Sr.No.

Description Responsible Person Expected Completion Date

1 Legal requirements and compliance evaluation ( 14001 6.1.3 / 45001 – 6.1.3, 9.1.2)
Mr. Sandeep Papneja /
a) LPG cylinders are in use in the factory at a larger scale. PESO License for storage of LPG cylinders is not evident.
Mr. Sukhbir Singh
b) Diesel is stored in the premised. PESO License to store diesel is not evident. Mr. Ramesh Jangid
Argon, Oxygen, CO2 and Argon+Co2 (mixed) – gases are being used in various production processes. A number of cylinders are
c) Mr. Sandeep Papneja
available in the factory premises for the same purpose. Applicability of PESO license for those gas cylinder storage is not reviewed.

Hydra – 10 nos. and Forklift – 1 nos. are in used in the factory premises. Hydra and forklift operators are not having valid license for the
d) Mr. Sandeep Papneja
same. E.g. . E.g. Mr. Bachittar Singh – License no. PB-1220080031705, Mr. Surinder Singh – License no. PB-1220080023660.
e) RTO Registration is not evident for any Hydra and Forklift. Mr. Vishal Garg
Hazardous waste vide Empty drum of Paint, LPT Spray, Aerosol cans, etc. are stored at multiple location in the open area instead of Mr. Maninderpreet
f)
storing them at designated place. Singh
Mr. Amarjeet Singh /
Segregation and storage of plastic , paper, and carton at across the plant area is inadequate (records of generation and disposal to Mr. Pargat Singh / Mr.
g)
authorized recyclers not maintained). Metal, Plastic, Rubber, Paper waste are stored in same drum at multiple locations across production Sunil Pathania / Mr.
area. Rajiv Tandon
Mr. Pankaj Tyagi / Mr.
h) Load test report and PUC certificate / Exhaust emission monitoring reports for Hydras and forklift are not evident.
Daljit Singh
i) Passenger lift licenses for use is not evident for lift in the Office premises. Mr. Satpaul Dhiman

j) Air consent PCB – R15RPN3417070 - Dt. 5/10/2021 – valid up to – 30/022026 consent conditions specified (the Industry shall submit a Mr. RK Singh
site emergency plan approved by the chief inspector of factories) Punjab as applicable – not evidenced of submission of same.
No evidence demonstrated, person Designated as electrical safety officer as per requirement Central electricity authority - 20 sept 2010,
k) Mr. Pankaj Tyagi
chapter II, rule 5
Bio Medical waste authorisation not evidenced, and disposal of BMW not monitored, as per Bio-Medical Waste (Management and
l) Mr. RK Singh
Handling) Rules 2016
One accident was mentioned in the QHSE Objective monitoring records for month Sept 2021. Records, accident Mr. Ramesh Jangid &
2
report, investigation and corrective actions are not evident. 10.2 Mr. Pankaj Tyagi
3 Weakness is observed in the Mechanism for Project Management and Monitoring ISO 9001- 9.1
Project progress monitoring with respect to project planning in bar chart is not evident for any project. Mechanism for monitoring deviations
• from planned schedule and its analysis for root cause followed by corrective actions is not evident.
E.g. Project no. CB-2272 and CB-2161 were reviewed during the audit. Mr. Jatinder Singh

• No any fortnightly meeting for Project review meeting evident for any project as mentioned in the IMS System Manual doc no. M-CBL

• Analysis of shortfall in invoicing plan for reason identification and further correction actions is not evident.

4 Weakness is observed in the mechanism for production Planning and Operational controls ISO 9001 - 8.1
Mechanism for Production planning and its monitoring is not effective. Monitoring of stage wise progress for Production activities of job is
not evident. Delays in production processes cannot be identified in absence of planning and its monitoring. Work progress monitoring Mr. Pankaj Khatri / Mr.
•
during various stages of the production is not evident for any job. Subsequently No any mechanism evident for further analysis of the Pargat Singh
delays.
 Mechanism for monitoring of Operation controls and measurement of process outcome for shot blasting activities are not evident. Only
visual inspection and no any mechanism for measuring surface roughness is evident. For blasted component, Painting is to be done within
•
2 hours of blasting. (As per SOP: Surface Preparation and Painting procedure – No. CBL/PP/01). But no any monitoring records of the Mr. Amrit Pal Singh &
same is evident. Mr. Maninder Singh Bal
Painting specification is not evident for the project in which the customer do not provide specifications. Painting specification for Primer
•
and Finished coat is to be defined.
Mr. Deepak Bahl, Mr.
In final inspection report, Details of Measuring instrument used – do not cover details of Pressure gauges used in Hydro test. E.g. CB
• Kamaljeet Singh & Mr.
2186.
Dinesh Rana
5 Weakness is observed in the for Operational controls (HSE Related) ISO 45001 – 8.1
Gas Cylinders of LPG, Argon, CO2, etc. are found stored in open area at multiple places e.g. near store, outside production shade, in
open space for plate storage area, etc. instead of storing them at designated place. Chains / locking arrangement is also not adequate. Mr. HC Lohani / Mr.
•
Trolley for Moving cylinders is not evident at many locations. Cylinders were manually moved by rolling. Proper identification of empty and Pankaj Khatri
filled cylinder is also not evident at multiple places.

Many hydras were not on good operational conditions. Torn tyres, non-availability of Reverse horn, Non-availability of parking and break
• Mr. Abhishek Chauhan
lights, damaged wire ropes, etc. were observed in few hydras.
Spray painting was in progress in Zone-18. Besides this, Gas cutting and welding both together were in progress. This is a very risky
• Mr. Suresh Srivastava
situation any may create a major accident due to sparking in the area filled with spray painting particles.

