1

bxwZgvjv ïiæi ZvwiL t 02/05/2019 Bs

bw_ wbqš¿Y ms‡kva‡bi ZvwiL t

bxwZgvjv cieZx© ms‡kva‡bi ZvwiLt 02/05/2022

ms‡kva‡bi bv¤^vi t 00
(Document Control Policy)
1.0 f~wgKv (General Information) t WKz‡g›U K‡›Uªvj †h †Kvb e¨emv cÖwZôv‡bi Rb¨ gyL¨ welq
Ges `ÿZv, Kg©ÿgZv, wek¦vm‡hvM¨Zv, Traceability, ¸bgvb Ges wbivcËv wbwðZKi‡Yi GKwU
¸iæZ¡c~Y© Dcv`vb| óviwjs †Wwbgm& wjt WKz‡g›U K‡›Uªv‡ji cÖwZ me©`v m‡PZb Ges †Kv¤úvbxi
hveZxq Z_¨mg~n wbw`©ó c×wZ‡Z wbqš¿Y K‡i _v‡Kb|
1.1 Aw½Kvi (Commitment) t WKz‡g›U cÖ¯‘Z, ch©v‡jvPbv, Aby‡gv`b, †gvPb Kiv, weZiY,
cÖ‡ekvwaKvi, msiÿY c×wZ, wbivcËv, cyb:ms¯‹i, cwieZ©b Ges AcmiY BZ¨vw` wbw`©ó c×wZ‡Z
wbqš¿Y Ki‡Z óviwjs †Wwbgm& wjt Gi e¨e¯’vcbv KZ…©cÿ `„pfv‡e Aw½Kvie×|
 2

1.2 ‡idv‡iÝ (Reference) t evqv‡ii bxwZMZ AvPiY wewa Abyhvqx|

1.3 D‡Ïk¨ (Purpose) t KviLvbvi wfZ‡i Kg©KZ©v Kg©Pvix‡`i e¨env‡ii Rb¨ WKz‡g›U mg~n mnRjf¨
Kiv Ges me©‡kl e¨enviKvixi Kv‡Q mwVK Z_¨ cÖ`v‡bi wbðqZv cÖ`vb Kiv|
1.4 jÿ¨ (Target) t WKz‡g›U cÖ¯‘yZ, ch©v‡jvPbv, Aby‡gv`b, †gvPb Kiv, weZiY, cÖ‡ekvwaKvi,
msiÿY c×wZ, wbivcËv, cyb:ms¯‹i, cwieZ©b Ges AcmiY BZ¨vw` wbw`©ó c×wZ‡Z wbqš¿Y Kiv
†hb KiLvbvi wfZ‡i Authentic Document Gi e¨envi wbwðZ nq Ges Z_¨mg~n eZ©gvb mgq
Dc‡hvMx Kiv, cixÿv Kiv I AvbyôvwbKfv‡e Aby‡gv`‡bi †ÿ‡Î e¨enviKvix‡`i Dci Av¯’v ¯’vcb Kiv|
1.5. Document Control Policy (bw_ wbqš¿Y c×wZ)
1.5.1 WKz‡g‡›Um Gi cÖKvi (Types of Document):
1.5.1 (K) Af¨všÍxY WKz‡g‡›Um (Internal Documents): †hgb:- cwjwm, †Uªwbs g¨vbyqvj,
cÖwmwWDi, Re †Wmwµckb, IqvK© BÝUªvKkb, Inspection Standard. Organogram
BZ¨vw`|
1.5.1 (L) ewn:¯’ WKz‡g‡›Um (External Documents): †hgb:- cÖwZôv‡bi mv‡_ mswkøó
AvBb welqK eB, KvmUgvi WªBs, KvmUgvi †¯úwmwd‡Kkb wiKqvi‡g›Um BZ¨vw`|
1.5.1 (M) ‡iKW© (Record): †hgb:- wewfbœ ai‡bi mvwU©wd‡KU, †Uªwbs I wgwUs †iKW©,
B݇cKkb †iKW©, cÖWvKkb †iKW© BZ¨vw`|

