practicable
4.5.1Monitoring and Measurement
- Procedures are established, implemented and maintained to regularly monitor and measure the key characteristics of operations having significant impacts
- These include recording information to track performance, relevant operations controls and conformance with objectives and targets.
- Monitoring equipment is calibrated and maintained and associated records maintained
DOC : MSC-F6.2-03 (EMS)ISSUE : 02DATE : MAY 2005 PAGE : 6 OF 7 APPROVED BY: ADG/DDG
4.5.2 Evaluation of Compliance
- Procedures are established, implemented and maintained for periodically evaluating compliance with applicable legal requirements.
- Compliance with other applicable requirements are also evaluated.
- Records of results of periodic evaluation are kept.
4.5.3Nonconformity, corrective actions and preventive actions
- Procedures are established, implemented and maintained for defining requirements for handling and investigating non-conf. and taking appropriate action for their mitigation.
- Corrective and preventive actions are appropriate, effective and designed to avoid their occurrence.
- Results of corrective and preventive actions taken are recorded.
- Changes in procedures resulting from corrective and preventive actions are documented
4.5.4Control of records
- Procedures are established, implemented and maintained for the identification, storage, protection, retrieval, retention and disposal of records.
- Records are legible, identifiable and traceable
- Records are easily retrievable, protected from damage, deterioration and loss
- Retention times are established and recorded
- Records demonstrate conformance to IS/ISO 14001.
DOC : MSC-F6.2-03 (EMS)ISSUE : 02DATE : MAY 2005 PAGE : 7 OF 7 APPROVED BY: ADG/DDG
4.5.5Internal audit
- A program and procedure for EMS audit at planned intervals are established, implemented and maintained
- The audits determine:
Whether it has been properly implemented and maintained, considering importance of operations concerned and results of previous audit
- The program provides information on the results of audits to management
- Procedures cover audit criteria, scope, frequency, methods, responsibility and requirements for conducting audits and reporting results
- Selection of auditors and conduct of audits are objective and impartial
4.6Management Review
- Top management regularly reviews the EMS at planned interval to ensure its suitability, adequacy and effectiveness
- The review includes opportunities for improvement.
- Records of management review are retained
- All information necessary for this review is collected
- The review considers the need for changes to policy, objectives, targets, performance and other elements to the EMS resulting from audit results, changing conditions, the commitment to continual improvement, etc.
*COM:Fully Complied
*NA:Not Available
*PAR:Partially Available