united quality management system audit

QHSE Management System Audit

Certification

United Quality Management System Audit Index page 1 of 1

QHSE Management System Audit for

United Engineering General Trading and Contracting Co. WLL

Sector 8, Plot no. 43, Street No. 341, East Ahmadi, Kuwait

P.O. Box. 47914

Index

Stage 1 Audit Plan ............................................................................................................................................ 2 pages

Audit Report ........................................................................................................................................ 3 pages

Stage 2 Audit Plan ............................................................................................................................................ 3 pages Audit Report

Audit Evidences ........................................................................................................................... 28 pages

Nonconformity Report .................................................................................................................... 4 pages

Checklist of Standard elements ....................................................................................................... 2 pages Audit Evaluation .............................................................................................................................. 4 pages Auditor Recommendation to Certification Office ............................................................................ 1 pages Organization Reserves and General Remarks ................................................................................ 2 pages

Data for issuing the certificate CC: Original report: Executive manager / QM-representative

Stage 1 / Certification

Report No:

Evaluation: 1 = compliant / no deviations, 2 = observations

*what - who- how – with what – where - when – how often – what documents / forms – what is recorded

United Quality Management System Audit Audit Plan page 1 of 2

Company United Engineering General Trading and Contracting Co. WLL

Address Sector 8, Plot no. 43, Street No. 341, East Ahmadi, Kuwait P.O. Box. 47914

Relevant sites

Scope/IAF code(s)

EA Code 17.2 28

Fabrication & Erection of Steel Structures & Pipes, Scaffolding Works, Blasting & Painting, Trading & Agency Services

MS-Standard ISO 9001:2015 ISO 14001:2015 BS OHSAS 18001:2007

Exclusions 8.3 Audit Language English

Audit date 07/03/2016 Combined Audit -

Lead auditor Marius Pereira Auditor (s) ------------

Expert (s) - Observer (s) -

Translator -

Contact person Mr. Arjun Putthilath Viswanathan

Report regarding the previous audit, dated:

Employees information

Current no. of employees 25

Equivalent no. of employees 25

Work shifts 1

Date/Time

Company participants Audit guides

Activities Auditor(s)

08:00

Management,

QHSE Representative

Opening meeting 1

8:30 9:30 n

Management,

QHSE Representative

Review the client’s management system documented information 1

9:30 – 11:00

Management,

QHSE Representative

Evaluate the client’s site-specific conditions and discussions with the client’s personnel to determine the preparedness for stage 2

1

11:00

12:00

QHSE Representative

Review the client’s status and understanding regarding requirements of the standard, in particular with respect to the identification of key performance or significant aspects, processes, objectives and operation of the management system

1

12:00

13:00

QHSE Representative

Obtain information regarding the scope of the management system, including:

— the client’s site(s)

— processes and equipment used

— levels of controls established (particularly in case of multisite clients)

— applicable statutory and regulatory requirements

1

13:00

14:00

QHSE Representative

Review the allocation of resources for stage 2 and agree the details of stage 2 with the client

1

14:00 QHSE Provide a focus for planning stage 2 by gaining a sufficient understanding 1


Report No:




Date/Time

Company participants Audit guides

Activities Auditor(s)

15:00 Representative of the client’s management system and site operations in the context of the management system standard or other normative document

15:00

16:00

QHSE Representative

Evaluate if the internal audits and management reviews are being planned and performed, and that the level of implementation of the management system substantiates that the client is ready for stage 2

1

16:00

16:30

QHSE Representative

Closing meeting 1

Dubai , 07/03/2016 Marius Pereira

Place, date Lead Auditor


Report No:



United Quality Management System Audit Audit Report page 1 of 2

Objectives of stage 1 Results and comments Evaluation

a) review the client’s management system documented information

United Engineering has developed a QHSE manual and documented information which was last revised in October 2015 and included the reference of the documented information required for the implementation of QHSE

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b) evaluate the client’s site-specific conditions and to undertake discussions with the client’s personnel to determine the preparedness for stage 2

By discussion with client staff it was observed they are fully understand the requirements of QHSE management system and they show the redness for stage 2 audit

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c) review the client’s status and understanding regarding requirements of the standard, in particular with respect to the identification of key performance or significant aspects, processes, objectives and operation of the management system

United Engineering has a procedure for identification of key performance and significant aspects, processes, objectives and operation of the management system

And the QHSE objectives were found clearly identified at relevant level and functions with approval form top management

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d) obtain necessary information regarding the scope of the management system, including:

— the client’s site(s)

— processes and equipment used

— levels of controls established (particularly in case of multisite clients)

— applicable statutory and regulatory requirements

The scope of QHSE management system were found clearly identified, and all aspects are determined and all processes and equipment related to QHSE scope are determined.

All applicable legal and other requirements related to QHSE management system were found clearly identified.

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e) review the allocation of resources for stage 2 and agree the details of stage 2 with the client

All resources needed for stage 2 audit were reviewed and agreed with client.

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f) provide a focus for planning stage 2 by gaining a sufficient understanding of the client’s management system and site operations in the context of the management system standard or other normative document

All data required for planning to stage 2 audit was obtained and sufficient understanding of client management system and context of the management system is fully understood.

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g) evaluate if the internal audits and management reviews are being planned and performed, and that the level of implementation of the management system substantiates that the client is ready for stage 2

The client is ready for stage 2 audit as they are conducted internal audit and also the management review and the level of implementing the QHSE is sufficient

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Areas of concern:

Area of concern 1 None


Report No:



United Quality Management System Audit Audit Report page 2 of 2

Auditor recommendation to Certification Office

Auditor recommends The company is ready for the Stage 2 audit.

The company is not ready for the Stage 2 in this moment.

The persons involved in the audit and the certification process state with their binding signature that, over the last 2 years, they have not provided any consulting services whatsoever concerning the management system for the company under review, and that they will not provide any such services within the next 2 years.

Dubai, 07/03/2016

Marius Pereira

Place, Date Lead auditor Auditor/Expert

Stage 2/ Certification

Report No:


Company United Engineering General Trading and Contracting Co. WLL

Address Sector 8, Plot no. 43, Street No. 341, East Ahmadi, Kuwait P.O. Box. 47914

Relevant sites -

Scope/IAF code(s)

EA Code 17.2 28


MS-Standard ISO 9001:2015 ISO 14001:2015 BS OHSAS 18001:2007

Exclusions 8.3 Audit Language English

Audit date 07-03-2016 Combined Audit -

Lead auditor Marius Pereira Auditor (s) -

Expert (s) - Observer (s) -

Translator -

Contact person Mr. Arjun Putthilath Viswanathan

Report regarding the previous audit, dated: -

Employees information

Current no. of employees 20

Equivalent no. of employees 20

Work shifts 1

Date/Time Processes Company participants Chapter/s

of Standard Auditor(s)*

Day 1 Lead Auditor

0900-0930 Management / Policy / Objectives

GM / Steering Committee Opening meeting + Management responsibility 14001:4.3.3, 4.3.4 18001:4.3.3, 4.3.4 9001:

(4.1,4.2,4.3 ,4.4 , 5.1,5.2,5.3 , 6.1,6.2,6.3, 9.3 9.2, 9.1) 6.1

1

0930-1030 Document & Data Control

Management Representative

Manual Document & records control 14001; 4.4.4, 4.4.5 18001; 4.4.4, 4.4.5

1


Report No:


9001: 4.1, 4.2 4.2.1 General 4.2.2 Quality Manual 4.2.3 Control of document 4.2.4 Control of records

C Action & Servicing Risk Management


14001: 4.5.2, 4.5.3 18001: 4.5.2, 4.5.3

9001: 6.1,

1

Non-conforming Control


14001: 4.5.2 18001: 4.5.2 9001: 8.4, 8.3

1

Internal Audit & Data Analysis


14001: 4.5.4 /4.5.1 /4.5.5 18001: 4.5.4 /4.5.1 / 4.5.5 9001: 8.2.2 / 8.3

1

Communications / Complaints / Satisfaction

Marketing Dept. / MRQ 14001: 4.4.3 18001: 4.4.3 9001:

1

Management Review

Management Rep. 14001:4.6 18001:4.6 9001: 5.4, 5.4.1, 5.4.2, 5.6, 5.6.1, 5.6.2, 5.6.3

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1030-1130 Contracts & Tendering

Contracts Manager 9001: 7.1, 7.2, 7.2.1, 7.2.2, 7.2.3

1

1130-1230 Purchasing & Stores

Procurement Officer 14001: 4.4.6 18001: 4.4.6 9001: 7.4, 7.4.1, 7.4.2, 7.4.3,

1

Lunch

1300-1400 (Aspects / Hazards/Risks) (identification & evaluation)

HSE Officer 18001; 4.3.1 1

Legal & Other requirements

HSE Officer 18001; 4.3.2

1

Objectives / Targets / programs

HSE Officer 18001; 4.3.3/ 4.3.4

1

1400-1500 Incidents / H&S Accidents

HSE Officer 18001; 4.5.2 1

Safety Records and Communications

HSE Officer 18001: 4.5.2, 4.4.2

1

Operational control / Waste Management

HSE Officer / Production Manager

14001/18001: 4.3.1, 4.3.2, 4.3.3, 4.3.4, 4.4.6, 4.5.1

1

Emergency HSE Officer 14001/18001; 1


Report No:


Response 4.4.7

1500-1530 Training Administration Manager 18001: 4.4.1, 4.4.2

9001: 7.2,7.3

1

1530-1600 Supervision / Project Management

Project Manager 9001: 7.1, 7.2, 8.2, 8.3, 8.5.2, 8.5.4 14001/18001: 4.3.1, 4.3.2, 4.4.6, 4.5.1

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1600-1630 QA/QC QC Manager 9001: 8.2.3, 8.2.4, 14001: 4.5.1 18001:4.5.1

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1630-1700 Closing Meeting GM / Steering Committee 1

Dubai, 07-03-2016

Marius Pereira

Place, date Name of Lead Auditor Signature of Lead Auditor


Report No:

Evaluation: 1 = compliant / no nonconformities, 2 = partly compliant / with minor nonconformities (MiNC), 3 = non-compliant / with major nonconformities (MaNC), n.a. = not assessed, E = exclusion, REC = recommendations

*what - who- how - with what - where - when - how often - what documents / forms - what is recorded

** name - functions - responsibilities

United Quality Management System Audit Audit Evidences page 1 of 33

Assessment of norm chapters

The following survey provides information about the conformity to individual norm requirements as well as possibly existing opportunity for improvement.