6 Weakness is observed in the for Operational controls (EMS Related) ISO 14001- 8.1
Painting (Manual and Spray Painting) was being done at various places in the open area throughout the entire factory premises. Paint
Mr. Pankaj Khatri / Mr.
• booth the available in the Plant, but its operation readiness is not maintained. At several locations, paint spillage and excess paint marked
Sunil Pathania
found at on the bare soil due to such uncontrolled painting activities.
Internal Cleaning of Tubes is being done by passing water thru the tube network. This activity is being done in open area wherever the
parts are stores rather than any specific identified / designated area. Due to this the waste water is directly going in to open soil and Mr. Pankaj Khatri / Mr.
•
creating water pollution along with polluting soil due to this waste water. Also there is no any monitoring of the waste water being Rajesh Sharma
generated due to this cleaning activities
Weakness is observed in the mechanism for Emergency Preparedness and Control ISO 45001 – 8.2 / ISO 14001
7
– 8.2
• Emergency Preparedness Plan for Office is not evident. Mr. Ramesh Jangid
• Emergency Evacuation plan is not evident for Office as well as Factory Premises. Mr. Ramesh Jangid
• Raw material storage area – Material are stacked without proper identification and in random manner. Mr. Sandeep Lohchab
• At many places, the access way to fire hydrant was blocked by storing raw material and other materials. Mr. Amarjeet Singh
• Environmental potential emergencies not determined and tested to evaluate degree of preparedness. Mr. Ramesh Jangid
Only one Pressure gauge is available in entire fire hydrant network and that is at fire pump discharge. No any other Pressure gauge
• Mr. Ramesh Jangid
available across entire hydrant line. Calibration record for that gauge is not evident.

8 Weakness is observed in the Mechanism for Maintenance and Breakdown Incident analysis ISO 9001 – 9.1
Mechanism for Preventive maintenance (PM) of critical equipment is in place. PM plan on yearly basis is evident and PM is being carried Mr. Pantaj Tyagi & Mr.
out for all equipment as per plan. Equipment wise PM checkpoints are evident vide PM records. Even after that Breakdown, hours are Abhishek Chauhan
• increasing month on month basis. No any Root cause analysis and CAPA evident for any breakdown incidents. Many machines are
having breakdown several times during year. E.g. ETO Crane 15 MT – 24 breakdowns.
Total Breakdown in Jan 2022 – 89.76 Hrs. April 2022 – 92.56 Hrs. March 2022 – 102 hrs
9 Weakness is observed in the mechanism for Internal Audits. ISO 9001/14001/45001 – 9.2
Details Internal audit report covering clause wise checkpoints and evidences details is not evident for the internal audit done by April 2022.
Only finding sheet is evident. Grading of the findings is not available. Findings closure was planned by date 23.04.2022 as indicated
• against respective findings but no any progress observed in the same. No any corrective action plan or any corrective actions evident for
any findings
Internal audit done by Mr. Amritpal Singh. He is not qualified internal auditor for any standard of IMS.
10 Weakness is observed in the Mandatory Elements ISO 9001/14001/45001 - 4.1, 4.2, 4.3
Mandatory elements of the QMS, EMS, OHS management systems are not evident vide:
• Context of organization Mr. Amrit Pal Singh
• Internal and External Issues,
• Identification of Internal and External Interested Parties
• Needs and Expectations of Interested Parties
11 Monitoring, measurement, analysis and performance evaluation ISO 45001 – 9.1
i) Sphygmomanometer – BP apparatus at OHC, calibration not demonstrated. Dr. Surinder Singh
Dr. Surinder Singh &
ii) Transformer TC –630 – silica gel in pink colour noted (to be maintained always blue to prevent moisture absorption)
Mr. Pantaj Tyagi
iii) Electrical rubber gloves – Honeywell Lot NO. 3742 Dt. 04/09 ( as per IS 1447) testing not demonstrated. Mr. Pankaj Tyagi

iv) Medical Oxygen cylinder at ambulance - calibration of pressure gauge fitted on regulator – calibration is not evidenced. Dr. Surinder Singh
Weakness in the process of hazard/aspects identification and assessment of risks & opportunities ISO
12
14001:2015 - 6.1.2 & ISO 45001:2018 - 6.1.2 - R.No - 4143360_SBCWMC01
• Inadequate hazard/aspects identification and assessment w.r.t activities
Weakness in the planning & deployment of QHSE Objectives ISO 9001:2015 - 6.2, ISO 14001:2015 - 6.2 & ISO
13
45001:2018 - 6.2 - R.No - 4143360_SBCWMC02
Inadequate coordination between concerned depts. & Team MR. However noted during the interaction, awareness to the standard
•
requirement is lacking.

14 Weakness in the control of externally provided products & services ISO 9001:2015 - 8.4 & ISO 45001:2018 - 8.1.4
- R.No - 4143360_SBCWMC05
• Lack of awareness to OHS requirement.
Gaps in the Management Review Process ISO 9001:2015 - 9.3, ISO 14001:2015 - 9.3 & ISO 45001:2018 - 9.3 -
15
R.No - 4143360_SBCWMC07
• The management Review Meeting was not conducted as per the requirements of the standard

16
Weakness observed in nonconformity management process ISO 9001:2015 - 10.2 & ISO 45001:2018 - 10.2 - R.No -
4143360_SBCWMC08
i) Document not formatted as per specific requirements.
Ii) Effective compliance was not done.