1.5.2.WKz‡g›Um Gi KvVv‡gv (Structure of Documents) t

 WKz‡g›Um Gi bvg
 ‡idv‡iÝ bs/ †KvW© bs (cÖ‡qvRb mv‡c‡ÿ¨)
 cÖbq‡Yi ZvwiL/ ms‡kva‡bi ZvwiL
 f~wgKv (cÖ‡qvRb mv‡c‡ÿ¨)
 Aw½Kvi (cÖ‡qvRb mv‡c‡ÿ¨)
 Z‡_¨i ‡idv‡iÝ (cÖ‡qvRb mv‡c‡ÿ¨)
 D‡Ïk¨ (cÖ‡qvRb mv‡c‡ÿ¨)
 jÿ¨ (cÖ‡qvRb mv‡c‡ÿ¨)
 eY©bv
 msMVb , ev¯Íevq‡b wb‡qvwRZ Kg©KZv©M‡bi mvsMVwbK wPÎ , `vwqZ¡ I KZ©e¨
Ges Kg©`ÿZv wba©viY (cÖ‡qvRb mv‡c‡ÿ¨)
 iæwUb I c×wZ (ev¯Íevqb iæwUb, ‡hvMv‡hv‡Mi iæwUb, cÖwZwµqv I wbqš¿Y
iæwUb) (cÖ‡qvRb mv‡c‡ÿ¨)
 WKz‡g›U K‡›Uªvj (cÖ‡qvRb mv‡c‡ÿ¨)
 Internal Audit Findings and Correction Action Plan(CAP) (cÖ‡qvRb
mv‡c‡ÿ¨)
 Approval Sign

1.5.3. WKz‡g›U cÖKv‡ki Av‡M Zv Aby‡gv`b Kiv t

 WKz‡g›U ˆZix Kivi ci Zv ch©v‡jvPbv Kivi Rb¨ `vwqZ¡ cÖvß e¨w³i wbKU cvVvb Ges
†Kvb ai‡bi gšÍe¨ ev ms‡kvab bv _vK‡j Zv Aby‡gv`‡bi Rb¨ cÖ‡qvRbxq c`‡ÿc †bqv|
 WKz‡g›U Gi ¸iæZ¡ I aib Abyhvqx Aby‡gv`bKvixi msL¨v wba©viY Kiv Ges memgq
WKz‡g›U Gi me©‡kl c„ôvq Aby‡gv`bKvix/ Aby‡gv`bKvix‡`i mvBb wbwðZ Kiv| D‡jøL¨
 3

†h, †ÿÎ we‡l‡k AbygwZ mv‡c‡ÿ¨ Aby‡gv`bKvix‡`i wWwRUvj mvBb e¨envi Kiv †h‡Z
cv‡i|
1.5.4. cÖ‡qvRb mv‡c‡ÿ¨ WKz‡g›U ch©v‡jvPbv Kiv, mgq Dc‡hvMx Kiv Ges Zv cybivq
Aby‡gv`b Kiv:
 cÖ‡qvRb Qvov mvavibZ WKz‡g›U mg~n `vwqZ¡cÖvß e¨w³ KZ…©K eQ‡i GKevi
ch©v‡jvPbv Kiv nq A_ev DwjøwLZ mg‡qi g‡a¨ cÖwZôv‡b ‡h †Kvb ai‡bi cwieZ©b /kÖg
AvBb I evqv‡ii AvPiY wewa‡Z cwieZ©b (ms‡hvRb / we‡qvRb) Avm‡j WKz‡g›U
ch©v‡jvPbv Kiv nq |
 WKz‡g›U ch©v‡jvPbv Kvivi A_© GB bq †h Zv ms‡kvwaZ n‡Z n‡e| ch©v‡jvPbvi D‡Ïk¨
n‡”Q GLb ch©šÍ Zv mgq Dc‡hvMx Av‡Q wK bv Zv wba©viY Kiv Ges hw` †Kvb ai‡bi
cwieZ©‡bi cÖ‡qvRb bv _v‡K †m‡ÿ‡Î ïaygvÎ ms¯‹iY bv¤^vi I ZvwiL cwieZ©b Kiv n‡e Ges
GwUB eZ©gvb ms¯‹iY wn‡m‡e we‡ewPZ n‡e| Avi hw` cwieZ©b Av‡m †m‡ÿ‡Î Zv
`vwqZ¡cÖvß e¨w³ KZ©„K mgq Dc‡hvMx Kiv Ges ms‡kvwaZ WKz‡g›U cÖKv‡ki Av‡M
1.5.3 Abyhvqx Zv cybivq Aby‡gv`b Kiv| GQvovI Abby‡gvw`Z m¤úv`bv Gov‡bvi Rb¨
WKz‡g›U wbqš¿YKvix , ch©v‡jvPbvKvix I Aby‡gv`bKvix e¨ZxZ cÖ‡qvRb Abyhvqx
WKz‡g›U mg~n Hard / PDF Copy AvKv‡i Ab¨vb¨ wefv‡M Share Kiv nq|

1.5.5.WKz‡g›Um Gi cwieZ©b mg~n Ges eZ©gvb ms¯‹i‡Yi Ae¯’v wPwýZ Kiv t cwieZ©b A_ev
ms¯‹i‡Yi ci WKz‡g›U mg~n †hb evwZj WKz‡g›U Gi mv‡_ wg‡k bv hvq Zv wbwðZ Kivi Rb¨
mvaviYZ ms¯‹iY bv¤^vi I ZvwiL WKz‡g›U Gi cÖ_g c„ôvq D‡jøL Kiv nq| cÖwZwU ms¯‹iY
bv¤^vi I ZvwiL WKz‡g›U Gi c~‡e©i ms¯‹i †_‡K bZzb †Kvb wKQzi ms‡hvRb, ms‡kvabx Ges
AcmvwiZ Ae¯’v cÖKvk K‡i| GQvovI cwiewZ©Z/ ms‡kvwaZ AskUzKz mn‡R Ly‡R †ei Kivi Rb¨
Color e¨envi Kiv nq / Bold K‡i ivLv nq|