For every point of the norm, lead auditor report the objective evidences collected during the audit and an evaluation regarding the implementation of the specific requirements.

For every element of the norm an evaluation is reported on the bottom-right side, following the assessment keys reported at the end of the page.

4 Context of the organization 4.1 Understanding the organization and its context

(ISO 9001 + ISO 14001 + BS OHSAS 18001)

Requirements Objective evidences*

The organization shall determine external and internal issues that are relevant to its purpose and its strategic direction and that affect its ability to achieve the intended result(s) of its QHSE management system. The organization shall monitor and review information about these external and internal issues. NOTE 1 Issues can include positive and negative factors or conditions for consideration. NOTE 2 Understanding the external context can be facilitated by considering issues arising from legal, technological, competitive, market, cultural, social and economic environments, whether international, national, regional or local. NOTE 3 Understanding the internal context can be facilitated by considering issues related to values, culture, knowledge and performance of the organization.

IMS Manual – Issue 1, Rev. 00, Dated: 15-10-2015 Mr. Arjun Putthilath Viswanathan

United Engineering has identified and determined its external and internal issues related to its purpose and its strategic directions and that affect its ability to achieve the intended results of its IMS. The Following issues were checked and analyzed as a sample

Lack of employee satisfaction

Weakness staff efficiency

Non-compliance with policies, laws

The weakness of the application of customs procedures

The inability to maintain the reputation of United Engineering

Poor planning for efficient training plans

The dangers of health and safety

Weak cooperation between customs administrations

Strategic Plan (2016 – 2020)

Operational Plan and KPIs, 2016 & 2017

Customers survey for satisfaction and feedback, 2016.

The result of monitoring and review of internal and external issues were checked and reviewed

Evaluation of Auditor (s)

Outsourced process NDT has not been identified in the manual it refers only to Calibration services

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4.2 Understanding the needs and expectations of interested parties

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


Due to their effect or potential effect on the organization’s ability to consistently provide



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products and services that meet customer and applicable statutory and regulatory requirements, the organization shall determine: a) the interested parties that are relevant to the QHSE Management System; b) The requirements of these interested parties that are relevant to the QHSE Management System. The organization shall monitor and review information about these interested parties and their relevant requirements.

United Engineering has determined the interested parties that are relevant to IMS List of interested parties are identified as follows:

Internal employees

External customers

Shareholders

Kuwait Government entities

All requirements related to interested parties are determined and reviewed by top management The result of monitoring and review of information related to interested parties were checked and reviewed.

Evaluation of Auditor (s) Conform to standard

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4.3 Determining the scope of the QHSE Management System

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


The organization shall determine the boundaries and applicability of the QHSE Management System to establish its scope. When determining this scope, the organization shall consider: a) the external and internal issues referred to in 4.1; b) the requirements of relevant interested parties referred to in 4.2; c) The products and services of the organization. The organization shall apply all the requirements of this International Standard if they are applicable within the determined scope of its QHSE Management System. The scope of the organization’s QHSE Management System shall be available and be maintained as documented information. The scope shall state the types of products and services covered, and provide justification for any requirement of this International Standard that the organization determines is not applicable to the scope of its QHSE Management System. Conformity to this International Standard may only be claimed if the requirements determined as not being applicable do not affect the organization’s ability or responsibility to ensure the conformity of its products and services and the enhancement of customer satisfaction.


United Engineering has identified its QHSE scope including the boundaries and applicability of QHSE. The MS Manual is developed conforming to the standard requirements of ISO 9001:2008, ISO 14001:2004 & OHSAS 18001:2007 with a documented QHSE Policy, scope of QHSE, justification of exclusions (8.3), interaction of the processes as well as referencing of the procedures developed for the implementation of QHSE United Engineering was found considers the internal and external parties, the requirements of interested parties, the products and services during defining its QHSE scope. The scope of United Engineering was found available and maintained as a documented information. Clause 8.3, Design & Development is not applicable to United Engineering QHSE due to its nature of business as a service provider with no special process required. The scope of United Engineering was found include the types of products and services covered and the justification for any requirement of ISO 9001:2015 / 14001:2015 & OHSAS 18001 are determined not applicable to the scope of its QHSE Management System.


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The QHSE scope is “Fabrication of steel structures and pipes, scaffolding jobs, Blasting and Painting and Trading / Agency Services “.


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4.4 QHSE management system and its processes

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


e.2.2 The organization shall establish, implement, maintain and continually improve a QHSE Management System, including the processes needed and their interactions, in accordance with the requirements of this International Standard.

The organization shall determine the processes needed for the QHSE Management System and their application throughout the organization, and shall: a) determine the inputs required and the outputs expected from these processes; b) determine the sequence and interaction of these processes; c) determine and apply the criteria and methods (including monitoring, measurements and related performance indicators) needed to ensure the effective operation and control of these processes; d) determine the resources needed for these processes and ensure their availability; e) assign the responsibilities and authorities for these processes; f) address the risks and opportunities as determined in accordance with the requirements of 6.1; g) evaluate these processes and implement any changes needed to ensure that these processes achieve their intended results; h) Improve the processes and the QHSE Management System. 4.4.2 To the extent necessary, the organization shall: a) maintain documented information to support the operation of its processes; b) Retain documented information to have confidence that the processes are being carried out as planned.


United Engineering has identified and implemented its business processes in detail and manages their performances. Details have been identified in the IMS along with the scope of operation and QHSE policy. The inputs required and output expected from the processes along with process sequence and interaction are defined as per Company operational requirements and conforming to the standard as well. Some of these processes are Interaction of the processes is defined as per company operational requirements and conforming to the standard as well. Some of these processes are

Sales Process

Fabrication

Blasting and Painting

Purchasing

Stores Process

Maintenance Process

Calibration Resources required for smooth implementation of IMS as well as operation of United Engineering to create customer satisfaction at every time is planned through the management review, operational meetings and in consultation with HR department. The evaluation of the processes and implemented changes were checked. All documented information to support operation and its process are maintained and retained i.e.

Processes risk register,

Risk management process,

Document & record control,


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Management review process.


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5 Leadership 5.1 Leadership and commitment

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


e.2.2 General Top management shall demonstrate leadership and commitment with respect to the QHSE Management System by: a) taking accountability for the effectiveness of the QHSE Management System; b) ensuring that the quality policy and quality objectives are established for the QHSE Management System and are compatible with the context and strategic direction of the organization; c) ensuring the integration of the QHSE Management System requirements into the organization’s business processes; d) promoting the use of the process approach and risk-based thinking; e) ensuring that the resources needed for the QHSE Management System are available; f) communicating the importance of effective quality management and of conforming to the QHSE Management System requirements; g) ensuring that the QHSE Management System achieves its intended results; h) engaging, directing and supporting persons to contribute to the effectiveness of the QHSE Management System; i) promoting improvement; j) Supporting other relevant management roles to demonstrate their leadership as it applies to their areas of responsibility. NOTE Reference to “business” in this International Standard can be interpreted broadly to mean those activities that are core to the purposes of the organization’s existence, whether the organization is public, private, for profit or not for profit.


Discussion with top management, shows that they are fully committed and supports the QHSE management System implementation and maintenance. The QHSE objective (operational indicators) and quality policy had been issued and signed by the GM and are compatible with the context and strategic direction of the organization; The QHSE policy is approved by the MD The policy is reviewed and updated on 25th December 2015 Necessary infrastructure required to comply with the QHSE requirements has been provided. Management has also showed its commitment with developing and implementing the QHSE system along with compliance to the legal requirements as well as communicating to all the employees the importance of customer satisfaction, preventing pollution and prevention of injury and ill health.


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5.1.2 Customer focus 4.3.1 Environmental aspects ( O ) / Hazard identification, risk assessment and determining controls ( O ) 4.3.2 Legal and other requirements ( O )

Top management shall demonstrate leadership and commitment with respect to customer focus by ensuring that: a) customer and applicable statutory and regulatory requirements are determined, understood and consistently met; b) the risks and opportunities that can affect conformity of products and services and the ability to enhance customer satisfaction are determined and addressed; c) the focus on enhancing customer satisfaction is maintained.


The top management are focused on meeting customer requirements at all-time where possible to enhance the customer satisfaction.

All customer requirements are determined and communicated throughout United Engineering. - Records of customer satisfaction have been checked. - The quality policy includes Customer satisfaction. Customer and applicable statutory and regulatory requirements were found clearly defined and implemented The risks and opportunities that can affect conformity of products and services and the ability to enhance customer satisfaction were found clearly defined and determined. Following records were checked as evidence of conformance.

Risk management and opportunities procedure

United Engineering Risk register Customer focus is an important part of organization’s policy and much more attention has been paid to serve the customers in best possible manners to create customer loyalty. All the risk assessment and Aspect and Impact were last updated on 15th of October 2016. Legal compliance has been verified. Last updated on

Evaluation of Auditor (s) Conform to the requirements

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5.2 Policy

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


e.2.2 Establishing the quality policy Top management shall establish, implement



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and maintain a quality policy that: a) is appropriate to the purpose and context of the organization and supports its strategic direction; b) provides a framework for setting quality objectives; c) includes a commitment to satisfy applicable requirements; d) Includes a commitment to continual improvement of the QHSE Management System.

The QHSE policy is approved by the MD The policy is reviewed and updated on 25th December 2015 Necessary infrastructure required to comply with the QHSE requirements has been provided. Management has also showed its commitment with developing and implementing the QHSE system along with compliance to the legal requirements as well as communicating to all the employees the importance of customer satisfaction, preventing pollution and prevention of injury and ill health. The Quality Policy provide a framework for establishing and reviewing quality objective, shows commitment to comply with customer and other requirements and includes a commitment to continual improvement of the QHSE Management System.

5.2.2 Communicating the QHSE policy The quality policy shall: a) be available and be maintained as documented information; b) be communicated, understood and applied within the organization; c) Be available to relevant interested parties, as appropriate.


The policy is available and maintained as documented information. It has been communicated to employees in various channels including memos, emails and awareness sessions. The quality policy is available to interested parties.


