Al Mamary Quality Management System Document

Internal Quality Audit Procedure

Efective date:
Doc. N: AM-QMS-05
Doc. Type:
Procedure
Version N: 1
Page 1 of 6
1. Purpose
This procedure defines/ describes the method of measuring and assessing the effectiveness and
compliance of the Quallity Management System at Al Mamary Aluminium and Skylight Factory LLC
2. Scope
This procedure applies to the folloing!
"roduct#s$ ! All
"rocess#es$ ! %nternal QMS Auditing
Function#s$ ! &perations
%S&'(()!*((+ ,e-uirement#s$ ! +.*.* %nternal Audit
3. Definitions
Quality Management
System
! The organi/ational structure0 responsibilities0 procedures0 processes0 and
resources for establishing -uality management system.
%nternal Audit #%A$ ! An Audit conducted locally under the management of company lead
auditors. This is a self e1amination by a business function of its on
processes to ensure the Quality Management System is operating as
defined in its documentation and is effective in meeting the Quality
Management System criteria.
Audit ! A systematic0 independent and documented process for obtaining audit
evidence and evaluating it ob2ectively to hich e1tent Quality
Management System audit criteria are fulfilled.
Lead Auditor ! Manages and coordinates the internal audit
Audit criteria ! The set of policies0 procedures or re-uirements used as reference
against hich audit findings/observations are compared
3eeds %mmediate
Attention
! 4lements not in place
"otential unanticipated harm to the customer
"otential legal or regulatory issues
"otential negative impact on brand image
3eeds %mprovement ! 4lements in place but not fully implemented
3eeds ,efinement ! &bservations #potential non5conformities$ or elements in place but can
still be further refined or developed.
Audit Man5hours ! 3umber of auditors multiplied by the number of audit hours
Audit evidence ! ,ecords0 statement of facts and other information hich are relevant to
the audit criteria and verifiable.
Correction ! Action to eliminate detected non5conformity
3ote!
A correction can be made in con2unction ith the corrective
action.
A correction can be 0 for e1ample0 reork or regrade
Corrective Action
#CA$
! Action to eliminate the cause of a detected nonconformity
3ote! Corrective action is taken to prevent recurrence hereas
preventive action is taken to prevent occurrence.
Audit "rogram ! A set of one or more audits planned for a specific time frame and directed
toards a specific purpose.
Auditee ! organi/ation being audited
Auditor ! "erson ith the competence and authority to conduct an audit.
Al Mamary Quality Management System Document
Internal Quality Audit Procedure
Efective date:
Doc. N: AM-QMS-05
Doc. Type:
Procedure
Version N: 1
Page 2 of 6
Commendations ! "ositive findings for activities and documents that need to be critically
maintained.
"reventive action
#"A$
! Action to eliminate the cause of a potential nonconformity
3ote! corrective action is taken to prevent recurrence hereas preventive
action is taken to prevent occurrence.
. Key Elements & Responsibilities
6.) There shall be a pool of internal auditors composed of internal auditors coming from the different
departments in Al Mamary.
6.* A site ill be audited at least once a year.
6.7 Audit "lanning
6.7.) At the start of the year0 all internal auditors shall be convened to make the Audit "rogram for
the year.
6.7.* Lead Auditors for each audit shall be identified. The Lead Auditor shall be responsible for the
folloing!
). %nternal Audit "lan creation including audit assignments of the internal auditors ithin his
team and timing
*. Coordination ith the site to be audited including memo to inform the 8eneral Manager of
the audit schedule
7. &ther audit preparations such as refresher course of the internal auditors here
applicable0 opening meeting presentation0 etc.
6.6 Actual Audit
6.6.) The Lead Auditor shall preside over the &pening Meeting
6.6.* %n case of conflict regarding findings that cannot be resolved by the internal auditors
themselves0 the lead auditor shall have the final decision.
6.6.7 The Lead Auditor shall preside over the Closing Meeting.
6.9 Audit ,eport
The Lead Auditor shall make an %nternal Audit ,eport and submit to the Management
,epresentative and 8eneral Manager. :e/ She shall also issue the Corrective Action ,e-uest #CA,$
for each non5conformity and observation found.
