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.