1.5.6. cÖ‡hvR¨ WKz‡g›U Gi cÖvmw½K ms¯‹iY mg~n e¨env‡ii w`K †_‡K mnRjf¨ Kivt
 cÖwZwU WKz‡g›U Gi gv÷vi Kwc (Hard/ Soft Copy) `vwqZ¡cÖvß e¨w³ KZ©„K
msiÿY Kiv nq Ges WKz‡g›Um Gi ÿwZ I nvwi‡q hvIqv Gov‡bvi Rb¨ Back up e¨e¯’v
i‡q‡Q|
 WKz‡g›U mg~n Ggbfv‡e msiÿY Ki‡Z n‡e †hb Zv cvwb‡Z wf‡R/ Av¸‡b cy‡o bó n‡q bv
qvq Ges cÖ‡qvR‡b Lye mn‡R Ly‡R cvIqv qvq|
 WKz‡g›U Gi aib Abyhvqx †h mg¯Í e¨w³‡`i Zv e¨env‡ii Rb¨ Access †`qv Av‡Q Zviv †hb
cwiewZ©Z/ ms‡kvwaZ WKz‡g›U m¤ú‡K© h_vh_fv‡e AewnZ nq Ges `vwqZ¡cÖvß e¨w³
KZ©„K cÖ‡qvRb Abyhvqx WKz‡g›U mg~n Hard / PDF Copyy AvKv‡i Ab¨vb¨
wefv‡M Share Kiv mn me©‡kl e¨enviKvixi Kv‡Q mwVK Z_¨ cÖ`v‡bi wbðqZv cÖ`vb Kiv
nq|

1.5.7. WKz‡g›Um n‡e ¯úó Ges mn‡R mbv³KiY‡hvM¨t WKz‡g›U mn‡R wPwýZ Kivi Rb¨
WKz‡g›U Gi aib Abyhvqx wewfbœ ai‡bi †idv‡iÝ wm‡÷g e¨envi Kiv nq| ‡hgb: Ref. No/ Code
No S(S)P-01(02).
Here, S =Social
(S)= Sustainability
 4

P-01= Policy no-01

(01)= Version-01
(02)= Version-02

1.5.8. Sustainability Gi Rb¨ cÖ‡qvRbxq ewnivMZ WKz‡g›U mg~n wPwýZKiY Ges e›Ub
e¨e¯’v wbqš¿Y Kivt `vwqZ¡cÖvß e¨w³ KZ©„K cÖwZôv‡bi wbR¯^ Health & Safety Guide
line, Local Law & Buyer/ Client’s Requirement mg~n Comply K‡i
Sustainability Gi Rb¨ cÖ‡qvRbxq ewnivMZ WKz‡g›U mg~n wPwýZKiY Ges cÖ‡qvRb
Abyhvqx Zv Hard / PDF Copy AvKv‡i Ab¨vb¨ wefv‡M Share Kiv A_ev cÖwkÿ‡Yi gva¨‡g
cÖwZôv‡b Kg©iZ mKj Employee Gi mv‡_ Share Kiv| GQvovI Client/ Buyer & Labor
Law-2006 (Amendment-2013 & 2018) & Labor Ruls-2015 Gi Requirement
Abyhvqx cÖwZôv‡bi wewfbœ RvqMvq Zv Posted Kiv| †hgb- Minimum Requirement of
Buyer/ Client, Labor Law-2006 (Amendment-2013 & 2018), Labor Ruls-
2015 & Minimum Salary Gazette-2019 Abyhvqx wewfbœ ai‡bi Health & Safety
Related Instruction , Quality Policy, Load Plan, Production Flow Chart,
Grievance Flow Chart, Wages Calculation etc.