6.; Appendices!
Appendi1 A %nternal Audit Flochart
Appendi1 < %nternal Auditor Qualification and Competency "rogram
5. Related Documents
AM5QMS5((7.F() %nternal Audit "rogram
AM5QMS5((7.F(* %nternal Audit "lan
AM5QMS5((7.F(7 %nternal Audit 3otice
AM5QMS5((7.F(6 &bservation Sheet
AM5QMS5((7.F(9 %nternal Audit ,eport
Al Mamary Quality Management System Document
Internal Quality Audit Procedure
Efective date:
Doc. N: AM-QMS-05
Doc. Type:
Procedure
Version N: 1
Page 3 of 6
AM5QMS5((7.F(; Corrective and "reventive Action
!. Reference Documents
%S& '(()!*((+
". Revision istory
!ersion "# $ut%or Effective Date
Description of &%an'e
(includin' reason for c%an'e)
)
Maria 4laine Almero =ersion )
*. $pproval
+ritten by Revie,ed by $pproved by
-.S Document
&ontroller
3ame!
Maria 4laine
Almero
4ngr. Ma>an ?erar
?erieh
4ngr. ?erar :elal
?erieh
4ngr @ocelyn Cru/5
@arabelo
?epartment!
Management/
Accounts
Sales Management
Management/
"rocurement
"osition!
Accountant / %S&
Auditor
Contracts A Sales
Manager /
%S& Management
,epresentative
8eneral Manager
Safety 4ngineer/
%S& Auditor/
"urchasing &fficer /
Secretariat
?ate!
Signature!
.
1. Planning and
Preparation of Internal
Audit Programme
2. Prepare and Iue Audit
Plan and Audit !otice
3. Audit preparation
". #rgani$e and conduct
opening meeting
5. %onduct audit
#ES
6. &eport audit 'nding
(. Prepare and ditri)ute
Internal Audit report

Internal Audit
Programme
S*A&*
Internal Audit Plan
Internal Audit
!otice
Pre+iou Internal Audit
&eport
Procedure, -or.
Intruction
10 -it/ !on-
conformity0
Internal Audit
&eport
A
N$
&eult of pre+iou audit
1internal and e2ternal
audit3
4. Prepare and iue
Internal Audit %orrecti+e
Action &eport
5. Accompli/ Internal
Audit %orrecti+e Action
&eport
Internal Audit
%orrecti+e Action
&eport
Appendi% A: &nternal Audit 'lo(c)art *+,-.
"o.
Process
Participants
(R$&/)
&omments
)
"lanning and
preparation of %nternal
Audit "rogramme
,! Lead Auditors
AC%! Management
Coordinator prepares %nternal Audit "rogramme. All functions to be audited minimum once
a year.
*
"repare and %ssue
Audit "lan and Audit
3otice
,! Lead Auditor
The %A Coordinator prepares AM5QMS5(((9.F() %nternal Audit "lan and corresponding
AM5QMS5(((9.F(B %nternal Audit 3otice and issues to concerned department managers.
The audit notice indicates the scope of the audit and audit criteria.
7
Audit preparation ,! Audit Team
Audit team revies all documentation related to the scope of their audit in advance.
?etailed plan0 schedule0 and auditorCs assignment are finali/ed here. Auditors shall be
competent based on the re-uirements detailed in Appendi1 <. Auditors shall not be
alloed to audit their on ork to ensure ob2ectivity and impartiality of the audit process
6
&rgani/e and conduct
opening meeting ,! Lead Auditor
9
Conduct audit ,! Audit Team %nternal auditor team perform audit according to audit assignment.
;
,eport audit findings
,! Audit Team
AC%! Management
8roup findings together and classify if non5conformities hether 3eeds %mmediate
Attention0 3eeds %mprovement and 3eeds ,efinement
Summari/e and discuss the results of audit and present during closing meeting.
