internal and external audits - Comisión Nacional de Actividades

SAO-PAS-PR-00003-A
PROCEDURE
INTERNAL AND EXTERNAL
AUDITS
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SAOCOM PROJECT
COMISION NACIONAL DE ACTIVIDADES ESPACIALES
BUENOS AIRES – ARGENTINA
SAOCOM PROJECT
Number
SAO-PAS-PR-00003-A
Title
INTERNAL AND EXTERNAL AUDITS
Summary
This document describes the audit process applied to the contractors
during their activities for the SAOCOM Project.
Secondary Reference
Circulation Level
1
This document is digitally signed
Workflow Summary
Assignee
State
Review
Approve
mpetruccioli
jmedina
Action
Approved
Approved
Completed Date
11-may-2012
11-may-2012
Changes Record
Issue
A
Date
Author
HMartirena
PARA
Description
Creation
Comisión Nacional de Actividades Espaciales (CONAE) from Argentina owns the copyright of this document which is supplied in confidence and which
shall not be used for any purpose other than that for which it is supplied and shall be only reproduced, copied or communicated, in whole or in part, for
internal use of CONAE, directly or by third parties holding confidentiality agreements with CONAE. Any person other than the authorised holder obtaining
possession of this document by finding or otherwise, should send it, together with his name and address, in a sealed envelope to:
Comisión Nacional de Actividades Espaciales (CONAE) – SAOCOM Project
Av. Paseo Colón 751
(C1063ACH) Capital Federal
ARGENTINA
Letter postage need not be prepaid. Other postage will be refunded.
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INTERNAL AND EXTERNAL AUDITS
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INDEX
INDEX ................................................................................................................................................................. 3
1.
OBJECTIVE ............................................................................................................................................... 4
2.
SCOPE ....................................................................................................................................................... 4
3.
APPLICABLE AND REFERENCE DOCUMENTS .................................................................................... 4
3.1.
3.2.
4.
DEFINITIONS AND ABBREVIATIONS ..................................................................................................... 4
4.1.
4.2.
5.
DEFINITIONS .......................................................................................................................................... 4
ABBREVIATIONS AND ACRONYMS ............................................................................................................. 5
DEVELOPMENT ........................................................................................................................................ 5
5.1.
5.2.
5.3.
5.4.
5.5.
5.6.
5.7.
6.
APPLICABLE DOCUMENTS ........................................................................................................................ 4
REFERENCE DOCUMENTS ....................................................................................................................... 4
AUDIT PROGRAM .................................................................................................................................... 5
PREPARATION OF AN AUDIT ..................................................................................................................... 5
CONDUCTION OF AN AUDIT ...................................................................................................................... 6
AUDIT REPORT ....................................................................................................................................... 6
FOLLOW UP OF RESULTS ......................................................................................................................... 7
QUALIFICATION OF AUDITORS .................................................................................................................. 7
AUDITS TO SUB-SUBCONTRACTORS ......................................................................................................... 7
ANNEXES .................................................................................................................................................. 8
6.1.
6.2.
ANNEX A: AUDIT PLAN ............................................................................................................................ 8
ANNEX B: AUDIT REPORT ....................................................................................................................... 9
Comisión Nacional de Actividades Espaciales (CONAE)
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INTERNAL AND EXTERNAL AUDITS
SAO-PAS-PR-00003-A
1. OBJECTIVE
This procedure describes the methodology and responsibilities for managing MPA audit programs
and to perform MPA audits to CONAE-PC and to all subcontractors working for the SAOCOM
Project.
2. SCOPE
This procedure is applicable to CONAE-PC and all CONAE-PC subcontractors working for the
SAOCOM project.
3. APPLICABLE AND REFERENCE DOCUMENTS
3.1.
Applicable documents
ECSS-Q-ST-10C Product Assurance Management.
3.2.
Reference documents
None
4. DEFINITIONS AND ABBREVIATIONS
4.1.
Definitions
audit: systematic, independent and documented process for obtaining audit evidence and
evaluating it objectively to determine the extent to which the audit criteria are fulfilled
(audits are independent examinations to determine whether processes and procedures
achieve the specified objective. They are an essential tool to identify problem areas).
audit criteria: set of policies, procedures, requirements, contracts and agreements. Audit
criteria are used as a reference against which audit evidence is compared.
audit evidence: records, statements of fact or other information, which are relevant to the
audit criteria and verifiable. The audit evidence is based on samples of the available
information; therefore there is an element of uncertainty in auditing.
audit findings: results of the evaluation of the collected audit evidence against audit
criteria.
auditee: organization being audited
auditor: person with the competence to conduct an audit
audit team: one or more auditors conducting an audit , supported if needed by technical
experts.
Comisión Nacional de Actividades Espaciales (CONAE)
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audit programme: set of one or more audits planned for a specific time frame and directed
towards a specific purpose. An audit programme includes all activities necessary for
planning, organizing and conducting the audits.
audit plan: description of the activities and arrangements for an audit.
audit scope: extent and boundaries of an audit.
non conformance: non fulfillment of a requirement. Terms like “failure” or “anomaly” are
considered synonymous to “non conformance”.
corrective action: action taken to eliminate the causes of a detected non conformance or
other undesirable situation
preventive action: actions taken to eliminate the causes of a potential non conformance or
other potential undesirable situation
CONAE-PC: part of the organizational structure of CONAE acting as principal contractor
4.2.