1.5.9. eZ©gvb WKz‡g›U a‡i ivLv Ges cyivZb/ evwZj WKz‡g›U Gi Awb”QvK…Z e¨envi
cÖwZ‡iv‡a Kibxqt
 `vwqZ¡cÖvß e¨w³ KZ©„K cÖ‡qvRb Abyhvqx eZ©gvb WKz‡g›U mg~n Hard / PDF
Copy AvKv‡i Ab¨vb¨ wefv‡M Share Kiv mn me©‡kl e¨enviKvixi Kv‡Q mwVK Z_¨
cÖ`v‡bi wbðqZv cÖ`vb Kiv
 cyivZb/ evwZj WKz‡g›U Gi Awb”QvK…Z e¨envi cÖwZ‡iv‡a c~‡e©i WKz‡g›Umg~n
‡diZ †bqv|
 fwel¨Z †idv‡iÝ/ Client/ Buyer Gi Requirement Abyhvqx c~e©eZx GK eQ‡ii
cyivZb WKz‡g›Umg~n h_vh_fv‡e msiÿY Kiv Ges Aby‡gv`b mv‡c‡ÿ¨ evwZj WKz‡g›U
aesm Kiv|
 cyivZb I evwZj WKz‡g›U Gi †iKW© msiÿY Kiv|

2.0. msMVb (Organization) t KviLvbvi wfZ‡i Kg©KZ©v Kg©Pvix‡`i e¨env‡ii Rb¨ WKz‡g›U
mg~n mnRjf¨ Kiv Ges me©‡kl e¨enviKvixi Kv‡Q mwVK Z_¨ cÖ`v‡bi wbðqZv cÖ`vb Kivi j‡ÿ¨
óviwjs †Wwbgm& wjt Gi e¨e¯’vcbv KZ…©c‡ÿi wb‡`©‡k cÖkvmb, gvbe m¤ú`, Kgcøv‡qÝ wefvM
I mswkó wefvMxq cÖavb D³ cwjwm Kvh©Ki I ev¯Íevq‡bi `vwq‡Z¡ wb‡qvwRZ _vK‡eb| cwjwm
Kvh©Ki Kivi Rb¨ wb‡qvwRZ Kg©KZv© I Kgx©M‡bi `vwqZ¡, KZ©e¨ I mxgve×Zv t

2.1. wb‡qvwRZ Kg©KZv©M‡bi mvsMVwbK wPÎ t (Organogram Chart of Employees):

 5

e¨e¯’vcbv cwiPvjK

wbe©vnx cwiPvjK

Dc gnve¨e¯’vcK
cÖkvmb/gvbe
m¤ú`/Kgcø¨v‡qÝ

e¨e¯’vcK
Kgcø¨v‡qÝ

mnt e¨e¯’vcK
Kgcø¨v‡qÝ

wbe©vnx Kg©KZ©v Awdmvi mswkøó¨

Kgcø¨v‡qÝ I‡qj‡dqvi ‡mKkb
cÖavb

2.2 cwjwm Kvh©Ki Kivi Rb¨ wb‡qvwRZ Kg©KZv© I Kgx©M‡bi `vwqZ¡ I KZ©e¨ t

e¨e¯’vcbv cwiPvjKt-

 wbe©vnx cwiPvjK Gi wbKU †_‡K cÖvß WKz‡g›U ch©v‡jvPbv K‡i †`Lv Ges †Kv_vI
†Kvb AmvgÄm¨ bv _vK‡j Zv Aby‡gv`b Kiv|

wbe©vnx cwiPvjK t
 KviLvbvi wfZ‡i Authentic Document Gi e¨envi wbwðZ Ki‡Z D³ cwjwm
Kvh©Ki Kivi Rb¨ Kg©KZv©MY‡K wb‡`k©bv cÖ`vb Ges wbqwgZ cÖwZ‡e`bwU
msMÖn K‡i e¨e¯’vcbv cwiPvj‡K AewnZ Kiv|
 wb‡qvwRZ Kg©KZv©MY‡K Revew`wni e¨e¯’v Kiv|

Dc gnve¨e¯’vcK (cÖkvmb/gvbe m¤ú`/Kgcøv‡qÝ) t

 cwjwm ev¯Íevq‡b mn‡hvwMZv Kiv Ges KviLvbvi wfZ‡i Kg©KZ©v Kg©Pvix‡`i
e¨env‡ii Rb¨ WKz‡g›U mg~n mnRjf¨ Kiv Ges me©‡kl e¨enviKvixi Kv‡Q mwVK
Z_¨ cÖ`v‡bi wbðqZv cÖ`v‡b cÖ‡qvRbxq c`‡ÿc †bqv|
 Authentic Document Gi e¨envi wbwðZ Ki‡Z cÖ‡qvRbxq Z‡_¨i cªwZ‡e`b
wbe©vnx cwiPvj‡K AewnZ Kiv Ges Av‡jvPbv mv‡c‡ÿ `ªæZ mgvavb Kiv|

e¨e¯’vcK (Kgcøv‡qÝ)t

 WKz‡g›U GLb ch©šÍ mgq Dc‡hvMx Av‡Q wK bv Zv wba©viY Kiv Ges hw` †Kvb ai‡bi
cwieZ©‡bi cÖ‡qvRb nq †m‡ÿ‡Î wb‡`©kbv cÖ`vb Kiv Ges `vwqZ¡cÖvß e¨w³ KZ©„K
mgq Dc‡hvMx Kiv |
 †Kvb ai‡bi gšÍe¨ ev ms‡kvab bv _vK‡j Zv Aby‡gv`‡bi Rb¨ cÖ‡qvRbxq c`‡ÿc †bqv|
 6

