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Issue No:1
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
Page 1 of 12
Name
INTERNAL QUALITY AUDITS
Signature
Date
Prepared: Quality Management Representative
Approved By : Director
14/6/2010
14/6/2010
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
Contents
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
Page 2 of 12
1. GENERAL ...................................................................................................................................... 3
1.1 PURPOSE ............................................................................................................................... 3
1.2 SCOPE .................................................................................................................................... 3
1.3 REFERENCES ....................................................................................................................... 3
2 TERMS AND DEFINITIONS ........................................................................................................ 3
3 RESPONSIBILITY AND AUTHORITY ...................................................................................... 4
3.1 Director .................................................................................................................................. 4
3.2 Quality Management Representative ..................................................................................... 4
3.3 Deputy Directors .................................................................................................................... 4
3.4 Departmental Heads ................................................................................................................ 4
3.5 Internal Quality Auditor(s)...................................................................................................... 5
3.6 Auditee .................................................................................................................................... 5
3.7 All Staff ................................................................................................................................... 5
4. DETAILS OF PROCEDURE ......................................................................................................... 5
4.1 Audit Initiation, Planning and Preparation.............................................................................. 5
4.2 Audit Performance .................................................................................................................. 6
4.3 Follow Up and Review of Corrective Action ......................................................................... 6
4.4 Reporting and Management Review ....................................................................................... 6
4. Appendix ............................................................................................................................................. 7
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
1.
Issue No:1
GENERAL
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
Page 3 of 12
1.1 PURPOSE
This is to provide and define the necessary control measures for carrying out the internal
audit activities.
1.2 SCOPE
This procedure covers from planning the audit, carrying out the audit to preparing
the
audit report and follow up.
1.3 REFERENCES
ISO 9001:2008 Clause 8.2.2
Quality Manual
2
TERMS AND DEFINITIONS
In addition to the relevant common definitions of terms given in ISO 9000:2005, the
following specific definitions shall apply:
Audit Criteria: Set of policies, procedures or requirements used as a reference
Audit Findings: Results of the evaluation of the collected audit evidence against audit criteria
Audit Evidence: Records, statements of fact or other information which relevant to
theaudit criteria and verifiable
Non-conformance: Non fulfilment of a specified quality system requirement
Process Owner: These are the people who are responsible for managing and/orcarrying
out the process. They generally have the greatest understanding of what is required to control and improve the process.
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
Page 4 of 12
3
CAR: Corrective Action Request
QMR: Quality Management Representative
QMS: Quality Management System
MP: Management Procedure
KFS: Kenya Forest Service
RESPONSIBILITY AND AUTHORITY
3.1 Director
Ensures all audit issues are effectively addressed.
Ensures all necessary audit resources are availed.
3.2 Quality Management Representative
Overall responsible for ensuring the effectiveness of the quality management system.
Prepares the Audit Schedules and circulates them to auditors / auditee.
Ensures audit program is followed.
Receives audit reports and summarizes them for management review meetings.
Ensures audit findings are followed-up.
Records, maintains and distributes minutes of Management Review Meeting.
3.3 Deputy Directors
Responsible for implementing corrective and preventive actions following Internal
Quality Audit reports affecting their divisions.
Assigns corrective and preventive action tasks to staff in their divisions.
3.4 Departmental Heads
Responsible for implementing corrective and preventive actions following Internal
Quality Audit reports affecting their departments.
Assigns corrective and preventive action tasks to staff in their departments.
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
Page 5 of 12
3.5 Internal Quality Auditor(s)
Responsible for effectiveness and efficiency of the audit preparation, conduct and
reporting.
Liaises with the auditee and ensures agreement is reached.
Conducts a desk study and prepares the working documents.
Conducts both opening and closing meetings.
Conducts the compliance audit and fills the Non-conformance Report and the Audit summary report.
Follows up on the corrective action with the auditee.
Closes the audit.
3.6 Auditee
Ensures the required information is availed to the auditor.
Identifies and implements the appropriate corrective action.
3.7 All Staff
Carry out corrective and preventive action as assigned.
