Mts-Iac-21-0035 (Peqp)

GUIDE
Instruction
1 Audit checklist is classified according to the type of auditee.
AUDIT CHECKLIST AUDITEE NO. OF PAGES NO. OF ITEMS

Top Management Top Management, Division / Department Heads 2 9
Administration All Sections under Administration Division 5 20
Engineering All Sections under Engineering 7 30
IQA Quality Management Section 2 7
2 Audit checklist shall be distributed by Quality Management Section to respective process owner(s) prior internal audit.
3 Auditee shall provide Audit Evidence and make a self evaluation of compliance to the requirements under the Auditee's
Column.
AUDITEE'S COLUMN
EVALUATION For Self Evaluation, rate accordingly.
AUDIT EVIDENCE ① Not complied
SELF
② Partially complied
③ Fully complied
4 Auditee shall submit accomplished audit checklist to Quality Management Section.

5 Quality Management Section shall distribute audit checklist to respective auditor(s) in-charge.
6 Internal auditor shall review audit checklist to prepare for actual audit.
7 Conduct internal audit.
8 Internal auditor shall write down audit findings under Internal Auditor's column and evaluate compliance of auditee.
INTERNAL AUDITOR'S COLUMN

EVALUATION
AUDIT ① Nonconformity
AUDIT RESULT FINDING
AUDITOR
② Needs improvement
③ Conformity
4 5 6 7
9 Audit findings are classified as compliant, observation, minor NC and major NC. See definition below.
10 Internal auditor shall summarize audit findings in SUMMARY tab.
11 Internal auditor shall provide Analysis and Evaluation of the audit result.
12 Internal auditor shall submit finalized audit checklist to Quality Management Section.
13 Quality Management Section shall retain the audit checklist.
Page 1 of 12
GUIDE
Reference: ISO 9001:2015 International Standard
Quality management systems Requirements
CLAUSE 1 - SCOPE
CLAUSE 2 - NORMATIVE REFERENCES
CLAUSE 3 - TERMS AND DEFINITIONS
CLAUSE 4 - CONTEXT OF THE ORGANIZATION

4.1 Understanding the organization and its context
4.2 Understanding the needs and expectations of interested parties
4.3 Determining the scope of the quality management system
4.4 Quality management system and its processes
CLAUSE 5 - LEADERSHIP
5.1 Leadership and commitment
5.1.1 General
5.1.2 Customer focus
5.2 Quality policy
5.2.1 Establishing the quality policy
5.2.2 Communicating the quality policy
5.3 Organizational roles, responsibilities and authorities
CLAUSE 6 - PLANNING
6.1 Actions to address risks and opportunities
6.2 Quality objectives and planning to achieve them
6.3 Planning of changes
CLAUSE 7 - SUPPORT
7.1 Resources
7.1.1 General
7.1.2 People
7.1.3 Infrastructure
7.1.4 Environment for the operation of processes
7.1.5 Monitoring and measuring resources
7.1.6 Organizational knowledge
7.2 Competence
7.3 Awareness
7.4 Communication
7.5 Documented information
Page 2 of 12
GUIDE
7.5.1 General
7.5.2 Creating and updating
7.5.3 Control of documented information
CLAUSE 8 - OPERATION
8.1 Operational planning and control
8.2 Requirements for products and services
8.2.1 Customer communication
8.2.2 Determining the requirements for products and services
8.2.3 Revie of the requirements for products and services
8.2.4 Changes to requirements for products and services
8.3 Design and development of products and services
8.3.1 General
8.3.2 Design and development planning
8.3.3 Design and development inputs
8.3.4 Design and development controls
8.3.5 Design and development outputs
8.3.6 Design and development changes
8.4 Control of externally provided processes, products and services
8.4.1 General
8.4.2 Type and extent of control
8.4.3 Information for external providers
8.5 Production and service provision
8.5.1 Control of production and service provision
8.5.2 Identification and traceability
8.5.3 Property belonging to customers or external providers
8.5.4 Preservation
8.5.5 Post-delivery activities
8.5.6 Control of changes
8.6 Release of products and services
8.7 Control of nonconforming outputs
CLAUSE 9 - PERFORMANCE EVALUATION