 cÖwZôv‡bi wbR¯^ Health & Safety Guide line, Local Law & Buyer/
Client’s Requirement mg~n Comply K‡i Sustainability Gi Rb¨ cÖ‡qvRbxq
ewnivMZ WKz‡g›U mg~n wPwýZKiY

mnKvix e¨e¯’vcK (Kgcøv‡qÝ) t

 WKz‡g›U cÖ¯‘yZ, ch©v‡jvPbv, Aby‡gv`b, †gvPb Kiv, weZiY, cÖ‡ekvwaKvi,
msiÿY c×wZ, wbivcËv, cyb:ms¯‹i, cwieZ©b Ges Acmi‡Yi Rb¨ cÖ‡qvRbxq c`‡ÿc
†bqv|
 KiLvbvi wfZ‡i Authentic Document Gi e¨envi wbwðZ Kiv|
 KviLvbvi wfZ‡i Kg©KZ©v Kg©Pvix‡`i e¨env‡ii Rb¨ WKz‡g›U mg~n mnRjf¨ Kiv
Ges me©‡kl e¨enviKvixi Kv‡Q mwVK Z_¨ cÖ`v‡bi Rb¨ cÖ‡qvRbxq c`‡ÿc †bqv |
 cyivZb/ evwZj WKz‡g›U Gi Awb”QvK…Z e¨envi cÖwZ‡iv‡a cÖ‡qvRbxq c`‡ÿc
†bqv
 WKz‡g›U Gi aib Abyhvqx †h mg¯Í e¨w³‡`i Zv e¨env‡ii Rb¨ Access †`qv Av‡Q
Zviv †hb cwiewZ©Z/ ms‡kvwaZ WKz‡g›U m¤ú‡K© h_vh_fv‡e AewnZ nq Zv
wbðZ Kiv |

Awdmvi (cÖkvmb/gvbe m¤ú`/ Kgcøv‡qÝ) t

 wb‡`©kbv †gvZv‡eK WKz‡g›U cÖ¯‘yZ, †gvPb Kiv, weZiY, cÖ‡ekvwaKvi, msiÿY
c×wZ, wbivcËv, cyb:ms¯‹i, cwieZ©b Ges AcmiY Kiv|
 KiLvbvi wfZ‡i Authentic Document Gi e¨envi wbwðZ n‡”Q wKbv Zv hvPvB
Kiv Ges wi‡cvU© cÖ`vb Kiv|
 KviLvbvi wfZ‡i Kg©KZ©v Kg©Pvix‡`i e¨env‡ii Rb¨ WKz‡g›U mg~n mnRjf¨ Kiv
Ges me©‡kl e¨enviKvixi Kv‡Q mwVK Z_¨ cÖ`vb Kiv |
 cyivZb/ evwZj WKz‡g›U Gi Awb”QvK…Z e¨envi cÖwZ‡iv‡a c~‡e©i
WKz‡g›Umg~n ‡diZ †bqv|
 fwel¨Z †idv‡iÝ/ Client/ Buyer Gi Requirement Abyhvqx c~e©eZx GK
eQ‡ii cyivZb WKz‡g›Umg~n h_vh_fv‡e msiÿY Kiv
 cÖ‡qvRb Abyhvqx WKz‡g›Umg~n Hard / PDF Copy AvKv‡i Ab¨vb¨ wefv‡M
Share Kiv A_ev cÖwkÿ‡Yi gva¨‡g cÖwZôv‡b Kg©iZ mKj Employee Gi mv‡_
Share Kiv|
 cÖ‡qvRbxq ewnivMZ WKz‡g›U mg~n Client/ Buyer & Labor Law-2006
(Amendment-2013 & 2018), Labor Ruls-2015 & Minimum Salary
Gazette-2019 Gi Requirement Abyhvqx cÖwZôv‡bi wewfbœ RvqMvq Zv
Posted Kiv|
 cyivZb I evwZj WKz‡g›U Gi †iKW© msiÿY Kiv|
 cÖwZwU WKz‡g›U Gi gv÷vi Kwc (Hard/ Soft Copy) msiÿY Kiv nq Ges
WKz‡g›Um Gi ÿwZ I nvwi‡q hvIqv Gov‡bvi Rb¨ Back up e¨e¯’v wbwðZ Kiv|
 WKz‡g›U mg~n h_vh_fv‡e msiÿY Kiv †hb cÖ‡qvR‡b Lye mn‡R Ly‡R cvIqv qvq|

