ABDULLAH FALEH AL DOSSARY SONS CONTRACTING co. LTD. @s) , Sor Procedure : INTERNAL AUDIT SYSTEM INTEGRATED MANAGEMENT SYSTEMS (IMS) ISO 9001 : 2 14001:2015 and ISO 45001:20: Peete au LS Prepared & Issued by By (MR): _» Approved By GM: Rev.No. :00 ”, hele Sareea 1.0 2.0 3.0 4.0 41 42 PURPOSE: The purpose of this procedure is to stipulate a system, to verify the effectiveness of IMS implemented in the Company. SCOPE: The procedure covers the systems related to internal auditing of the IMS. DEFINITION: Non-Conformity: Non-fulfillment of a specified requirement, CAR: Corrective Action Report, NC: Non-Conformance, NCR: Non-Conformance Report, PO: Process Owner, PM: Project Manager, MR: Management Representative, IA: Internal Auditor, MRM: Management Review Meeting, IAS: Internal Audit System, CCAR: Correction and Corrective Action Report. RESPONSIBILITY: Management Representative - Responsible for ensuring the implementation of this procedure. Also responsible for the overall coordination and Administration of matters pertaining to Internal system, Audits and communicating the same to respective departments. Process Owner - Responsible for providing necessary Co-operation for conductance of Audits and ensuring implementation of Correction and Corrective Actions, arising out of such Audits.Document No. | Revision No. Effective Date Page No. | _ISP/IAS/P_ ee 30.07.2018 20f6 | 5.0 _ PROCESS INTERFACE: SI. No. Responsibility Ref. Doc. 5.1 PLANNING: ‘An Annual Audit Programme setting out the schedule of audits, covering all procedures will be saa | Prepared by MR and circulated to all Process Owners / Auditee and Auditors minimum 10 days ae Peano | before the audit. | | This plan will be approved by Management Representative prior to release. The audit shall be carried out on Calendar Yearly basis. However, the frequency may be 5.12 | Changedas per directive of the Management. uh All process descriptions and Operational procedure / SOP / worl during these audits. 5.1.3 | The audit schedule for a specific period shall be prepared in the format and circulated to a ane concerned, in advance. Organize special audits when failure is observed with respect to the operation of the IMS or major changes have been made to the System, if required. The purpose of the audit is to identify the causes for failure or to examine whether the documented procedures are complied with when the change is implemented. | Unscheduled (Extra) Audits may also be planned and carried out considering following: Increased complaints from interested parties 5.1.4 | @ Achange of personnel at the level of PO and above. MR - © Increased trends of departmental non-conformances * No progress in Continual Improvement Projects / Objectives * Specific Report from Regulatory / Legal bodies ‘* Reduced Customer SatisfactionDocument No. Edition No. Effective Date Page No. ISP/IAS/P 02 30.07.2018 3 of 6 Sl.No. Activity Responsibility Ref. Doc. 515 The non-conformities will be documented on the check list and a Non-Conformity Report be raised for each of the Non-Conformances. Internal Auditor FM-MR-18, FM-MR-09 There will be an exit meeting with the Auditee, when the audit is completed, for giving a verbal summary of the findings. The NCR raised during the audit will be passed on to the ‘Auditee for his signature, to indicate his acceptance of the Non-Conformance. FM-MR-09 ‘Signed Non-Conformance Report by Team Leader of Auditor, Filled NCR copy duly signed for acceptance of Auditee & Team of Auditors, Check List will be submitted to MR. Internal Auditor FM-MR-09, FM-MR-18 Upon verification of Non-Conformance raised during the audit, MR will then verify Correction and Corrective Action Initiated and the NCR will be will be closed / remain open by MR. MR ‘AUDIT TEAM: Qualified Individual Auditor or a Team of Auditors, as found necessary and sufficient will audit each of the functional areas covered by the Management System elements. Normally the Auditor be a person from another department, who has a general knowledge of the functions in that area. In case a team of auditors is assigned for any functional areas, one of them shall be nominated as “Team Leader” with the responsibility for overall management of the audit. Audit Team QUALIFICATION AND TRAINING OF AUDITORS: They should also be given requisite training and qualified to perform internal auditing. Any reputed external agency can conduct training for internal auditor course in- house / external to facilitate quick and efficient auditing. PERFORMING AUDI The audits shall be performed following the principle steps. . Audit Team auditor throughout.Document No. | Revision No. I Effective Date Page No. IsP/las/P 00 | 30.07.2018 4of6 