9.1 Monitoring, measurement, analysis and evaluation
9.1.1 General
9.1.2 Customer satisfaction
9.1.3 Analysis and evaluation
9.2 Internal audit
9.3 Management review
9.3.1 General
9.3.2 Management review inputs
9.3.3 Management review outputs
CLAUSE 10 - IMPROVEMENT
10.1 General
Page 3 of 12
GUIDE
10.2 Nonconformity and corrective action
10.3 Continual improvement
Reference: Guidelines for Internal Audit (MHPSTS-IMD-003)
COMPLIANT ①
Audit Findings OBSERVATION ②
MINOR NC ③
MAJOR NC ④
Compliant
a fulfilment of a requirement
Observation
an area of concern
a process, document or activity that is currently conforming but may, if not improved, result to a
nonconformity
Minor NC
a lapse in the content or implementation of procedures or records which could reasonably lead to a
systematic failure or significant deficiency of the system if not corrected
Major NC
a total breakdown of the system
a systematic failure or significant deficiency - either as a single or a combination of a number of similar

incidents - part of the quality management system, or the lack of implementation of such a part,
governed by the ISO 9001:2015 International Standard
Audit Results
AUDIT FINDING ISSUANCE OF CAR MITIGATING ACTION ROOT CAUSE CORRECTIVE ACTION
Compliant No No No No
Observation Yes Yes No No
Minor NC Yes Yes Yes Yes
Major NC Yes Yes Yes Yes
Page 4 of 12
AUDIT CHECKLIST
(Engineering) Control No.: MTS-IAC-21-0035
DIVISON / DEPARTMENT / SECTION PROCESS & PLANT EQUIPMENT ENGINEERING / PLANT EQUIPMENT ENGINEERING AUDITEE(S) JOAN G. CABURIAN
AUDITOR(S) DATE 04-Feb-21 TIME
AUDITEE'S COLUMN INTERNAL AUDITOR'S COLUMN
EVALUATION
# CLAUSE AUDIT QUESTION AUDIT REQUIREMENT AUDIT
AUDIT EVIDENCE AUDIT RESULT
SELF AUDITOR FINDING
Has the Division / Department / Section, to the

extent necessary, maintained documented
DMS is functional.
information to support the operation of its Procedure, work
C-1
4.4 @DMS ③ ③ Process documents and work COMPLIANT

processes and retained documented information instructions, guidelines
instructions are accessible
to have confidence that the processes are being
carried out as planned?
Has theDivision / Department / Section planned

actions to address these risks and opportunities
and how to integrate and implement the actions Actions to address risks
C-2
6.1.2 and opportunities Project History ③

into its quality management system processes
and evaluate the effectiveness of these actions?
Has the Division / Department / Section

developed quality objectives that are consistent
PPEE-IOB-001
C-3
6.2.1 with the quality policy, and are measureable, Quality objectives Annual Action Plan ③ ③ COMPLIANT
AAP
monitored, communicated and updated as
appropriate?
Has the Division / Department / Section:

a) determined the necessary competence of
person(s) doing work under its control that affects
the performance and effectiveness of the quality
management system?
b) ensured that these persons are competent on ITP-20-0001
Skill Map, Competence Matrix,
C-4
7.2 the basis of appropriate education, training or Evidence of competence ③ Training plan for Mr. ADV COMPLIANT
Training Programme
experience? Skill level from 2 to 3
c) ensured where applicable taken actions to
acquire the necessary competence, and evaluate
the effectiveness of the actions taken?
d) retained appropriate documented information
as evidence of competence?
MTS-IFR-032/R6.0/01 September 2020 Page 5 of 12

AUDIT CHECKLIST
Has the Division / Department / Section ensured

The auditee was able to identify
that the persons doing work under the division's
C-5
7.3 Awareness ③ ③ the priorities or objectives of the COMPLIANT

control are aware of the quality policy and
QMS of their organization.
relevant quality objectives?
When creating and updating documented

information, has the Division / Department /
Section ensured that the documented information Appropriate Controlled documents in DMS are
C-6
7.5.2 has an appropriate identification, description, identification, description Records ③ ③ COMPLIANT

and format appropriatley identified.
format
and has been reviewed and approved for
suitability and adequacy?

that the documented information required by the
quality management system and by the ISO DMS is functional.
9001:2015 International Standard is controlled to Control of documented Masterlist DMS has a built-in system to
C-7
7.5.3 information ③ ③ COMPLIANT

ensure that is available and suitable for use, control and restrict the improper
where and when it is needed and that it is use of QMS documents.
adequately protected (from loss of confidentiality,
improper use, or loss of integrity)?
Has the Division / Department / Section, in order

to control documented information, addressed:
a) its distribution, access, retrieval and use?
DMS is functional.
b) its storage and preservation, including Control of documented
C-8
7.5.3 information Masterlist ③ ③ COMPLIANT