B
"repare and distribute
%nternal Audit report ,! Audit Team
Audit report shall be prepared using the AM5QMS5(((9.F(' %nternal Audit ,eport. The
formal audit report shall be completed at most )9 orking days after the conduct of the
audit. &nly a copy of the signed %nternal audit report #hether electronic or hard copy$ shall
be issued to the concerned department. The original copy of the report shall be filed by the
?ocument Controller.
+ "repare and issue
%nternal Audit
Corrective Action
,eport
,! Lead Auditor
"repare corrective action report using AM5QMS5(((9.F(7 %nternal Audit Corrective Action
,eport. Submit to concerned department for accomplishment. Accomplished %nternal CA,
should be submitted to the ?ocument Controller at most )9 orking days after the audit.
'
Accomplish %nternal
Audit Corrective Action
,eport
,A! :ead of
department
Should a non5conformity be raised during the audit0 the 8eneral Manager or :ead of the
?epartment shall implement action to eliminate the detected non5conformity hich is also
knon as correction. Furthermore0 the cause of this non5conformity shall also be
determined and a corrective action shall be implemented to eliminate it. The 8eneral
Manager or :ead of the ?epartment shall accomplish the %nternal Audit Corrective Action
to record the cause0 correction and corrective action plan and submit back by the 8eneral
Manager / :ead of the ?epartment / Auditee to the Lead Auditor. Target date of completion
of the action plan ill also be indicated.
Appendi% A: &nternal Audit 'lo(c)art *-,-.
"o. Process &omments
)(
Summari/e internal
audit findings
))
?etermine if follo5up
audit is necessary
)*
Conduct an audit
follo5up
)7
%dentify if corrective
actions are
implemented
)6
,ecord in %nternal
Audit CA, and submit
to Lead Auditor
)9
?iscuss ith the
8eneral Manager0
identify reason and
schedule ne1t follo5
up for CA,
);
Close the audit follo5
up and issue the
report
)B
Management ,evie
,esults of audits and corrective actions ill be discussed on the Management ,evie.
12. %onduct an audit
follo6-up
1". &ecord in Internal
Audit %A& and u)mit to IA
coordinator
15. 7icu 6it/ t/e 8#79
identify reaon and c/edule
ne2t follo6-up of %A&
16. %loe t/e audit follo6-
up and iue t/e report
10. Summari$e internal
audit 'nding
A
Internal audit
report
Management
&e+ie6
1(. Management
&e+ie6
13. I correcti+e
action
implemented0
Internal audit
report
11. :ollo6-up
audit neceary0
;!7
!#
<;S
!#
<;S
$ppendi0 12 /nternal $uditor -ualification and &ompetency Pro'ram
%n order to ensure that the internal audit ill be carried out effectively0 an %nternal Auditor Competency
"rogram shall be established.
$. 1asic Re3uirements
$4D/5 5E$. P$R5/&/P$"5S
Parameter
$uditor 5rainee 6
7bserver
$uditor 8ead $uditor
5rainin' Re3uired ). At least )
Foundation Course!
= Foundation course
on %S& '(()!*((+
QMS
). At least ) Foundation
Course!
= Foundation course
on %S& '(()!*((+
QMS
2. $t least 1 /nternal
$udit &ourse
= 4ffective %nternal
Auditing to %S&
'(()!*((+ QMS
$udit E0perience 3one re-uired At least one audit
7t%er -ualifications 8ood oral and ritten
communication skills
8ood problem solving
skills
8ood oral and ritten
communication skills
8ood problem solving
skills
8ood oral and ritten
communication skills
8ood problem solving
skills
1. &ontinuin' Development
The continuing development of internal auditors shall be guided by the B(5*(5)( rule D B(E on the 2ob0
*(E learning from the classroom training and )(E learning from colleagues/ others.
The folloing activities shall be part of the continuing development program!
%nternal Audit process revie prior to each internal audit
Forkshop on Friting Corrective Action ,eport #CA,$ prior to each internal audit
Gpdates if any on legal and other re-uirements prior to each internal audit
,evie of CA,s issued after each internal audit
&. References
,eferences ill be made available for internal auditors.