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5.3 Organizational roles, responsibilities and authorities & Accountability

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


Top management shall ensure that the responsibilities and authorities for relevant roles are assigned, communicated and understood within the organization. Top management shall assign the responsibility and authority for:

e) ensuring that the QHSE Management System conforms to the requirements of this

International Standard; b) ensuring that the processes are delivering their intended outputs; c) reporting on the performance of the QHSE Management System and on opportunities for improvement (see 10.1), in particular to top management;


Responsibilities and authorities are defined in the organization chart and job description. Top management ensured assigning the responsibilities and authorities for ensuring the IMS conforms to the requirements to ISO 9001:2015, ISO 14001:2015 OHSAS 18001:2007 ensure the process delivering their intended outputs and to ensure the integrity of the IMS is maintained in case of changes are planned and implemented JDs for were checked as a sample and competency requirements

Managing Director


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d) ensuring the promotion of customer focus throughout the organization; e) Ensuring that the integrity of the QHSE Management System is maintained when changes to the QHSE Management System are planned and implemented.


Admin and H.R officer

QA / QC Engineer

Supervisor

for the said designations have been defined, Also responsibilities and authorities related to EHS were defined in detail.


The JD for the Managing Director does not define the accountability with respect to HSE incidents as per committment made in QHSE policy

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6 Planning 6.1 Actions to address risks and opportunities

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


6.1.1 When planning for the QHSE Management System, the organization shall consider the issues referred to in 4.1 and the requirements referred to in 4.2 and determine the risks and opportunities that need to be addressed to: a) give assurance that the QHSE Management System can achieve its intended result(s); b) enhance desirable effects; c) prevent, or reduce, undesired effects; d) Achieve improvement.


United Engineering has identified its internal and external issues related to its IMS and also identified customer needs and expectations. United Engineering has defined the risk and opportunities to ensure the IMS can achieve its intended use. List of Identified Risk and Opportunities along with its corresponding action plan were verified to established evidence of conformance. (United Engineering risk register) Include the following :

-

6.1.2 The organization shall plan: a) actions to address these risks and opportunities; b) how to: 1) integrate and implement the actions into its QHSE Management System processes (see 4.4); 2) Evaluate the effectiveness of these actions. Actions taken to address risks and opportunities shall be proportionate to the potential impact on the conformity of products and services. NOTE 1 Options to address risks can include avoiding risk, taking risk in order to pursue an opportunity, eliminating the risk source, changing the likelihood or consequences,


Process risk: and controls identified for the following: Stores – Receipt, Store & issue Calibration Process – (Selection and evaluation of vendors is not identified as risk) Workshop – Maintenance, Fabrication, Scaffolding Sales and trading Purchase process H.R – Process Painting. The controls are identified and residual risk is brought down.


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sharing the risk, or retaining risk by informed decision. NOTE 2 Opportunities can lead to the adoption of new practices, launching new products, opening new markets, addressing new customers, building partnerships, using new technology and other desirable and viable possibilities to address the organization’s or its customers’ needs.

External and internal risks are identified also opportunities are covered by the organization. H&S Risk: Welding Process covered Painting Stores Lifting Cold work & working at height Generator Re-fuelling Office Transport The controls are identified and residual risk is brought down. Aspect and Impact : Painting Vehicle usage Loading and unloading Office Activities Generator Usage All the risk assessment and Aspect and Impact were last updated on 15th of October 2016. Legal compliance has been verified. Last updated on

Evaluation of Auditor (s) (Selection and evaluation of vendors is not identified as process risk)

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6.2 QHSE objectives and planning to achieve them

(ISO 9001 + ISO 14001 + BS OHSAS 18001)

Requiements Objective evidences*

6.2.1 The organization shall establish quality objectives at relevant functions, levels and processes needed for the QHSE Management System. The quality objectives shall: a) be consistent with the quality policy; b) be measurable; c) take into account applicable requirements; d) be relevant to conformity of products and services and to enhancement of customer satisfaction; e) be monitored; f) be communicated; g) be updated as appropriate.


United Engineering has determined quality objectives that are consistent with the quality policy, measurable, and time frame is assigned for achieving the quality objectives, and for review of progress. The quality objectives is monitored, documented and communicated to relevant function and levels. The evidence of the top management approval of the quality objectives is evident. The main objectives are :


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The organization shall maintain documented information on the quality objectives.

Quality: Increase in Sales to 35% Increase in monthly Production – 100 MT Repair and reword to be less than – 0.2% Skill upgradation – 5 training Addition of suppliers – 2 new suppliers HSE: Reduce oil spillage – 0 per year Saving paper – 10% Reduce Diesel Consumption – 10% Reduce power Consumption – 10% Safe man-hours to be – 52800 Reduce safety violation – 0/month HSE awareness – 5 training per year.

6.2.2 When planning how to achieve its quality objectives, the organization shall determine: a) what will be done; b) what resources will be required; c) who will be responsible; d) when it will be completed; e) How the results will be evaluated.

M IMS Manual – Issue 1, Rev. 00, Dated: 15-10-2015 Mr. Arjun Putthilath Viswanathan s.

Action plan for achieving QHSE objectives are identified, including the time frame, responsibilities, resources needed and evaluation of results


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6.3 Planning of changes

(ISO 9001 + ISO 14001 + BS OHSAS 18001)

Revquirements Objective evidences*

When the organization determines the need for changes to the QHSE Management System, the changes shall be carried out in a planned manner (see 4.4). The organization shall consider: a) the purpose of the changes and their potential consequences; b) the integrity of the QHSE Management System; c) the availability of resources; d) the allocation or reallocation of responsibilities and authorities.


United Engineering has issued a procedure to manage the needs for changes to QHSE to ensure changes are carried in planned manner, considering the purpose of the changes and potential consequences. Planning of QHSE management system was linked to Objectives and requirements of Standard. Changes that could affect the management system have been determined in management review meeting for maintaining QHSE Management System


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7 Support 7.1 Resources

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


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7.1.1 General The organization shall determine and provide the resources needed for the establishment, implementation, maintenance and continual improvement of the QHSE Management System. The organization shall consider: a) the capabilities of, and constraints on, existing internal resources; b) What needs to be obtained from external providers.


United Engineering has determined and provided the necessary resources for the smooth implementation & maintenance of the QHSE along with operation of the processes. The review is carried out through management review meeting and consultation with HR & section heads as the needs arises.

7.1.2 People The organization shall determine and provide the persons necessary for the effective implementation of its QHSE Management System and for the operation and control of its processes.


United Engineering has established a human resources management system which looks after the needed human resources to maintain and enhance customer satisfaction.

7.1.3 Infrastructure The organization shall determine, provide and maintain the infrastructure necessary for the operation of its processes and to achieve conformity of products and services. NOTE Infrastructure can include: a) buildings and associated utilities; b) equipment, including hardware and software; c) transportation resources; d) Information and communication technology.


United Engineering premises are suitable and well maintained for operations. United Engineering has provided the necessary equipment, transportation resources, communication tools and software for the provision of the service. Also they maintain their information through backup and restore procedure, they take daily, weekly, monthly and yearly backup. And practicing the restore every six months.

7.1.4 Environment for the operation of processes The organization shall determine, provide and maintain the environment necessary for the operation of its processes and to achieve conformity of products and services. NOTE A suitable environment can be a combination of human and physical factors, such as: a) social (e.g. non-discriminatory, calm, non-confrontational); b) psychological (e.g. stress-reducing, burnout prevention, emotionally protective); c) Physical (e.g. temperature, heat, humidity, light, airflow, hygiene, noise). These factors can differ substantially depending on the products and services provided.


Work environment was found to be clean and well arranged. Necessary requirements related to services conformity have been observed at United Engineering Server room has lot of materials such as files etc. which can cause fire hazards operational control not effective

7.1.5 Monitoring and measuring resources 7.1.5.1 General



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The organization shall determine and provide the resources needed to ensure valid and reliable results when monitoring or measuring is used to verify the conformity of products and services to requirements. The organization shall ensure that the resources provided: a) are suitable for the specific type of monitoring and measurement activities being undertaken; b) Are maintained to ensure their continuing fitness for their purpose. The organization shall retain appropriate documented information as evidence of fitness for purpose of the monitoring and measurement resources.

United Engineering has determine and provide the resources needed to ensure valid and reliable results when monitoring or measuring is used to verify the conformity of products and services to requirements. United Engineering has Quality Control function to ensure resources provided are suitable for the specific type of monitoring and measurements activities being undertaken and maintained to ensure their continuing fitness for their purpose. United Engineering has retained the documented information as evidence of fitness for the purpose of the monitoring and measurements resources. Documents checked as evidence are as follows:

Performance monitoring report dated 1/12/2015

Quarter report dated 3/09/2015 was checked

7.1.5.2 Measurement traceability When measurement traceability is a requirement, or is considered by the organization to be an essential part of providing confidence in the validity of measurement results, measuring equipment shall be: a) calibrated or verified, or both, at specified intervals, or prior to use, against measurement standards traceable to international or national measurement standards; when no such standards exist, the basis used for calibration or verification shall be retained as documented information; b) identified in order to determine their status; c) Safeguarded from adjustments, damage or deterioration that would invalidate the calibration status and subsequent measurement results. The organization shall determine if the validity of previous measurement results has been adversely affected when measuring equipment is found to be unfit for its intended purpose, and shall take appropriate action as necessary.


United Engineering has established calibration procedure for its measuring devices, the following evidences have been verified during the audit:

Following calibration records verified: Lux Meter – Certificate No. – OPS/CAL/LUX/001/16 Dated: 21/01/2016 Next Due: 03/11/2016 Gas Alert Certificate No. - OPS/CAL/GM/001/16 Dated: 21/01/2016 Next Due: 20th July 2016 Sound level meter Certificate No. – OPS/CAL/SLM/001/16 Dated: 21/01/2016 Next: 20th July 2016 All measuring equipment’s were found in good condition and fit to the purpose of use

7.1.6 Organizational knowledge The organization shall determine the knowledge



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necessary for the operation of its processes and to achieve conformity of products and services. This knowledge shall be maintained and be made available to the extent necessary. When addressing changing needs and trends, the organization shall consider its current knowledge and determine how to acquire or access any necessary additional knowledge and required updates. NOTE 1 Organizational knowledge is knowledge specific to the organization; it is generally gained by experience. It is information that is used and shared to achieve the organization’s objectives. NOTE 2 Organizational knowledge can be based on: a) internal sources (e.g. intellectual property; knowledge gained from experience; lessons learned from failures and successful projects; capturing and sharing undocumented knowledge and experience; the results of improvements in processes, products and services); b) External sources (e.g. standards; academia; conferences; gathering knowledge from customers or external providers).