Abbreviations and acronyms
MPA: Mission Product Assurance
SAOCOM PLM SOFTWARE: CONAE-PC´s Document management system
5. DEVELOPMENT
5.1.
Audit program
The MPA Manager shall prepare annually a program of audits to be carried out to:
- all areas of CONAE-PC
- all subcontractors
to verify the implementation and effectiveness of the provisions defined in the MPA plan. All areas
of CONAE-PC and all subcontractors shall be audited at least once per year. However, some
areas or subcontractors could be audited more than once per year considering the results of
previous audits.
In addition to the planned audits, unplanned audits shall be performed under request of the Project
Manager, when necessary to overcome failure, consistent poor quality, or other problems.
The audit program shall be approved by the Project Manager. The MPA Manager is responsible for
communicating the approved audit program to all relevant parties in a timely manner.
The subcontractors shall accept to be audited by CONAE-PC or by a third party agreed between
the CONAE-PC and the subcontractors in the framework of the business agreement.
5.2.
Preparation of an audit
The MPA manager shall nominate the audit team for each audit three weeks in advance of the
planned date. When the audit is not feasible, the MPA manager shall agree a new date with the
auditee.
Comisión Nacional de Actividades Espaciales (CONAE)
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When selecting the auditor, the MPA shall:
- ensure the absence of conflict of interests
- nominate a lead auditor if the team is composed by more than one auditor.
The lead auditor is responsible for the preparation, conduction and reporting of the audit till the
issue of the audit report.
The nominated lead auditor shall notify the auditee in due time of:
-
5.3.
his/her intention to perform an audit;
the objectives and the scope of the audit;
the audit criteria;
the designated audit team;
the audit plan;
Conduction of an audit
The lead auditor ensures the application of conventional good practices during the audit; usually,
there is:
- an opening meeting, where the auditee is informed on the reasons of performing
the audit, the method that will be used and the reporting of the results,
- an assessment of the activities of the auditee, by reviewing documentation
and/or interviewing the auditee´s personnel
- an evaluation of the results to determine the degree of compliance with the
applicable requirements
- a closing meeting to report the results.
The auditee shall provide the audit team access to his facilities and data which are relevant to the
audit.
5.4.
Audit report
Upon completion of the audit the lead auditor shall prepare an Audit Report as per Annex B form.
The report shall include
- reference to findings that showed compliance with applicable requirements
(usually under the shape of a brief summary)
- non conformities (systematic deviations to applicable requirements)
- observations (individual deviations to applicable requirements)
- improvement opportunities (findings that can trigger the implementation of an
improvements in order to prevent future non conformities).
The auditee shall provide an answer to non conformities, observations and improvement
opportunities within 30 days of the reception of the audits report.
-
the disposition of the detected no conformities
the cause analysis, proposed corrective action and deadlines in reference to the
detected non conformities,
an analysis of the observations and improvement opportunities and if action will
be taken on them. If the decision is to take action, the auditee shall be request to
report what action will take and the corresponding deadline.
Comisión Nacional de Actividades Espaciales (CONAE)
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The MPA Manager shall revise and approve the audit report and shall distribute it to recipients
designated by the Project Manager. The audit reports shall be filed in the SAOCOM PLM
SOFTWARE.
In case of a finding classified as a non-conformance, the lead auditor shall open a Non
Conformance Report in the SAOCOM PLM SOFTWARE of the project.
5.5.
Follow up of results
The auditee shall keep the MPA Manager informed of the status of any actions related to the nonconformances by means of the SAOCOM PLM SOFTWARE.
During each audit, the lead audit shall ensure that the results of the previous audits are reviewed in
order to ensure their proper treatment.
5.6.
Qualification of auditors
The MPA Manager shall ensure the auditors have:
- adequate training on auditing management systems
- adequate knowledge of the aspects of the project relevant to the audit to be
performed.
5.7.
Audits to sub-subcontractors
The subcontractors shall perform audits of their own project activities and of the project activities of
his lower tier supplier(s) to verify conformance with project requirements.
Comisión Nacional de Actividades Espaciales (CONAE)
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6. ANNEXES
6.1.
Annex A: Audit Plan
MISION
SAOCOM
AUDIT PLAN
Organization:
Written by :
Sites:
Dates:
Auditors:
Date :
OBJECTIVE:
CRITERIA:
SCOPE:
AGENDA:
Time
Auditor
Topic/Area
Comisión Nacional de Actividades Espaciales (CONAE)
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INTERNAL AND EXTERNAL AUDITS
6.2.
SAO-PAS-PR-00003-A
Annex B: Audit Report
MISION
SAOCOM
AUDIT REPORT
Organization:
Written by :
Sites:
Dates:
Auditors:
Date :
OBJECTIVE:
CRITERIA:
SCOPE:
CONCLUSIONS:
Topic/Area
Findings
Comisión Nacional de Actividades Espaciales (CONAE)
Type
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