‡mKkb cÖavb (mswkøó wefvM )t

 wb‡`©kbv Abyhvqx cwiewZ©Z/ ms‡kvwaZ WKz‡g›U h_vh_fv‡e e¨envi Kiv Ges cyivZb
WKz‡g›Umg~n AcmviY Kiv |
 WKz‡g›U K›Uªj cwjwm ev¯Íevq‡b DשZb KZ©„c‡ÿi M„nxZ wm×všÍ ev¯Íevq‡b
mn‡hvMxZv Kiv|
 memgq eZ©gvb WKz‡g›U e¨env‡i ¯^ ¯^ wefv‡Mi Aa¯’b Kg©KZ©v‡`i wb‡`©k †`qv Ges
wbðqZv cÖ`vb Kiv|
 7

 ewnivMZ WKz‡g›U mg~n Client/ Buyer Gi Requirement Abyhvqx h_vh_fv‡e

AbymiY Kiv|

2.3. Kg©`ÿZv (Competency): cwjwm ev¯Íevq‡bi Rb¨ MwVZ AM©v‡bvMÖv‡gi c`web¨vm Abyhvqx
DשZb Kg©KZ©vMY Zvi Aat¯’b Kg©KZ©v‡`i `vwqZ¡ I KZ©e¨, mxgve×Zv m¤ú‡K© Ges cwjwmi Dci
wbqwgZ cÖwkÿY cÖ`v‡bi gva¨‡g mswkøó wel‡qi Dci Zv‡`i Kg©`ÿZv wbwðZ Ki‡e| cÖwkÿYcÖvß
Aat¯’b Kg©KZ©vMb Zvi cÖwkÿYjä Ávb I AwfÁZvi Av‡jv‡K cÖwZôv‡bi ga¨g ch©v‡qi Kg©KZ©v I
mvavib kÖwgK‡`i cÖwkÿY cÖ`vb Ki‡eb †hb cwjwm ev¯Íevq‡b mK‡ji ¯^Ztù~Z© AskMÖnY wbwðZ nq|

3.0. iæwUb I c×wZ (Routines & Procedures) t

KviY
Kvh©µg (wK) c×wZ (wKfv‡e) `vwqZ¡ cÖvß c`ex (‡K) KLb
(‡Kb)
e¨e¯’vcbv cwiPvjK/
wbe©vnx cwiPvjK- Dc
3.1 K) WKz‡g›U
bw_ wbqš¿Y bxwZ gnve¨e¯’vcK - 1.3 I
cÖKv‡ki Av‡M Zv cÖ‡hvR¨ †ÿ‡Î
1.5.3 AbymiY K‡i| cÖkvt/gvt m¤ú`/Kgt; 1.4
Aby‡gv`b Kiv
e¨e¯’vcK/ mn e¨e¯’vcK /
Awdmvi - Kgcøv‡qÝ;
3.1 L) cÖ‡qvRb bw_ wbqš¿Y bxwZ e¨e¯’vcbv cwiPvjK/
mv‡c‡ÿ¨ WKz‡g›U 1.5.4 AbymiY K‡i| wbe©vnx cwiPvjK- Dc
ch©v‡jvPbv Kiv, mgq gnve¨e¯’vcK - 1.3 I
cÖ‡hvR¨ †ÿ‡Î
Dc‡hvMx Kiv Ges Zv cÖkvt/gvt m¤ú`/Kgt; 1.4
cybivq Aby‡gv`b Kiv: e¨e¯’vcK/ mn e¨e¯’vcK /
Awdmvi - Kgcøv‡qÝ;
3.1.M) WKz‡g›Um Gi bw_ wbqš¿Y bxwZ Dc gnve¨e¯’vcK - WKz‡g›Um 1.3 I
cwieZ©b mg~n Ges 1.5.5 AbymiY K‡i| cÖkvt/gvt m¤ú`/Kgt; cwieZ©b Ges 1.4
eZ©gvb ms¯‹i‡Yi e¨e¯’vcK/ mn e¨e¯’vcK / ms¯‹i‡Yi ci
Ae¯’v wPwýZ Kiv Awdmvi - Kgcøv‡qÝ;
3.1.N) cÖ‡hvR¨ bw_ wbqš¿Y bxwZ Dc gnve¨e¯’vcK - WKz‡g›Um 1.3 I
WKz‡g›U Gi 1.5.6 AbymiY K‡i| cÖkvt/gvt m¤ú`/Kgt; cwieZ©b Ges 1.4
cÖvmw½K ms¯‹iY e¨e¯’vcK/ mn e¨e¯’vcK / ms¯‹i‡Yi ci
mg~n e¨env‡ii w`K Awdmvi - Kgcøv‡qÝ;
†_‡K mnRjf¨ Kiv
3.1.O) WKz‡g›Um n‡e bw_ wbqš¿Y bxwZ Dc gnve¨e¯’vcK - WKz‡g›Um 1.3 I
¯úó Ges mn‡R 1.5.7 AbymiY K‡i| cÖkvt/gvt m¤ú`/Kgt; ˆZixi mgq 1.4
mbv³KiY‡hvM¨ e¨e¯’vcK/ mn e¨e¯’vcK /
Awdmvi - Kgcøv‡qÝ;
3.1.P) Sustainability Gi bw_ wbqš¿Y bxwZ Dc gnve¨e¯’vcK - cÖ‡hvR¨ †ÿ‡Î 1.3 I
Rb¨ cÖ‡qvRbxq 1.5.8 AbymiY K‡i| cÖkvt/gvt m¤ú`/Kgt; 1.4
ewnivMZ WKz‡g›U e¨e¯’vcK/ mn e¨e¯’vcK /
mg~n wPwýZKiY Ges Awdmvi - Kgcøv‡qÝ;
e›Ub e¨e¯’v wbqš¿Y
Kiv
3.1.Q) eZ©gvb bw_ wbqš¿Y bxwZ cÖ‡hvR¨ †ÿ‡Î 1.3 I
WKz‡g›U a‡i ivLv Ges 1.5.9 AbymiY K‡i| Dc gnve¨e¯’vcK - 1.4
cyivZb/ evwZj cÖkvt/gvt m¤ú`/Kgt;
WKz‡g›U Gi e¨e¯’vcK/ mn e¨e¯’vcK /
Awb”QvK…Z e¨envi Awdmvi - Kgcøv‡qÝ;
cÖwZ‡iv‡a Kibxq
3.1. ev¯Íevqb iæwUb (Implementation Routine) t
 8