United Engineering has determined the knowledge necessary for the operation of its processes and to achieve conformity of products and services. United Engineering has maintained these knowledge and be made available to the extent necessary. The following sources for internal and external knowledge are checked:

- List of applicable laws - Project Learning are stored in the Software - Tool box talks are conducted

.


Server room has lot of materials such as files etc. which can cause fire hazards operational control not effective

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7.2 Competence

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


The organization shall: a) determine the necessary competence of person(s) doing work under its control that affects the performance and effectiveness of the QHSE Management System; b) ensure that these persons are competent on the basis of appropriate education, training, or experience; c) where applicable, take actions to acquire the necessary competence, and evaluate the effectiveness of the actions taken; d) Retain appropriate documented information as evidence of competence. NOTE Applicable actions can include, for example, the provision of training to, the mentoring of, or the reassignment of currently employed persons; or the hiring or contracting


Personnel performing work affecting conformity to service requirements are competent on the basis of appropriate education, training, skills and experience. This was evident by reviewing the job descriptions and personnel files. The following Job descriptions have been reviewed:

- Managing Director - HR manager - Technical supervisor

Formal annual training plan as per company procedure for 2015-2016 checked. Total 15 external trainings are planned for the year 2016.


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of competent persons. Few of them are listed below.

Basic First aid training – Jan 2016,

Product training from vendors – December 2016

Defensive Driving – March 2016

Site Hazard Training – June 2016

House Keeping training – April 2016 Awareness training for ISO 9001:2015, ISO 14001:2015 & OHSAS 18001:2007 verified Conducted on 18th jan 2016 Internal auditor training for ISO 9001:2015, ISO14001:2015 & OHSAS 18001:2007 verified. Attended by:

S. Shanmuganathan

Monish Ahmad Khan

Viswanthan Arju Training plans for 2015 & 2016 were developed. The effectiveness of the training is performed in most of the training courses Also list of approved training providers was found with professional way to evaluate them.

Evaluation of Auditor (s) Conforms to standard

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7.3 Awareness

(ISO 9001 + ISO 14001 + BS OHSAS 18001)


The organization shall ensure that persons doing work under the organization’s control are aware of: a) the quality policy; b) relevant quality objectives; c) their contribution to the effectiveness of the QHSE Management System, including the benefits of improved performance; d) the implications of not conforming with the QHSE Management System requirements.


United Engineering has issued procedure to ensure that any persons doing work under United Engineering control are aware of quality policy, objectives, contribution to effectiveness of QHSE Management System: Awareness training for ISO 9001:2015, ISO 14001:2015 & OHSAS 18001:2007 verified Conducted on 18th Jan 2016

Following personnel were checked via interview to established evidence of conformance. There is an induction program for all new employees, example of new employee was checked.


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7.4 Communication


The organization shall determine the internal and external communications relevant to the QHSE Management System, including: a) on what it will communicate; b) when to communicate; c) with whom to communicate; d) how to communicate; e) who communicates.


United Engineering has determined the internal and external communication relevant to IMS to include what will be communicated and when to communicate and who communicates. The methods of internal communication and external communication are checked as follows.

- Internal Communications Procedure - External communication procedure

Internal communications means have been checked in the company, which is carried out by internal central phone systems, intranet, notice boards and memos. Furthermore Safety signage, tool box talks, visitors induction and company website have also been used for communicating the QHSE requirements. MOCI – Ministry of Commerce and Industries Letter dated: 05th November 2015 Increase in Labour quota verified the records are maintained by H.R. Ministry of social insurance Letter dated: 22/02/2016 Communication log was reviewed and noted it includes the what, when, how, who and with whom to communicate or escalate when relevant issues related to QHSE Management System arise.


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7.5 Documented information


7.5.1 General The organization’s QHSE Management System



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shall include: a) documented information required by this International Standard; b) Documented information determined by the organization as being necessary for the effectiveness of the QHSE Management System. NOTE The extent of documented information for a QHSE Management System can differ from one organization to another due to: — the size of organization and its type of activities, processes, products and services; — the complexity of processes and their interactions; — the competence of persons.

United Engineering IMS includes all documented information determined by ISO 9001:2015, ISO 14001:2015, OHSAS 18001:2007 and documented information determined by the company as being necessary for the effectiveness of IMS. i.e. - risk register - Aspect and Impact - internal and external issues - internal audit result - minutes of management review meeting

7.5.2 Creating and updating When creating and updating documented information, the organization shall ensure appropriate: a) identification and description (e.g. a title, date, author, or reference number); b) format (e.g. language, software version, graphics) and media (e.g. paper, electronic); c) Review and approval for suitability and adequacy.


United Engineering has developed a procedure to control creating and updating documented information. All documented information has been identified including the description, author and reference number. Review and approval for suitability and adequacy was evident since all documents are signed by the concerned department head and top management. Sample documents verified are: - Change Management Procedure - internal audit procedure - Management Review Procedure - Document Control Procedure

7.5.3 Control of documented information 7.5.3.1 Documented information required by the QHSE Management System and by this International Standard shall be controlled to ensure: a) it is available and suitable for use, where and when it is needed; b) it is adequately protected (e.g. from loss of confidentiality, improper use, or loss of integrity). 7.5.3.2 For the control of documented information, the organization shall address the following activities, as applicable: a) distribution, access, retrieval and use; b) storage and preservation, including preservation of legibility; c) control of changes (e.g. version control); d) Retention and disposition. Documented information of external origin


Documents are controlled by the document control procedure; all documents are approved by the management Representative. Documented system had been reviewed before the Management review meeting dated 29-02-16 The related records such as Master list for the documents List of External origin documents was found up to date. Procedures for Change Management, Management Review as well as relevant records were verified to establish the evidence of the implementation of control of documented information.


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determined by the organization to be necessary for the planning and operation of the QHSE Management System shall be identified as appropriate, and be controlled. Documented information retained as evidence of conformity shall be protected from unintended alterations. NOTE Access can imply a decision regarding the permission to view the documented information only, or the permission and authority to view and change the documented information.

Obsolete documents after any modification are withdrawn from the point of use and one copy is kept with the stamp of Cancel documents in the file for reference. Distribution list of documents was readily available for review. Documents are distributed by QMR with the distribution form as ‘CONTROLLED COPY’. OBSOLETE documents are identified with ‘CANCEL’ stamp to prevent its unintended use. The Master list of documented information includes all documents implemented within the Company and its management system and found up to date.

Evaluation of Auditor (s) Conform to the requirments

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8 Operation 8.1 Operational planning and control


The organization shall plan, implement and control the processes (see 4.4) needed to meet the requirements for the provision of products and services, and to implement the actions determined in Clause 6, by: a) determining the requirements for the products and services; b) establishing criteria for: 1) the processes; 2) the acceptance of products and services; c) determining the resources needed to achieve conformity to the product and service requirements; d) implementing control of the processes in accordance with the criteria; e) determining, maintaining and retaining documented information to the extent necessary: 1) to have confidence that the processes have been carried out as planned; 2) To demonstrate the conformity of products and services to their requirements. The output of this planning shall be suitable for the organization’s operations. The organization shall control planned changes and review the consequences of unintended changes, taking action to mitigate any adverse


United Engineering has planned its process and developed relevant work procedure that covers the entire process, from customer inquiry by determining the customer and statutory requirements of products and services until it is delivered to the customer. Dubai custom has determined, maintained and retained documented information to: • Be confident that the process have been carried out as

planned, • To demonstrate the conformity of products and services

to their requirements. The planning output are found suitable for the organization’s operations and demonstrated control whenever planned changes and unintended changes occur. All changes are documented and maintained. The organization ensures that outsourced processes are controlled. The Quality inspections are conducted based on the ITP of Keysung metals korea. Inspection test plan verified.


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effects, as necessary. The organization shall ensure that outsourced processes are controlled (see 8.4).

The processes and activities which can result in any HSE issues have been identified in the risk assessment and necessary operational controls have been planned and implemented


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8.2 Requirements for products and services


8.2.1 Customer communication Communication with customers shall include: a) providing information relating to products and services; b) handling enquiries, contracts or orders, including changes; c) obtaining customer feedback relating to products and services, including customer complaints; d) handling or controlling customer property; e) Establishing specific requirements for contingency actions, when relevant.


United Engineering has developed means of communication with customer to include the information related to products and services, handling enquires, contracts and obtaining customer feedback, handling or controlling customer property and establishing specific requirements for contingency actions when needed. Evidence checked are as follows: statutory and regulatory requirements - all additional requirements - Customer requirements are determined in attachment of contract between company and its customer. The organization has procedure for identification of environmental aspects for identifying significant aspects. Environmental aspects related to services, activities identified and reviewed. All records for significant aspects kept, and are updated At regular intervals. Costing sheet / Bid Summary verified prepared on 16th November 2015. The risk assessment and Aspect and Impact for all the activities including the project sites are created and circulated by the organization. Client: Q80 Registration No. UE-EQ-15-1591-Q80 Enquiry Dated; 29th Feb 2016 Item: ¾” Globe valve – 4 pieces Quotation prepared on 29th Feb 2016 Quotation No. UE-QT-15-1591-Q80 (email) Bid Summary verified: prepared on 29th Feb 2016 Approved by Department Head. Customer P.O received on the same date.


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8.2.2 Determining the requirements for products and services When determining the requirements for the products and services to be offered to customers, the organization shall ensure that: a) the requirements for the products and services are defined, including: 1) any applicable statutory and regulatory requirements; 2) those considered necessary by the organization; b) The organization can meet the claims for the products and services it offers.


United Engineering has developed a procedure to determine the requirements for the products and services are defined considering the applicable laws and regulations and all requirements required by United Engineering. The organization can meet the claims for the products and services it offers. Following project was checked: Client: KOC Dated: 8th November 2015 Enquiry: Supply for 4” 150 Ball Valves DSS Registration No. UE-EQ-15-1384/KOC Quotation No. UE-QT-15-1384/KOC Date Quote Sent: 17th November 2015 Quotation signed by Senior Sales Engineer. The company is under L3.