Sl.No. Activity Responsibility Ref. Doc. 5.4.3 ‘Audit shall be conducted using prepared Check List. The Check List shall also contain the previous Non-Conformances found during the audit for re-verification. a 5.4.4 ‘A Non-Conformity Report (NCR) shall be prepared as per format. While preparing NCR, the concurrence of the Process's Owner to the facts of the situation, should be obtained on the spot, to prevent debates on facts at a later time. FM-MR-09 5.4.5 Signature of the Process Owner / Auditee on NCR only acknowledges the facts and is not necessarily an agreement to Non-Conformity. On completion of the audit, closing discussions must be held with the Process Owner for reviewing the results of the audit, obtain any clarification necessary, discussion possible corrective actions to be taken and for handing over NCRs. Internal Auditor FIM-MR-09 5.4.6 The internal audit schedule and NCR/CCAR Status Log will be updated to indicate audit status. Follow up audits (if any) shall be indicated on the status log. MR FM-MR-10 5.4.7 The NCRs given by the auditor should be promptly followed up and completed by PO audited indicating the nature of corrective actions taken against each of the deficiencies pointed oul and the date of their effective implementation. NOTE: The Corrective actions shall be decided without any undue delay fe. immediate for such nonconformance which result into reduced customer satisfaction, | non-compliances of legal requirements or delay in meeting objectives / continual improvement projects.) PO 5.48 NCR with proposed corrective action & final audit report, shall be prepared and submitted to MR e FM-MR-09, FM-MR-18 5.4.9Document No. “Edition No. Effective Date Page No. i ISP/IAS/P 02 30.07.2018 5 of 6 [St No. ‘Activity Responsibility Ref. Doc. review the NCR / Corrective Action Proposed and verify implementation of proposed 5.4.10 /e Action. After satisfactory implementation of NCR / CCAR, MR will close the NCR and MR FM-MR-10 update NCR / Corrective Action Proposed Status Log. : ‘Agenda of MRM & 5.4.11 | Audit results are to be discussed in MRM MR Minutes of Meeting of MRM. 6.0 PREPARATION OF AUDIT CHECK LIST Check Lists may be prepared by the Auditors covering all important aspects of Integrated Management System, pertaining to the functional area being audited and referring to previous audit reports. As a minimum, they should go through organizational structure of the Department, Procedure / Work Instruction related to the element, previous NCRs of the Department, Corrective Action Records and any trend analysis if available. Care must be taken to ensure that such Check List do not become confining. The auditor must follow up any other line of enquiry, which will yield meaningful information. Some of the typical issues to be considered during the internal audits would be as follows: + Are the IMS Documents available at the work place, where they are required and are they up-to-date? + Isthe IMS documentation adequate, to meet the requirements of applicable standard? + Are the IMS Procedures and Work Instructions, covering different functional areas (such as Technical, Production, Purchase, Quality Assurance, Redressal of Customer Complaints, Maintenance, etc.) being followed in all respects? * Are there any new hazards, which affect safety significantly? + Are the operators following the Management System Procedures and Instructions stipulated? + Are the procedures resulting in the requirements consistently conforming to specified requirements? + Are the Inspection and Testing being done as per Quality Plan and are the Records being maintained? + Isthe Testing / Measuring Equipment being calibrated in a programmed manner? ‘+ Whether there any Non-Conforming Products? = Where they disposed of, as per applicable procedures? + Where there any instances of Corrective Actions taken due to unusually high incidence of Non-Conforming, + Was the effectiveness of Corrective Actions verified subsequently? (ge S\ + __What is the system of Legal Compliance and Improvement Management Programme adhered'to? *)Document No. Edition No. Revision No. Effective Date Page No. ISP/IAS/P 02 00 30.07.2018 6 of6 7.0 _LIST OF RECORDS: sl. Applicable A\ Type of Retenti ee I \t Stage of | Format et yp jetention No. Procedure Number Format Time 1. _| Internal Audit Plan, = FM-MR-07 | MROffice | Hard /Soft MR 3 Years 2. | Internal Audit Schedule. = FM-MR-08 | MROffice | Hard /Soft MR 3 Years 3. _| Internal Audit Check List cum Report. é FM-MR-18 | MR Office Hard MR 3 Years " it — Non-Conf renee neces . FM-MR-09 | MR Office Hard MR 3 Years Report. 5. _ | Status of NCR/ Corrective Action Log. - FM-MR-10 | MR Office | Hard / Soft wR 3 Years |