A7 Documented Information For Internal Audit

CLAUSE 9.
2 DOCUMENTED INFORMATION FOR INTERNAL AUDITS
DOC NAME CLIENT EFFECTIVE DATE REV REVISION DATE APPROVED BY

PROC/DIIA/01 30/07/23 00 30/73/24 STEWARD SMITH
PROJECT DESCRIPTION SUBSTATION MAINTENANCE AND REPAIRS
1. OBJECTIVE
To give guidance on NEXGENERATION audit policy and maintain a process for the
systematic and periodic review of the production, service, Quality Management
System and legislation regarding implementation, maintenance and effectiveness.
2. SCOPE
This procedure applies to the Quality Management System of NEXGENERATION. It

is applicable to NEXGENERATION as we seek to plan and conduct internal audit of
an quality management system or manage an audit programme. It includes:
2.1 Quality Management system audits

2.2 Process audits
2.3 Legal audits
3. PROCESS OWNER
3.1 Quality Management Representative
4. REFERENCES
ISO 9001:2015, Clause 9.1.2 : Evaluation of Compliance
ISO 19011:2018 : Guidelines for Auditing Management Systems
5. RESPONSIBILITIES AND AUTHORITIES
The following positions have responsibilities and authorities in this process:
 Project Coordinators
 Project Managers
 Auditor
 Quality Management Representative
6. DEFINITIONS AND ABBREVIATIONS
6.1. Audit
Systematic, independent and documented process for obtaining objective evidence and
evaluating it objectively to determine the extent to which the audit criteria are fulfilled.
6.2. Audit Scope
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Extent and boundaries of an audit
6.3. Quality Management System and Process Audit

These audits will check the level of implementation, maintenance and effectiveness
of the Policy, Procedures and Work Instructions. The ISO 9001:2015 Standard, ISO
19011:2018, NEXGENERATION’ Policy, System Procedures and Work Instructions
will be used as checklist and audit criteria.
6.4. Audit Plan

Description of the activities and arrangements for an audit
6.5. Audit Criteria
Set of requirements used as a reference against which objective evidence is compared
6.6. Audit Findings

Results of the evaluation of the collected audit evidence against audit criteria
6.7. Audit Conclusion

Outcome of an audit after consideration of the audit objectives and all audit findings
6.8. Audit Team

One or more persons conducting an audit supported if needed by technical experts
6.9. Auditor
Person who conducts an audit
6.10. Auditee
Organization as a whole or parts thereof being audited
6.11. Management System

Set of interrelated or interacting elements of an organization to establish policies and
objectives, and processes to achieve those objectives
6.12. Conformity
Fulfilment of a requirement
6.13. Nonconformity
Non-fulfilment of a requirement
6.14. Performance
Measurable result
6.15. Effectiveness
Extent to which planned activities are realized and planned results achieved
6.16. Process
Set of interrelated or interacting activities that use inputs to deliver an intended result
6.17. Legal Audits

These audits will check the level of compliance to applicable legislation. The legal
register will be used as a checklist and audit criteria.
7. AUDIT PROCESS
7.1 Refer to the audit process flow diagram below:
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7.2 An annual audit schedule shall be drawn up by the Quality Management
Representative to include the audits as defined in 2 above, in accordance with the
status and/or importance of specific activities. The schedule shall be approved by
the Managing Director.
7.3 Audits shall be conducted to verify the effectiveness of corrective action taken on
previous audits as well as whether activities and results conform to the requirements
of ISO 9001:2015 Standard, ISO 19011:2018, NEXGENERATION’ Procedures, Work
Instructions, specifications or contracts and legislation and that these are effective
and add value to NEXGENERATION’ performance. The audits shall be coordinated
by the Quality Management Representative and performed by an employee or
Consultant who is independent of the responsibilities for the activities being audited,
and who has acquired training and skills in auditing techniques.
7.4 Audit findings shall be recorded and included in a report and discussed by the auditor
with the personnel responsible for the activities audited. The auditor shall direct
nonconformities mentioned in the report to the addressee with a Request for
Improvement report (RFI) Form. The addressee shall reply to the RFI being
discussed within 14 days to ensure timely corrective action on the nonconformities
that were found. The audit report shall be numbered.
7.5 The following subjects shall be discussed in the audit report when and where
relevant:
7.5.1 Nonconformities that were identified.

7.5.2 Effectiveness and efficiency of implemented process.
7.5.3 Identified opportunities for continual improvement.
7.5.4 Process / product performance results and expectations.
7.5.5 Adequacy and accuracy of performance measurement.
7.5.6 Existing improvement activities.
7.5.7 Conformance to quality legislation.
7.6 A summary of findings shall be discussed during the Management Review meetings.
7.7 Follow-up audits to verify the implementation and effectiveness of the corrective
action shall be done. Depending on the seriousness of the matter such a follow-up
may only be done during the following scheduled audit for that activity.
8. RECORDS
DESCRIPTION OF DEPT WHERE RECORDS PERSON TO FILE AND MINIMUM METHOD TO

METHOD OF FILING
RECORD ARE FILED RETRIEVE RECORDS RETENTION DISCARD
Audit Reports Admin Office Quality Management Lever arch file in audit report number 3 Years Recycle
Project /Coordinator’s office Representative sequence.
A back-up will be available on the PC 6 Years Delete
Request for Improvement Admin Office / Quality Management Lever arch file in RFI number 3 Years Recycle
(RFI) Project Coordinator’s office Representative sequence
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A back-up will be available on the PC 6 Years Delete
9. FLOW DIAGRAM – THE AUDIT PROCRESS
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CLAUSE 9.

2 DOCUMENTED INFORMATION FOR INTERNAL AUDITS

DOC NAME CLIENT EFFECTIVE DATE REV REVISION DATE APPROVED BY

PROJECT DESCRIPTION SUBSTATION MAINTENANCE AND REPAIRS

This procedure applies to the Quality Management System of NEXGENERATION. It

2.1 Quality Management system audits

3.1 Quality Management Representative

5. RESPONSIBILITIES AND AUTHORITIES

The following positions have responsibilities and authorities in this process:

6. DEFINITIONS AND ABBREVIATIONS

6.2. Audit Scope

6.3. Quality Management System and Process Audit

6.4. Audit Plan

6.6. Audit Findings

6.7. Audit Conclusion

6.8. Audit Team

6.11. Management System

6.17. Legal Audits

7.1 Refer to the audit process flow diagram below:

7.5.1 Nonconformities that were identified.

DESCRIPTION OF DEPT WHERE RECORDS PERSON TO FILE AND MINIMUM METHOD TO

9. FLOW DIAGRAM – THE AUDIT PROCRESS

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