8.2.3 Review of the requirements for products and services 8.2.3.1 The organization shall ensure that it has the ability to meet the requirements for products and services to be offered to customers. The organization shall conduct a review before committing to supply products and services to a customer, to include: a) requirements specified by the customer, including the requirements for delivery and post-delivery activities; b) requirements not stated by the customer, but necessary for the specified or intended use, when known; c) requirements specified by the organization; d) statutory and regulatory requirements applicable to the products and services; e) Contract or order requirements differing from those previously expressed. The organization shall ensure that contract or order requirements differing from those previously defined are resolved. The customer’s requirements shall be confirmed by the organization before acceptance, when the customer does not


Customer related requirements are reviewed and checked before accepting any new customer to check that United Engineering will be able to provide the service. Checked all requirements including: - statutory and regulatory requirements - all additional requirements - Customer requirements are determined in attachment of agreement between United Engineering and its customer. Customer related processes have been documented appropriately. Whenever company receives any query, the Sales manager in consultation with the MD carries out the review. If the company can fulfill the requirements a proposal is forwarded to the client. After the review and approval of the client a detailed contract is signed between the two parties listing all the agreed terms and condition includes those related to QHSE. Proposals and RFP’s are tracked by the Software


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provide a documented statement of their requirements. NOTE In some situations, such as internet sales, a formal review is impractical for each order. Instead, the review can cover relevant product information, such as catalogues. 8.2.3.2 The organization shall retain documented information, as applicable: a) on the results of the review; b) on any new requirements for the products and services.

Microsoft Access 2007. The communication with the client happens through email and portals. United Engineering has also defines in procedure that any complaints received will be properly logged on to NC form and then forwarded to the relevant department for the correction and corrective action. United Engineering kept all documented information as applicable of the results of the review of product/services requirements and any new requirements for the products and services.

8.2.4 Changes to requirements for products and services The organization shall ensure that relevant documented information is amended, and that relevant persons are made aware of the changed requirements, when the requirements for products and services are changed.


United Engineering has developed a procedure to ensure that all relevant documented information are amended and relevant persons are made aware of the changes made. Following records were checked:

- Change Management Procedure


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8.3 Design and development of products and services


8.3.1 General The organization shall establish, implement and maintain a design and development process that is appropriate to ensure the subsequent provision of products and services.

Review of documented information/ Interview to personnel**

E

8.3.2 Design and development planning In determining the stages and controls for



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design and development, the organization shall consider: a) the nature, duration and complexity of the design and development activities; b) the required process stages, including applicable design and development reviews; c) the required design and development verification and validation activities; d) the responsibilities and authorities involved in the design and development process; e) the internal and external resource needs for the design and development of products and services; f) the need to control interfaces between persons involved in the design and development process; g) the need for involvement of customers and users in the design and development process; h) the requirements for subsequent provision of products and services; i) the level of control expected for the design and development process by customers and other relevant interested parties; j) the documented information needed to demonstrate that design and development requirements have been met.

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8.3.3 Design and development inputs The organization shall determine the requirements essential for the specific types of products and services to be designed and developed. The organization shall consider: a) functional and performance requirements; b) information derived from previous similar design and development activities; c) statutory and regulatory requirements; d) standards or codes of practice that the organization has committed to implement; e) Potential consequences of failure due to the nature of the products and services. Inputs shall be adequate for design and development purposes, complete and unambiguous. Conflicting design and development inputs shall be resolved. The organization shall retain documented information on design and development inputs.


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8.3.4 Design and development controls The organization shall apply controls to the



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design and development process to ensure that: a) the results to be achieved are defined; b) reviews are conducted to evaluate the ability of the results of design and development to meet requirements; c) verification activities are conducted to ensure that the design and development outputs meet the input requirements; d) validation activities are conducted to ensure that the resulting products and services meet the requirements for the specified application or intended use; e) any necessary actions are taken on problems determined during the reviews, or verification and validation activities; f) Documented information of these activities is retained. NOTE Design and development reviews, verification and validation have distinct purposes. They can be conducted separately or in any combination, as is suitable for the products and services of the organization.

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8.3.5 Design and development outputs The organization shall ensure that design and development outputs: a) meet the input requirements; b) are adequate for the subsequent processes for the provision of products and services; c) include or reference monitoring and measuring requirements, as appropriate, and acceptance criteria; d) Specify the characteristics of the products and services that are essential for their intended purpose and their safe and proper provision. The organization shall retain documented information on design and development outputs.


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8.3.6 Design and development changes The organization shall identify, review and control changes made during, or subsequent to, the design and development of products and services, to the extent necessary to ensure that there is no adverse impact on conformity to requirements. The organization shall retain documented information on: a) design and development changes; b) the results of reviews; c) the authorization of the changes; d) the actions taken to prevent adverse impacts.


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8.4 Control of externally provided processes, products and services


8.4.1 General The organization shall ensure that externally provided processes, products and services conform to requirements. The organization shall determine the controls to be applied to externally provided processes, products and services when: a) products and services from external providers are intended for incorporation into the organization’s own products and services; b) products and services are provided directly to the customer(s) by external providers on behalf of the organization; c) a process, or part of a process, is provided by an external provider as a result of a decision by the organization. The organization shall determine and apply criteria for the evaluation, selection, monitoring of performance, and re-evaluation of external providers, based on their ability to provide processes or products and services in accordance with requirements. The organization shall retain documented information of these activities and any necessary actions arising from the evaluations.


United Engineering has developed procedure to ensure that externally provided processes, products and services conform to requirements. United Engineering has determined the controls to be applied to externally provided processes. United Engineering has determine and applied criteria for the evaluation, selection, monitoring of performance, and re-evaluation of external providers, based on their ability to provide processes or products and services in accordance with requirements. United Engineering has retained documented information of these activities and any necessary actions arising from the evaluations. Records of the following were checked. Supplier: Neway Valves – china P.O no. UE-PO-16-149-NEWAY Dated: 17th Jan 2016 Supply of Gate & Globe valves as per annexure A.

There is request form for the process of procurement and three offers. There is an approved suppliers list with all necessary information with suitable evaluation after every procurement process.

8.4.2 Type and extent of control The organization shall ensure that externally provided processes, products and services do not adversely affect the organization’s ability to consistently deliver conforming products and services to its customers. The organization shall: a) ensure that externally provided processes remain within the control of its QHSE Management System; b) define both the controls that it intends to apply to an external provider and those it intends to apply to the resulting output; c) take into consideration: 1) the potential impact of the externally provided processes, products and services on


United Engineering has ensured that externally provided processes, products and services do not adversely affect the organization’s ability to consistently deliver conforming products and services to its customers. United Engineering ensured that externally provided processes remain within the control of its IMS and take into consideration the effectiveness of the controls applied.


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the organization’s ability to consistently meet customer and applicable statutory and regulatory requirements; 2) the effectiveness of the controls applied by the external provider; d) Determine the verification, or other activities, necessary to ensure that the externally provided processes, products and services meet requirements.

8.4.3 Information for external providers The organization shall ensure the adequacy of requirements prior to their communication to the external provider. The organization shall communicate to external providers its requirements for: a) the processes, products and services to be provided; b) the approval of: 1) products and services; 2) methods, processes and equipment; 3) the release of products and services; c) competence, including any required qualification of persons; d) the external providers’ interactions with the organization; e) control and monitoring of the external providers’ performance to be applied by the organization; f) Verification or validation activities that the organization, or its customer, intends to perform at the external providers’ premises.


United Engineering has ensured the adequacy of requirement’s prior to their communication to the external provider. The requirements is communicated to external provider for the process, products and service to be provided. The evidence of communication was checked as follows:

- Email sent to client


HSE related terms and conditions are not communicated to the suppliers. P.O does not state any HSE related terms UE-PO-16-149-NEWAY

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8.5 Production and service provision

Requiremements Objective evidences*

8.5.1 Control of production and service provision



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The organization shall implement production and service provision under controlled conditions. Controlled conditions shall include, as applicable: a) the availability of documented information that defines: 1) the characteristics of the products to be produced, the services to be provided, or the activities to be performed; 2) the results to be achieved; b) the availability and use of suitable monitoring and measuring resources; c) the implementation of monitoring and measurement activities at appropriate stages to verify that criteria for control of processes or outputs, and acceptance criteria for products and services, have been met; d) the use of suitable infrastructure and environment for the operation of processes; e) the appointment of competent persons, including any required qualification; f) the validation, and periodic revalidation, of the ability to achieve planned results of the processes for production and service provision, where the resulting output cannot be verified by subsequent monitoring or measurement; g) the implementation of actions to prevent human error; h) the implementation of release, delivery and post-delivery activities.

United Engineering has ensured the availability of documented information that define the characteristics of the products to be produced and the results to be achieved. The monitoring and measurements resources were found clearly defined. An annual production plan is prepared and carried out. Inspection reports are produced and corrective action requests are issued to correct any problems that may arise during the production. Production Criteria includes Operations, Human resources, services, infrastructure, policies, and customers’ feedback. Following documents were checked: Microsoft Access – being used for planning. Project: PO-16-151A Client GS Engineering Supply of Valves Contractor submits daily report. Casting until 15th of March Radiographic test 20th March for castings Assembly to be completed on 27th March 2016 Testing planned on 29th march 2016 Painting will be done on 31st March 2016. For waste management national cleaning company is considered.

8.5.2 Identification and traceability The organization shall use suitable means to identify outputs when it is necessary to ensure the conformity of products and services. The organization shall identify the status of outputs with respect to monitoring and measurement requirements throughout production and service provision. The organization shall control the unique identification of the outputs when traceability is a requirement, and shall retain the documented information necessary to enable traceability.


Traceability system is established, all products and services and documents are with assigned codes that allow tracing and checking. The Packing is done as per KOC standard requirements. KOC-G-004 Dated: 19th july 1995 Delivery notes are kept as evidenced.

8.5.3 Property belonging to customers or external providers



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The organization shall exercise care with property belonging to customers or external providers while it is under the organization’s control or being used by the organization. The organization shall identify, verify, protect and safeguard customers’ or external providers’ property provided for use or incorporation into the products and services. When the property of a customer or external provider is lost, damaged or otherwise found to be unsuitable for use, the organization shall report this to the customer or external provider and retain documented information on what has occurred. NOTE A customer’s or external provider’s property can include materials, components, tools and equipment, premises, intellectual property and personal data.

