PUTRAJAYA CONVENTION & EXHIBITION (PUTRAJAYA) SDN. BHD. INTERNAL AUDIT Co-X/QHS/SOP04 Revision No.: 01 Effective Date: 1* June 2016 PREPARED BY REVIEWED BY Note: ILARDHIAH BINT MD BAK Roatearnno Semon PUTAS epi tnitentn vees RECT, 6200, W2,PUTRAYACONTROLLED COPY TITLE INTERNAL AUDIT QUALITY, HEALTH, | DATE 4% JUNE 2016 “SSS | DEPARTMENT | SAFETY & PUTRAJAYA ENVIRONMENT REVISION NOSE 0) RO ENCE | co-xiaHsiSoP04 REVISION HISTORY 7 iti Effective ais orerbton Chree ct 01 | ~ | Initial Release 01/08/16CONTROLLED COPY Te INTERNAL AUDIT ‘QUALITY, HEALTH, DATE 18 JUNE 2016 DEPARTMENT — SAFETY & ENVIRONMENT REVISION NO. | 1.0 REFERENCE No. Co-X/QHS/SOPO4 1.0 20 3.0 4.0 OBJECTIVE ‘The purpose of this procedure is to define an Internal Audit (IA) system to assess the implementation and effectiveness of the Quality, Health, Safety and Environmental (QHSE) Management System in Co-x. Besides, the procedure also defines the responsibilities for planning and conducting audits, reporting results and retaining associated records. SCOPE This procedure applies to all activities and processes within the QHSE in Co-X. RESPONSIBILITIES a) Management Representative (MR) is responsible for: + Planning, coordination, and analyzing the results of the QHSE management system audits. + Establishing and maintaining internal audit schedule. ‘* Presenting the Audit Report in Management Review Meeting (MRM). ‘+ Initiating unscheduled audits. b) The nominated auditors shall be responsible for planning, performing, and reporting the audit. REFERENCE ISO 9001:2015 Clause 9.2 — Internal Audit ISO 14001:2015 Clause 9.2 — Internal Audit OHSAS 18001:2007 Clause 4.5.5 — Intemal Audit PICCIH15-2 Internal AuditCONTROLLED COPY TITLE INTERNAL AUDIT QUALITY, HEALTH, DATE 4% JUNE 2016, pera ae ai REVISIONNO. | 10 REFERENCE |. waHsi60PO8 5.0 PROCEDURE 5.1 Audit Team Selection a) Auditors are nominated after undergoing auditing training and their competency is to be assessed before performing the Internal Audit (IA). As and when necessary, the MR may assign additional IA training to the auditor to improve the effectiveness of the audit exercise. b) To ensure impartiality and objectivity, the audit team will include personnel from departments not directly associated with the area or department being audited. 5.2 Internal Audit Planning and Scheduling a) Internal audit is undertaken at least once annually. Audits may be completed with a greater frequency taking into consideration the status and importance of the processes and areas to be audited, as well as the results of previous audits. b) The MR shall act as the lead auditor and be responsible for planning and nominating auditors, The auditors shall conduct and report the results of the audit in accordance with the requirements of this procedure. c) The MR shall establish an Audit Schedule (Co-X/QHS/SOP04-R01) to ensure that all aspects of the QHSE Management System are audited. Audit frequency may depend on the importance of the processes, areas of audit and results of previous audits but must be conducted at least once annually. d) Unscheduled audits may be added to the schedule as and when appropriate. The MR is responsible to identify such unscheduled audits based on existing performance of the processes. e) The MR shall review the schedule on a regular basis and update it as necessary. Where undesirable trends are evident, the audit schedule may be revised to arrange for an audit of the applicable areas. 5.3 Audit Preparation a) Audit Team is required to review all relevant management system documents and records and determine their adequacy with respect to ISO 9001, ISO 14001 and OHSAS 18001 standards in order to prepare a relevant Internal Audit Checklist (Co-X/QHS/SOP04-R02). Thereafter, the team will arrange for audit appointment with the responsible Head of Department (HOD) b) The auditor shall advise the auditee in advance of the intent to audit. The auditee in most cases shall be the respective HOD, or personnel responsible for executing the processes. ©) The Auditor shall organize for the audit by preparing a checklist of questions on the Internal Audit Checklist. The questions or areas to audit may be based onCONTROLLED COPY TITLE INTERNAL AUDIT ‘QUALITY, HEALTH, DATE IRJUNE 2016; caiadtealteenbiee |b teen REVISION NO. | 1.0 Re ERENCE | co.xiQHS/SOPO4 the requirements of relevant international standards, Co-X general requirements (i.e. procedures) or customer