4. DETAILS OF PROCEDURE
Note 1: KFS will be undertaking internal quality audits twice per year,
at regular intervals
4.1 Audit Initiation, Planning and Preparation
4.1.1 The Quality Management Representative prepares the Internal Audit Schedule at the
beginning of every year.
4.1.2 The Quality Management Representative distributes the Internal Audit Schedule to both
auditors and auditee.
4.1.3 The auditors and the auditee mutually arrange and agree on the audit details.
4.1.4 Auditor conducts a desk study (adequacy audit) and prepares working documents using the relevant Audit Checklist
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
Page 6 of 12
4.2 Audit Performance
4.2.1 The Auditor visits the site and conducts an opening meeting.
4.2.2 The Auditor conducts the compliance audit and records any non-compliance on the Non- conformance Report.
Note 2: A Non-compliance Report must be prepared for each non-
conformity observed.
4.2.3 The auditor conducts the closing meeting during which:- 4.2.4 The auditee fills the "Proposed Corrective Action" section of the Non-conformance Report indicating the proposed corrective action and the implementation deadline. 4.2.5 The auditee signs the same section of the document. 4.2.6 A copy of the Non-conformance Report is left with the auditee for follow-up.
4.3 Follow Up and Review of Corrective Action
4.3.1 When the agreed implementation date arrives, the auditor checks to confirm that
the
corrective action has been effected and that the results are satisfactory.
4.3.2 The Auditor then fills and signs the "Review of Corrective Action" section of the
report and audit is closed.
4.4 Reporting and Management Review
4.4.1 For each audit, all the Non-conformance Reports are summarized in the Audit Summary
Report by the auditor.
4.4.2 The Auditor forwards the Non-conformance Reports and Audit Summary Report to
the Quality Management Representative.
4.4.3 The Quality Management Representative reviews, signs the "Quality Management
Representative's Comments" section of the Non-conformance Report and presents the Audit
Summary Report to the Management Review Meeting.
4.4.4 During the Management Review Meeting, the audit report is discussed and the
necessary actions taken.
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
Page 7 of 12
4.4.5 Minutes are recorded and distributed, not later than two weeks after the meeting, by the
Quality Management Representative
4. Appendix
Non Conformance Report Form (Ref:KFS/IA/FORM/001)
Internal Audit Schedule (Ref:KFS/IA/FORM/002)
Audit Checklist (Ref:KFS/IA/FORM/003)
Audit Summary Report Form (Ref:KFS/IA/FORM/004)
Audit Plan Report Form (Ref: KFS/IA/FORM/005)
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
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Appendix 1: NON-CONFORMANCE REPORT
(Ref:KFS/IA/FORM/001)
Department Audited/Department of Detection
ISO 9001:2008 Clause Covered
Auditor/Detector:
Auditor's/Detector's Report:
Name: __________________________________ Signed:
Proposed Corrective Action:
Name: __________________________________ Signed:
No:
Date:
Auditee:
Date:
Date:
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
Review of Corrective Action:
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
Page 9 of 12
Name: __________________________________ Signed:
Quality Management Representative Comments:
Name: __________________________________ Signed:
Internal Audit schedule
(Ref:KFS/IA/FORM/002)
Date:
Date:
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
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Procedure
process
Audit
Scope e.g. ISO 9001 Clause(s)
Audit
No
Date of Auditee
Audit
Auditor Name
HQS Field
Division/Depart
ment /Zone
Requirements
INTERNAL AUDIT CHECKLIST
(Ref:KFS/IA/FORM/003)
Observations/Comments
Results
Quality Management System
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
REF NO: KFS-MP-IQA-04
Page 11 of 12
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR
Issue No:1
INTERNAL QUALITY AUDITS
Revision: 0 Issue Date: 14 JUNE 2010
AUDIT PLAN FORM
(Ref: KFS/IA/FORM/005)
REF NO: KFS-MP-IQA-04
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Secti
on No
Titl Div/Dept/
e Pro Cons/Zon e
Audi
t Freq
Annu
al
Biann
ual
Jul
y
Au
g
Se
p
O
ct
No
v
Planned Audit
De Ja Fe
c n b
M
ar
A
pr
Ma
y
Jun
e
PREPARED BY: QUALITY MANAGEMENT REPRESENTATIVE APPROVED BY: DIRECTOR