3.2 ‡hvMv‡hv‡Mi iæwUb (Communication Routines) t

c×wZ (wKfv‡e)/
`vwqZ¡cÖvß c`ex KviY
Kvh©µg (wK) †hvMv‡hv‡Mi KLb
(‡K) (‡Kb)
wbqgKvbyb
3.2 K) cwjwm cwjwm cÖwZôv/
wgwUs/ m‡PZbZvg~jK e¨e¯’vcK / mnt
Kvh©Kix `‡ji m‡½ ms‡kvab Kivi ci
Kg©m~Pxi gva¨‡g e¨e¯’vcK- 1.5
†hvMv‡hvM ¯’vcb hZ `ªæZ m¤¢ve|
(†iKW© msiÿY Kiv) Kgcøv‡qÝ
Kiv | (15 w`‡bi g‡a¨)
3.2 L) e¨e¯’vcbv cwjwm cÖwZôv/ 1.5
wgwUs/ m‡PZbZvg~jK e¨e¯’vcK / mnt
KZ„©c‡ÿi m‡½ ms‡kvab Kivi ci
Kg©m~Pxi gva¨‡g| e¨e¯’vcK-
†hvMv‡hvM ¯’vcb hZ `ªæZ m¤¢ve|
(†iKW© msiÿY Kiv) Kgcøv‡qÝ
Kiv| (30 w`‡bi g‡a¨)
wgwUs/ m‡PZbZvg~jK 1.5
3.2 M) wgW †j‡ej cwjwm cÖwZôv/
Kg©m~Px e¨e¯’vcK / mnt
e¨e¯’vcbv KZ„©c‡ÿi ms‡kvab Kivi ci
/cÖwkÿY/‡bvwU‡ki e¨e¯’vcK-
m‡½ †hvMv‡hvM hZ `ªæZ m¤¢ve|
gva¨‡g| Kgcøv‡qÝ
¯’vcb Kiv| (90 w`‡bi g‡a¨)
(†iKW© msiÿY Kiv)

3.3. cÖwZwµqv I wbqš¿Y iæwUb (Feedback and Control Routines) t

cwjwm ev¯Íevq‡b msMV‡bi m`m¨iv mwVKfv‡e wbR wbR `vwqZ¡ cvjb Ki‡Q wKbv, cwjwm ev¯Íevq‡bi
c×wZ I iæwUb mwVKfv‡e cwiPvwjZ n‡”Q wKbv, †hvMv‡hvM I ev¯Íevq‡bi mKj gva¨g mwµq Av‡Q
wKbv, cwjwm ev¯Íevq‡b Aw½Kvi, D‡Ïk¨, jÿ¨, †idv‡iÝ mwVKfv‡e wba©vwiZ n‡q‡Q wKbv cÖf~wZ
wel‡qi Dci Af¨šÍixb Rwic cwiPvwjZ nq| GQvovI cwjwm ev¯Íevq‡b †hvMv‡hvM I c×wZ m¤ú‡K©
Kg©KZ©v I Kg©Pvix‡`i g‡bvfve, Zv‡`i Rvbvi cwiwa Ges cÖv‡qvwMK †ÿ‡Î Zv‡`i AskMÖn‡Yi gvÎv
wbiæc‡bi Rb¨ wewfbœ cÖwkÿY ‡k‡l g~j¨vqb c‡Îi gva¨‡g ev¯Íe Ae¯’v Abyaveb K‡i cÖ‡qvRbxq e¨e¯’v
MÖnY Kiv n‡q _v‡K|