United Engineering exercise care with customer property while it is being used, where Dubai identifies, verifies, protects and safeguards the property of customer and service provided. The only customer property is the information provided or in some cases the preliminary drawings to the company. The client data is kept is separate files and only authorized person can use the files.

8.5.4 Preservation The organization shall preserve the outputs during production and service provision, to the extent necessary to ensure conformity to requirements. NOTE Preservation can include identification, handling, contamination control, packaging, storage, transmission or transportation, and protection.


United Engineering has implemented a procedure to preserve the outputs during production and service provision in good condition. The original copy of drawing is set to client while one copy is kept in design department. Storage of Drawing register

8.5.5 Post-delivery activities The organization shall meet requirements for post-delivery activities associated with the products and services. In determining the extent of post-delivery activities that are required, the organization shall consider: a) statutory and regulatory requirements; b) the potential undesired consequences associated with its products and services; c) the nature, use and intended lifetime of its products and services; d) customer requirements; e) Customer feedback. NOTE Post-delivery activities can include actions under warranty provisions, contractual obligations such as maintenance services, and supplementary services such as recycling or final disposal.


UNITED ENGINEERING has determined the requirements for post-delivery activities considering the statutory and regulations requirements, customer requirements, customer feedback, potential undesired consequences associated with its products and services and the nature, use and shelf life of its product and services.

- Currently no post-delivery activities are handled.

8.5.6 Control of changes The organization shall review and control



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changes for production or service provision, to the extent necessary to ensure continuing conformity with requirements. The organization shall retain documented information describing the results of the review of changes, the person(s) authorizing the change, and any necessary actions arising from the review.

UNITED ENGINEERING has reviewed and control changes for production or services provision to ensure continuing conformity with customer requirements.


Conforms to standard

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8.6 Release of products and services


The organization shall implement planned arrangements, at appropriate stages, to verify that the product and service requirements have been met. The release of products and services to the customer shall not proceed until the planned arrangements have been satisfactorily completed, unless otherwise approved by a relevant authority and, as applicable, by the customer. The organization shall retain documented information on the release of products and services. The documented information shall include: a) evidence of conformity with the acceptance criteria; b) Traceability to the person(s) authorizing the release.


UNITED ENGINEERING has implemented planned arrangements, at appropriate stages, to verify that the product and service requirements have been met prior its release to the customer. UNITED ENGINEERING retained documented information on the release of products and services.


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8.7 Control of nonconforming outputs


8.7.1 The organization shall ensure that outputs that do not conform to their requirements are Identified and controlled to prevent their unintended use or delivery. The organization shall take appropriate action based on the nature of the nonconformity and its effect on the conformity of products and services. This shall also apply to nonconforming products and services detected after delivery of products, during or after the provision of services. The organization shall deal with nonconforming outputs in one or more of the following ways:


UNITED ENGINEERING has devised a procedure to ensure that outputs that do not conform to their requirements are identified and controlled to prevent their unintended use or delivery. UNITED ENGINEERING has implemented a documented procedure for the control of non-conforming outputs and it is applied. Non-conformance is documented and handled through a corrective action request. Documented information


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a) correction; b) segregation, containment, return or suspension of provision of products and services; c) informing the customer; d) Obtaining authorization for acceptance under concession. Conformity to the requirements shall be verified when nonconforming outputs are corrected.

checked are as follows:

- CUS-IMS-CP – nonconformities procedure

- Customer complaints procedure.

Final inspection is carried out as per developed checklists. Records for the final inspection by the QC have been checked. Following RFI verified: Date: 15th February 2016 Subject: Cladding of store room door at main entrance Rejected with comments on 16th Feb 2016

8.7.2 The organization shall retain documented information that: a) describes the nonconformity; b) describes the actions taken; c) describes any concessions obtained; d) Identifies the authority deciding the action in respect of the nonconformity.


UNITED ENGINEERING has retained documented information that describes the NCR, action taken, concessions obtained and authority deciding the action for nonconformity.

- There were no – nonconformities observed.

Evaluation of Auditor (s) Operation control with respect to office waste such as e-waste / food waste not effective

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9 Performance evaluation 9.1 Monitoring, measurement, analysis and evaluation


9.1.1 General The organization shall determine: a) what needs to be monitored and measured; b) the methods for monitoring, measurement, analysis and evaluation needed to ensure valid results; c) when the monitoring and measuring shall be performed; d) When the results from monitoring and measurement shall be analyzed and evaluated. The organization shall evaluate the performance and the effectiveness of the QHSE Management System. The organization shall retain appropriate documented information as evidence of the results.


UNITED ENGINEERING has determined what needs to be monitored and measured, the methods for monitoring, measurement, analysis and evaluation needed to ensure valid results, when the monitoring and measuring shall be performed and when the results from monitoring and measurement shall be analyzed and evaluated. UNITED ENGINEERING was found evaluating the performance and the effectiveness of the QHSE Management System. UNITED ENGINEERING has retain appropriate documented information as evidence of the results as follows: Log of incident & accident is maintained and data analysis is carried out on the nature of incidents to prevent their reoccurrence 6 first aid cases observed for the year 2015 No major incidents / accidents.


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Work permits are tracked through permit register. Hot work permit no. 409 B1-13-14F1008 Dated 22/02/2016 verified and found okay. Following tool box topics were discussed: Dated: 22nd February 2016 Topic covered: Safe working at height Manual handling. Date: 16th February 2016 Topic Covered: Scaffolding erection and dismantling Date: 31st October 2015 Topic Covered: Lifting Accessories Lifting equipment and operations.

9.1.2 Customer satisfaction The organization shall monitor customers’ perceptions of the degree to which their needs and expectations have been fulfilled. The organization shall determine the methods for obtaining, monitoring and reviewing this information. NOTE Examples of monitoring customer perceptions can include customer surveys, customer feedback on delivered products and services, meetings with customers, market-share analysis, compliments, warranty claims and dealer reports.


Customer satisfaction is measured by means of surveys. Customer satisfaction survey is conducted annually to gauge the satisfaction. Records for 2015-2016 reflects an overall rating of GOOD for the organization Overall satisfaction level is 88% Customer Satisfaction for following clients verified. Ms. GS Engineering Al Khadda International Q80 Valve Industries Found okay.

9.1.3 Analysis and evaluation The organization shall analyse and evaluate appropriate data and information arising from monitoring and measurement. The results of analysis shall be used to evaluate: a) conformity of products and services; b) the degree of customer satisfaction; c) the performance and effectiveness of the QHSE Management System; d) if planning has been implemented effectively; e) the effectiveness of actions taken to address risks and opportunities; f) the performance of external providers; g) the need for improvements to the QHSE Management System.


UNITED ENGINEERING has analyzed and evaluated appropriate data and information arising from monitoring and measurement. The results of analysis are used to evaluate the conformity of products and services, the degree of customer satisfaction, the performance and effectiveness of the QHSE Management System, the effectiveness of actions taken to address risk and opportunities, the performance of external providers and the need for improvements to the QHSE Management System. Documented information of the above mentioned analysis where checked as evidence.


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NOTE Methods to analyse data can include statistical techniques.


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9.2 Internal audit


9.2.1 The organization shall conduct internal audits at planned intervals to provide information on whether the QHSE Management System: a) conforms to: 1) the organization’s own requirements for its QHSE Management System; 2) the requirements of this International Standard; b) is effectively implemented and maintained.


UNITED ENGINEERING has conducted internal audits at planned intervals to provide information on whether the QHSE Management System conforms to the organization’s own requirements for its QHSE Management System, the requirements of this International Standard and is effectively implemented and maintained. Annual Audit plan for 2016 audit checked prepared on UE-MR-F04.

9.2.2 The organization shall: a) plan, establish, implement and maintain an audit programme(s) including the frequency, methods, responsibilities, planning requirements and reporting, which shall take into consideration the importance of the processes concerned, changes affecting the organization, and the results of previous audits; b) define the audit criteria and scope for each audit; c) select auditors and conduct audits to ensure objectivity and the impartiality of the audit process; d) ensure that the results of the audits are reported to relevant management; e) take appropriate correction and corrective actions without undue delay; f) retain documented information as evidence of the implementation of the audit programme and the audit results. NOTE See ISO 19011 for guidance.


Internal audit planning has been implemented properly. The frequency is 2 times per year Following audit records verified for 2016 The audit was conducted on 28.02.2016 There is no evidence that the Top Management has been audited during the last audit as the plan / checklist does not cover this function There were 3 NCR’s raised. All the NCR’s have been effectively closed. Corrective actions are followed and found implemented. Internal auditors are approved by management and competent.


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There is no evidence that the Top Management has been audited during the last audit as the plan / checklist does not cover this function

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9.3 Management review


9.3.1 General Top management shall review the organization’s QHSE Management System, at planned intervals, to ensure its continuing suitability, adequacy, effectiveness and alignment with the strategic direction of the organization.

IMS Manual – Issue 1, Rev. 00, Dated: 15-10-2015 Mr. Arjun Putthilath Viswanathan eh

Top management has reviewed the organization’s QHSE Management System, at planned intervals, to ensure its continuing suitability, adequacy, effectiveness and alignment with the strategic direction of the organization.

9.3.2 Management review inputs The management review shall be planned and carried out taking into consideration: a) the status of actions from previous management reviews; b) changes in external and internal issues that are relevant to the QHSE Management System; c) information on the performance and effectiveness of the QHSE Management System, including trends in: 1) customer satisfaction and feedback from relevant interested parties; 2) the extent to which quality objectives have been met; 3) process performance and conformity of products and services; 4) nonconformities and corrective actions; 5) monitoring and measurement results; 6) audit results; 7) the performance of external providers; d) the adequacy of resources; e) the effectiveness of actions taken to address risks and opportunities (see 6.1); f) Opportunities for improvement.