requirements, 5.4 Conducting the Internal Audit a) During the audit, the auditor shall seek evidence of compliance with the requirements of procedures, and such evidence shall be recorded in the Internal Audit Checklist. Compliance checks shall be sought by sampling of records and observation of activity. The results of the sampling and observation shall be recorded on the Internal Audit Checklist b) The auditor shall classify audit findings as follows: * Non Conformance (NC) - Where there is a breakdown in the system caused by non-adherence to procedures or planned arrangements, and where Corrective Action is required. * Observation (O) - When activities have not occurred to review * Area for Improvement (Al) - the basic intent has been met but practice could be improved. * Accepted (A) — complies to the requirements ©) Once non-compliance is identified, the Non-conformance and Corrective Action Report (NCAR) will be raised. The responsible HOD shall ensure the corrective actions are implemented and are closed-out within the agreed time frame, 4) During the review of audit conclusions, the Audit Team Leader and responsible HOD will discuss on the recommendations for improvement and decide if any non-conformance observed should be included in correction reports or solved immediately. 5.5 Audit Reporting a) The lead auditor shall compile findings on all Internal Audit Checklist and prepare a formal audit report (IA Report). The Internal Audit Checklist and any NCAR raised may be listed and / or attached. The results of the audit shall be analyzed to provide an indication of the effectiveness of the QMS. b) Asa quide, the overall effectiveness is determined as a percentage: A effectiveness factor = (1- (NC + O/2VQ) x 100% Q = No of questions raised against the department or process. NC = No of NCAR issued, (a NC constitutes 1 deduction point) O=No of observations, (an O constitutes % deduction point) ©) Distribution of the audit report shall be determined by the MR, but will be presented at the Management Review Meeting (MRM).CONTROLLED COPY TITLE INTERNAL AUDIT QUALITY, HEALTH, DATE 48 JUNE 2016 DEPARTHENT | SAFETY A REVISION WO. [10 REFERENCE |. syoHsisoPoa 5.6 6.0 7.0 d) A benchmark of IA effectiveness factor shall be in accordance to the QHSE objective set and agreed by the management. Should any department's assessment fall below the benchmark, a Corrective Action will be required by the department to rectify any shortcomings. Follow-up Audit a) When audits raise Non-conformance and Corrective Action Request (NCAR), the auditor and / or MR shall follow up the NCAR issuance, to verify that action has been taken and that action is effective to prevent recurrence. b) When the follow-up audit indicate that the nominated actions have been implemented and are effective, the MR shall close out the NCAR as defined in the relevant procedure. ©) In the situation where an action taken is deemed ineffective, the matter shall be investigated to determine root causes again, ot referred to the CEO / COO who shall determine and resolve the issue. Decisions taken on the matter shall be recorded on the NCAR form. A new NCAR shall be raised when necessary. RECORDS © Co-X/QHS/SOPO4-RO1 Audit Schedule (Co-X/QHS/SOP04-R02 Internal Audit Checklist APPENDIX / ATTACHMENT © Process FlowCONTROLLED COPY TITLE INTERNAL AUDIT : i QUALITY, HEALTH, DATE. 4% JUNE 2016 DEPARTMENT | SAFETY & PUTRAJAYA ENVIRONMENT REVISION NO i A0 REFERENCE | co-X/QHS/SOPO4 PROCESS FLOW RESPONSIBILITY INTERFACE = iMR, eed Auto, Audit Planning Audit Schedule Risk Assessment & Planning Register cM sed Audion Form Audit Team > Auditor Prepare Checklist - lA Checklist - Auditor / Auditee - lA Checklist Conducting the audit Issue Audit Report and - Auditor NCAR if necessary ~ lAReport, NCAR Form - Auditor /MR Follow Up on NCAR10 “oN wareinoy LoB-PodOs/SHOMK-09 hq paredaig [= AON | 190 gas | onv avn adv J 934 up ‘empssoig | NOlL93S 20 1a30 (Pug ups 2nu99 vonuanvo3 jouoqous2.y edolening 50 umOUY As0UL104) 31NGSHOs Liany “GH@ ‘NGS (VAVIVuLNd) NOILIGIHX4 8 NOLLN3ANO>Se = CONVENTION & EXHIBITION (PUTRAJAYA) SDN. BHD.. (Formerly known as Putrajaya tnternational Convention Centre Sd. Bhd.) PUTRAJAYA INTERNAL AUDIT CHECKLIST ‘Audit No: ‘Audit Date: ‘Auditor(s): Auditee(s): Department: Scope: RefNo Query Name Date ‘Auditor Finding Type: 0 = Observation, NC= Nonconformance, Al= Area for improvement Co-XIQHS/SOPO4-RO2 Revision No.: Ot