`vwqZ¡cÖvß KviY
Kvh©µg (wK) c×wZ (wKfv‡e) KLb
c`ex (‡K) (‡Kb)
K) cÖkœ cÎ ˆZixi gva¨‡g
mswkøó cwjwmi
 g¨v‡bR‡g‡›Ui
3.3.K) Af¨šÍixb Dci cÖwkÿY
B›UviwfD
Rwic Af¨šÍixb Rwic `j †`qvi ci [1.5]
 WKz‡g›U ‡PK
(eQ‡i AšÍZ
 `„kgvb cwi`k©b GKevi)
hvnv 3.1 Ges 3.2 AbymiY K‡i|
3.3 L) Rwic * AwWU Abyhvqx mgm¨v¸‡jv
cÖwZ‡e`bwU wi‡cvU© Kiv
Af¨šÍixb Rwic
we‡kølY Kiv Ges *Rwi‡ci djvd‡ji Dci Score Af¨šÍixb Rwic `j [1.5]
‡kl Kivi ci
wi‡cvU© cÖ`vb wba©viY/ g~j¨vqY Kiv|
Kiv| * KZ…©cÿ‡K AewnZ Kiv
e¨e¯’vcK /
mnKvix
3.3 M) Rwic  g¨v‡bR‡g‡›Ui e¨e¯’vcK/
Af¨šÍixb Rwic
cÖwZ‡e`‡bi djvd‡ji B›UviwfD wmwb.wbe©vnx/
wi‡cvU© nv‡Z [1.5]
Dci g~j KviY  WKz‡g›U ‡PK Awdmvi
cvIqvi ci|
we‡kølY Kiv|  `„kgvb cwi`k©b cÖkvmb, gvbe
m¤ú` I
Kgcøv‡qÝ|
3.3.N) ms‡kvabx *g~j KviY ¸‡jv wPwýZ K‡i Dc gnve¨e¯’vcK/ Af¨šÍixb Rwic [1.5]
Kg© cwiKíbv cÖ‡qvRbxq c`‡ÿc MÖnY Kiv| e¨e¯’vcK / wi‡cvU© n‡Z
(NUbvi cybive„wË ‡hgb:- *bxwZgvjv ms‡kvab mnKvix cvIqvi ci hZ
bv nIqvq M„nxZ Kiv e¨e¯’vcK/ `ªæZ m¤¢e|
c`‡ÿc) *cÖwkÿY c×wZ‡Z Awdmvi- (15 w`‡bi g‡a¨)
 9

cwieZ©b
*cÖkœ cwׇZ cwieZ©b
Avbv
 AwWU wU‡gi mv‡_ cÖkvmb, gvbe
wgwUs Kiv| m¤ú` I
 M„nxZ c`‡ÿc mg~‡ni Kgcøv‡qÝ
Dci d‡jv Avc Kiv|
 g~j¨vqY Kiv|
 KZ…©cÿ‡K AewnZ Kiv
e¨e¯’vcK / mnt
wgwUs/ m‡PZbZvg~jK
e¨e¯’vcK/wmwb.
3.3.O) cÖwZ‡iva Kg©m~Px/
wbe©vnx/
Kg© cwiKíbv cÖwkÿY/wcG/‡bvwU‡ki
wbe©vnx/ ‡hvM`v‡bi w`b
(NUbvwU GK eviI gva¨‡g Kg©KZ©v- [1.5]
Awdmvi- †_‡K
†hb bv N‡U †m j‡ÿ¨ Kg©Pvix‡`i‡K mswkøó cwjwm
cÖkvmb, gvbe
M„nxZ c`‡ÿc) I cÖwmwWDi Gi Dci evievi
m¤ú` I
avibv †`qv I m‡PZb Kiv|
Kgcøv‡qÝ

4. †hvMv‡hvM I ev¯Íevqb (Communication & Implementation)

4.1 ev¯Íevqb iæwUb 3.1 AbymiY Kiv Ges h_vh_fv‡e WKz‡g›U msiÿY Kiv|
4.2 ‡hvMv‡hv‡Mi iæwUb 3.2 AbymiY Kiv Ges h_vh_fv‡e WKz‡g›U msiÿY Kiv|
4.3 cÖwZwµqv I wbqš¿Y iæwUb 3.3 AbymiY Kiv Ges h_vh_fv‡e WKz‡g›U msiÿY Kiv|

Internal Audit Findings and Correction Action Plan (CAP)

Date:
Company Name:
Internal Auditor:
Team:
Audit Number:
Audit report submission
date:
Q.N Audit Root Correct Responsi Completio Follow Remar
Findings cause ive ble n Date up ks
analysis actions person
10