The management review has been planned and carried out taking into consideration the following : a) the status of actions from previous management reviews; b) changes in external and internal issues that are relevant to the QHSE Management System; c) information on the performance and effectiveness of the QHSE Management System, including trends in: 1) customer satisfaction and feedback from relevant interested parties; 2) the extent to which quality objectives have been met; 3) process performance and conformity of products and services; 4) nonconformities and corrective actions; 5) monitoring and measurement results; 6) audit results; d) the adequacy of resources; e) opportunities for improvement Management review cover all inputs as per ISO 9001, ISO 14001 and OHSAS 18001 requirements carried out on 29-02-16 Total 4 Persons – All department heads including the CEO attended the meeting.

QHSE policy and objectives

Evaluation of Legal compliance

Process performance

Status of incident investigation

Risk Register

Emergency management

9.3.3 Management review outputs The outputs of the management review shall



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include decisions and actions related to: a) opportunities for improvement; b) any need for changes to the QHSE Management System; c) Resource needs. The organization shall retain documented information as evidence of the results of management reviews.

Output of the management review includes improvement activities, service related improvements, resource allocation and any needed changes to the QHSE Management System. Documented information as evidence of the results of management review has been checked and reviewed. Management review cover all inputs as per ISO 9001, ISO 14001 and OHSAS 18001 requirements. The action plans are made as an output. Following outputs have been planned To Close the NCR’s 15th march 2016.


2

10 Improvement 10.1 General


The organization shall determine and select opportunities for improvement and implement any necessary actions to meet customer requirements and enhance customer satisfaction. These shall include: a) improving products and services to meet requirements as well as to address future needs and expectations; b) correcting, preventing or reducing undesired effects; c) Improving the performance and effectiveness of the QHSE Management System. NOTE Examples of improvement can include correction, corrective action, continual improvement, breakthrough change, innovation and re-organization.


UNITED ENGINEERING has determined and selected opportunities for improvement and implement any necessary actions to meet customer requirements and enhance customer satisfaction that includes: a) improving products and services to meet requirements as well as to address future needs and expectations; b) correcting, preventing or reducing undesired effects; c) Improving the performance and effectiveness of the QHSE Management System.


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10.2 Nonconformity and corrective action


10.2.1 When a nonconformity occurs, including any arising from complaints, the organization



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shall: a) react to the nonconformity and, as applicable: 1) take action to control and correct it; 2) deal with the consequences; b) evaluate the need for action to eliminate the cause(s) of the nonconformity, in order that it does not recur or occur elsewhere, by: 1) reviewing and analysing the nonconformity; 2) determining the causes of the nonconformity; 3) determining if similar nonconformities exist, or could potentially occur; c) implement any action needed; d) review the effectiveness of any corrective action taken; e) update risks and opportunities determined during planning, if necessary; f) make changes to the QHSE Management System, if necessary. Corrective actions shall be appropriate to the effects of the nonconformities encountered.

UNITED ENGINEERING has established and implemented a procedure that details the necessary actions to be done when a nonconformity occurs including customer complaints. Several corrective actions was taken and checked as evidence. Corrective action reports were analyze and evaluated in order to gauge the effectiveness of the actions taken. Some of the corrective action reports reviewed are as follows:

Corrective actions related to internal audit results in 1st quarter 2016

Corrective actions related to customer complaints for 4th Quarter of 2015

10.2.2 The organization shall retain documented information as evidence of: a) the nature of the nonconformities and any subsequent actions taken; b) the results of any corrective action.


The retained documented information related to corrective action taken was checked as follows:

- NCR register


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10.3 Continual improvement


The organization shall continually improve the suitability, adequacy and effectiveness of the QHSE Management System. The organization shall consider the results of analysis and evaluation, and the outputs from management review, to determine if there are needs or opportunities that shall be addressed as part of continual improvement.


UNITED ENGINEERING check continual improvements of the QHSE management system through the use of the policy, objectives, Programs and audit results, analysis of data, corrective actions, customer feedback and management review.


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A. Additional requirements


Use of the TÜV INTERCERT mark and certificate Mr Mahmoud Hammodeh

Correction of measures from the previous audit NA

Complaints concerning IMS NA


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Other


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Stage 2

Report No:

United Quality Management System Audit Nonconformity Report page 1 of 5

Major nonconformities

1 Standard:

Process:

Site

Date:

Accepted by TÜV INTERCERT

Y N

Date:

Name:

Notes:

Resolution

C O

Description of the nonconformity Action(s), Time and Cause analysis CA - Time Evidence of resolution /

effectiveness If O, clarify

2 Standard:

Process:

Site

Date:


Y N

Date:

Name:

Notes:

Resolution

C O



3 Standard:

Process:

Site

Date:


Y N

Date:

Name:

Notes:

Resolution

C O



4 Standard:

Process:

Site

Date:


Y N

Date:

Name:

Notes:

Resolution

C O



Stage 2

Report No:


Minor nonconformities

1 Standard:

4.2.3

Process:

Outsource process

Site

UNITED ENGINEERING

Date:

7th March 2016


Y N

Date:

Name:

Notes:

Resolution

C O



Outsourced process NDT has not been identified as special process in the manual

2 Standard:

6.1.1

Process:

Risk Assessment

Site

UNITED ENGINEERING

Date:

7th March 2016


Y N

Date:

Name:

Notes:

Resolution

C O



Selection and evaluation of vendors is not identified in the process risk

3

Standard:

5.1

Process:

Roles and Responsibility

Site

Management review

Date:

7th March 2016


Y N

Date:

Name:

Notes:

Resolution

C O



The JD for the Managing Director does not define the accountability with respect to HSE incidents

4

Standard:

9.2.2

Process:

Internal audit

Site

UNITED ENGINEERING

Date:

7th March 2016


Y N

Date:

Name:

Notes:

Resolution

C O



There is no evidence that the following function were audited at the last internal audit. Top Management

Stage 2

Report No:


5

Standard:

OHSAS 4.4.6

Process:

Operational Control

Site

UNITED ENGINEERING

Date:

7th March 2016

Accepted by TÜV

INTERCERT Y N

Date:

Name:

Notes:

Resolution

C O



Operation control with respect to office waste such as e-waste / Server room not effective.

Stage 2

Report No:


Opportunities for improvement

1

Standard and process: ISO 9001:2015 – 9.3

Site:

UNITED ENGINEERING

Date:

07/03/2016 Analyzed: Y N Implemented: Y N

Description The output of the MRM may be clearly defined in the Minutes with target date responsibilities.

2 Standard and process: ISO 4001 – 4.4.6

Site:

UNITED ENGINEERING

Date:


Description HSE related terms and conditions may communicated to the suppliers. P.O does not state any HSE related terms UE-PO-16-149-NEWAY

3 Standard and process: OHSAS 4.4.7 Site:

UNITED ENGINEERING

Date:


Description Medical emergencies may be considered in the Mock drill plan

4 Standard and process: OHSAS 4.5.1 Site:

UNITED ENGINEERING

Date:


Description Monitoring of Health may be considered under objectives / Programs may be made available

NOTES:

The audit team may identify opportunities for improvement but doesn´t recommend specific solutions.

TÜV INTERCERT requires the client to analyse the cause and describe the specific correction and corrective actions taken, or planned to be taken, to eliminate detected nonconformities, within a defined time.

A member of the audit team, reviews the corrections, identified causes and corrective actions submitted by the client to determine if these are acceptable. A member of the audit team verifies the effectiveness of any correction and corrective actions taken; this can be carried out based on a review of documented information provided by the client, or where necessary, through verification on-site. The evidence obtained to support the resolution of nonconformities are recorded on nonconformity report. The client is informed of the result of the review and verification through audit report. The client is informed if an additional full audit, an additional limited audit, or documented evidence (to be confirmed during future audits) will be needed to verify effective correction and corrective actions.

For all nonconformities, client’s plan for correction and corrective action has to be sent to TÜV INTERCERT within 15 working days from the audit.

For first certification: if TÜV INTERCERT is not able to verify the implementation of corrections and corrective actions of any major nonconformity within 6 months after the last day of stage 2, TÜV INTERCERT conducts another stage 2 prior to recommending certification.

Stage 2

Report No:


For surveillances: if TÜV INTERCERT is not able to verify the implementation of corrections and corrective actions of any major nonconformity within 6 months after the last day of surveillance audit, TÜV INTERCERT withdraws the certificate. The certificate validity is suspended until the verification of corrections and corrective actions of any major nonconformity.

For recertification: if TÜV INTERCERT is not able to verify the implementation of corrections and corrective actions of any major nonconformity within 6 months after the last day of recertification audit, TÜV INTERCERT conducts another stage 2 prior to recommending certification.

Marius Pereira

Signature of Lead Auditor Signature and stamp of Client


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United Quality Management System Audit Triennial Program page 1 of 2

Checklist of Standard elements

It is hereby introduced a short evaluation of the conformity of a single element of the QHSE Management System according to the symbology of evaluation following on the bottom of the page.

Standard requirement

Certification/ Renewal

Date:26/03/2016

Date:

2a Surveillance

Date:

Evaluation Evaluation Evaluation

Conte

xt of th

e o

rganiz

atio

n

Understanding the organization and its context

4.1 O 1 O O

Understanding the needs and expectations of interested parties

4.2 O 2 O O

Determining the scope of the QHSE Management System

4.3 O 1 O O

QHSE Management System and its processes

4.4 O 1 O O

Leaders

hip

Leadership and commitment 5.1 O 1 O O

Policy 5.2 O 1 O O

Organizational roles, responsibilities and authorities

5.3 O 2 O O

Pla

nnin

g

Actions to address risks and opportunities 6.1 O 2 O O

Quality objectives and planning to achieve them

6.2 O 1 O O

Planning of changes 6.3 O 1 O O

Support

Resources 7.1 O 1 O O

Competence 7.2 O 1 O O

Awareness 7.3 O 1 O O

Communication 7.4 O 1 O O

Documented information 7.5 O 1 O O

Opera

tio

n

Operational planning and control 8.1 O 1 O O

Requirements for products and services 8.2 O 1 O O

Design and development of products and services.

8.3 O E O O

Control of externally provided processes, products and services

8.4 O 1 O O

Production and service provision 8.5 O 1 O O

Release of products and services 8.6 O 1 O O

Control of nonconforming outputs 8.7 O 1 O O

Perf

orm

ance

evalu

atio

n

Monitoring, measurement, analysis and evaluation

Operation Control

9.1 O 2 O O

Internal audit 9.2 O 2 O O

Management review 9.3 O 1 O O


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United Quality Management System Audit Triennial Program page 2 of 2

Imp

rovem

ent

General 10.1 O 1 O O

Nonconformity and corrective action 10.2 O 1 O O

Continual improvement 10.3 O 1 O O

Complaints affecting the IMS: O O O

Corrective actions from previous audit O O O

Use of certificate and mark O O O


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United Quality Management System Audit Audit Evaluation page 1 of 3

Evaluation of the audit

Introduction

TÜV INTERCERT has been appointed by United Engineering to carry out an audit.

The aim was to verify whether the requirements for a QHSE Management System (IMS) stated in the relevant IMS Standard are met and whether the TÜV INTERCERT certificate can be issued or, respectively, whether the validity of the TÜV INTERCERT certificate continues to be valid. The audit programme include a two-stage initial audit, surveillance audits in the first and second years, and a recertification audit in the third year prior to expiration of certification. The three-year certification cycle begins with the certification or recertification decision. The determination of the audit programme and any subsequent adjustments consider the size of the client organization, the scope and complexity of its management system, products and processes as well as demonstrated level of management system effectiveness and the results of any previous audits. Where a certification body is taking account of certification or other audits already granted to the client, it shall collect sufficient, verifiable information to justify and record any adjustments to the audit programme.

This audit is based on documented requirements of TÜV INTERCERT certification body, drawn up in accordance with the relevant guidance provided in ISO/IEC 17021-1 and ISO 19011.

During the audit the application of the IMS was demonstrated and confirmed with relating records for some parts of the company. It was checked whether the working processes proved conformity with the IMS Standard as well as the descriptions laid down in the Quality manual and respectively in the relevant working and inspection instructions. This happened in a sampling way by questioning and by inspecting the corresponding documents.

Group certification

NA

Participants of the organization:

Surname/ Name Role Starting Meeting Final Meeting

Mr. Arjun Putthilath Viswanathan

QHSE MR √ √

Ms. Nahla HR and Admin √ √

Executive Summary

The QHSE Management System has been reviewed last 2/29/2016. The documentation includes the policy, objectives, system manual, documented information, actions to address risks and opportunities, Hazards, Aspect and Impact, Operational controls and related forms and records. Scope of the organization is “Fabrication & Erection of Steel Structures & Pipes, Scaffolding Works, Blasting & Painting, Trading & Agency Services” Following functions have been assessed during the certification audit MR Functions, HR/Training, administration, legal affairs, customer service & support department, risk management & assessment, HSE, organization and its context and leadership. Overall compliance of the standard was found to be satisfactory. The management was found aware about the effective implementation and maintenance of the IMS. The Staff of the organization has shown effective collaboration and they have suitable knowledge of the IMS which enables them to implement the system efficiently. All processes sequence & interaction of processes were defined in the QHSE Management System. During the IMS certification audit of UNITED ENGINEERING 5 minor nonconformities have been observed. Therefore, we recommend issuance of the certificate from the TUV InterCert and designate the next audit date with the customer which will be in March 2017


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We Thank UNITED ENGINEERING for their hospitality, cooperation and openness.

Management commitment, objectives and targets

Management review meeting are conducted yearly. Minutes of the last meeting dated 2/29/2016 were reviewed. There is one shift and adequate supervisory support is provided across the shift through. Internal audits are conducted once a year at least. Last internal audit was conducted dated 02/28/2016 Objectives are set on an annual basis and reviewed for follow-up. The Management Review, which has been conducted on 2/29/2016 includes evaluation of: - the status of actions from previous management reviews; - changes in external and internal issues that are relevant to the QHSE Management System; - information on the performance and effectiveness of the QHSE Management System, including trends in: - customer satisfaction and feedback from relevant interested parties; - the extent to which quality objectives have been met; - process performance and conformity of products and services; - nonconformities and corrective actions; - monitoring and measurement results; - audit results; - the performance of external providers; - the adequacy of resources; - opportunities for improvement - Minutes of the meeting were available and were comprehensive.

Actions taken on previous audit issues

This is the first certification from TUV InterCert.

Internal audit, management review, and continual improvement processes

Audits are carried out enabling the whole system to be covered in a year. An audit plan is in place. Internal audits are planned appropriately. CA are followed up via using of “CA Follow up Form. Corrective actions are documented on the CA Request Form which includes reference to the person responsible for the corrective action and the target date for completion. Outstanding corrective actions are reviewed at management meetings to ensure they are closed in timely manner as possible.

Impact of significant changes (if any)

This is the first certification from TUV InterCert..

System requirements and interrelationships, functions, processes, areas audited

UNITED ENGINEERING has planned its processes and developed relevant work procedure that covers the entire process from receiving customer inquiry up to delivery of the products and services. The company defines the methods to be used to ensure that the quality of the products and services is maintained. In purchasing process, all of purchasing information is defined as per need items that organization defined in service realization. Training needs analysis were found carried out by the departmental heads and subsequently the training plan for the year 2016 has been created. Planned trainings were conducted. Quality policy is used as to provide the framework for the development of QHSE Objectives at relevant levels and functions with the inputs from the departmental heads and the Top Management. Follow up on the status of the objectives is carried out regularly and final review is done during the management review meeting. All documented information determined by the company have been developed and effectively implemented. All documented information were found to be controlled and as per set procedures for the control of documented information. Documents are prepared by the MR who also review and then approved by the GM prior to issue. It’s the responsibility of the MR to ensure that the updated relevant documents are


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provided to the relevant departments while the responsibility of implementing and maintaining the protocols defined in departmental procedure lies with the departmental heads. The software records are backed up monthly by external server. QHSE MR is responsible to monitor performance of the IMS. In case of non-conformance raised at any stage, NC report is raised and directed to the relevant department for the root cause analysis, correction and development of the corrective actions. Data Analysis is carried out annually for the following functions. - Number of corrective actions - Internal audit results- number of NCs, improvements - Conformity to service requirements - Process and service characteristics - Suppliers evaluation. -Customer Feedback -Customer Satisfaction

The results of the data analysis are reviewed in the management review meeting to gauge the current effectiveness level of the operation and IMS and develop further action plans for improvement.

Site inspection

Premises were observed to be in good condition.

Compliance evaluation of legal, statutory, regulatory and other requirements; and communication

Organization has identified all of the legal and other requirements related to their services and products, organization has a continual communication with them, in case of any change, and organization is able to

find this change

Continuing effectiveness of the management system

This is the first certification from TUV Intercert.

Use of marks and/ or any other reference to certification


Issues requiring further attention


Information and result of the current audit - Lead Auditor’s opinion and notes for the Certification office

On the basis of the audit results the auditor recommends the issuance of the TUV INTERCERT certificate.

As per agreement with the client, the next audit will be performed on March 2017.


Report No:

United Quality Management System Audit Org. Reserves page 1 of 2

Auditor recommendation to Certification Office

Auditor recommends Issue of certificate Continuity of certificate

Repeat-audit Revocation of certificate Other

The persons involved in the audit and the certification process state with their binding signature that, over the last 2 years, they have not provided any consulting services whatsoever concerning the management system for the company under review, and that they will not provide any such services within the next 2 years.

Dubai, 15th March 2016 Marius Pereira

Place, Date Lead auditor Auditor (UM)

Auditor/Expert Auditor/Expert

Veto Person approval

The persons involved in the certification process state with their binding signature that, over the last 2 years, they have not provided any consulting services whatsoever concerning the management system for the company under review, and that they will not provide any such services within the next 2 years. They also confirm to have not taken part in the current audit.

Release Veto-person (if applicable) Rejection

Date,

Date, signature of Veto Person

Release Veto-person (if applicable) Rejection

Date,

Date, signature of Veto Person

Deliberation by Certification Office

The persons involved in the certification process state with their binding signature that, over the last 2 years, they have not provided any consulting services whatsoever concerning the management system for the company under review, and that they will not provide any such services within the next 2 years. They also confirm to have not taken part in the current audit.

Auditor(s) recommendation accepted Other decision

Date,

Date, signature of CB

NOTE: In case of other decision the type must be specified and the reference to the communication to the client reported

Certificate

Certificate Number Valid Until


Report No:

United Quality Management System Audit Org. Reserves page 2 of 2

Organization reserves and General remarks

Has the organization reserve regard this audit? YES NO

Description of the reserve:

The auditing is based on a sampling process of the available information and consequently there will always be an element of uncertainty in the audit evidences, which may be reflected in the audit findings. Those relying or acting upon the audit result and conclusion should be aware of this uncertainty.

The statements of the audit team, however, do not release the organization from its responsibility to ensure continuously meeting the requirements and observing the Quality standard.

The recommendation from the audit team to TÜV INTERCERT will be subject to an independent review, before any final decision is made concerning the awarding or maintenance of certification.

The issuing/maintenance of the certification, if there were non conformities is linked to the corrective actions sent to TÜV INTERCERT. These corrective actions will be checked by TÜV INTERCERT.

TÜV INTERCERT could modify the terms regarding the certification scope in order to grant its conformity to accreditation registers disposals.

As part of the certification process is kindly request that the client sends this page signed to TÜV INTERCERT within five working days or gives it to the Lead Auditor at the end of the audit, even in case of no reserves.

The client, by signing this report, obliges itself to inform TÜV INTERCERT about every aspect which could impact on the ability of the management system to continue to satisfy standard requirements in the certificate’s validity period (i.e. sites change, legal aspects, organization aspects, important changes of the management systems or connected with processes, web sites, and so on).

Place, Date and sign of responsible of Organization

Data for issuing the certificate

Report No:

United Quality Management System Audit Data for Issuing the Certificate page 1 of 1

Company name: United Engineering General Trading and Contracting Co. WLL

East Ahmadi, Sector 8, Plot no. 43, Street No. 341,

Address: P.O. Box 47914

Code, City, Nation: Kuwait

Language Certificate Scope

English *:


National Language:

Other:

*for the registration of the certificate it’s necessary put the scope in English language.

We inform to require our company logo on the certificate, according to the economic condition of the TÜV INTERCERT offer No…………..

We inform to require the TÜV INTERCERT mark, according to TÜV INTERCERT contractual condition and according to the economic condition of the TÜV INTERCERT offer No…………... We oblige ourselves to use the specified mark only as authorised in writing by TÜV INTERCERT.

Place, Date Dubai, 15th March 2016 Signature of Lead Auditor Signature and stamp of Client