Documents are accessible
preservation of legibility?
c) its control of changes (e.g. version control)?
d) its retention and disposition?

determined documented information of external Control of documented Masterlist is provided for
C-9
7.5.3 origin necessary for the planning and operation of information of external Masterlist of external documents ③ ③ procedures and work instructions COMPLIANT
the quality management system be identified as origin from cutomer.
appropriate, and be controlled?

AUDIT CHECKLIST
Has the Division / Department / Section planned,

implemented and controlled processes needed to PEQP-IPA-0001~0005
C-10
8.1 meet the requirements for the provision of Operational planning and
control Process analysis ③ ③ Process analysis diagram for Plant COMPLIANT
products and services and implemented the Engineering
actions to address risks and opportunities?

conducted a review before committing to supply
products and services to a customer that includes:
a) requirements specified by the customer,
including the requirements for delivery and post
delivery activities?
b) requirements not stated by the customer, but Review of the Review of Work order sheet for
C-11
8.2.3 requirements for Work order sheet ③ ③ COMPLIANT

necessary for the specified or intended use, when products and services PEQP-IPHRGPFUFP-19-0002
known?
c) requirements specified by the organization?
d) statutory and regulatory requirements
applicable to the products and services?
e) contract or order requirements differing from
those previously expressed?
Has the Division / Department / Section retained

documented information as applicable on the Review of the Review of Work order sheet for
C-12
8.2.3 requirements for Project History ③ ③ COMPLIANT

results of the review and on any new products and services PEQP-IPHRGPFUFP-19-0002
requirements for the products and services?

that relevant documented information is
amended, and that relevant persons are made Changes to requirements
C-13
8.2.4 Project History ③ ③ IPH-IGPFUFP_FD-MY-V-0005 COMPLIANT

aware of the changed requirements, when the for products and services
requirements for products and services are
changed?

established, implemented and maintained a
C-14
8.3 design and development process that is Design and development N/A
appropriate to ensure the subsequent provision
of products and services?

AUDIT CHECKLIST

implemented production and service provision
under controlled conditions that includes:
a) the availability of information that define the
characteristics of the products to be produced,
services to be provided, or the activities to be
Progress Monitoring for
performed and the results to be achieved?
C-15
Control of production
8.5.1 and service provision Progress monitoring ③ ③ PREFEED(IPHR-DRAX-20-0001) COMPLIANT
b) the implementation of monitoring and
a Special Task Project
measurement activities at appropriate stages to
verify that criteria for control of processes or
outputs, and acceptance criteria for products and
services, have been met?
c) the implementation of actions to prevent
human error?
Has the Division / Department / Section identify

Progress Monitoring for
the status of outputs with respect to monitoring
C-16
8.5.2 Monitoring Progress monitoring ③ ③ PREFEED(IPHR-DRAX-20-0001) COMPLIANT

and measurement requirements throughout the
a Special Task Project
production and service provision?

controlled the unique identification of the outputs Each controlled document is
C-17
8.5.2 when traceability is a requirement, and retained Traceability Masterlist, Document control number ③ ③ unique and can readily be COMPLIANT
the documented information necessary to enable accessed.
traceability?
Has the Division / Department / Section exercised

care with property belonging to customer or Property belonging to Documents of external origin are
C-18
8.5.3 external providers while it is under the customer or external Masterlist of external documents ③ ③ stored in server exclusive for the COMPLIANT
organization’s control or being used by the providers organization's members only.
organization?
Has the Division / Department / Section preserved

the outputs during production and service
C-19
8.5.4 Preservation Masterlist ③

provision to the extent necessary to ensure
conformity to requirements?

AUDIT CHECKLIST
In determining the extent of post-delivery

activities that are required, has the Division /
Department / Section considered statutory and
PEQP-ISS-20-0001
C-20
8.5.5 regulatory requirements, the potential undesired Post-delivery activities CSS ③ ③ COMPLIANT
Customer Satisfaction Survey
consequences associated with its products and
services, customer requirements and customer
feedback?

documented information describing the results of
C-21
8.5.6 the review of changes, the person(s) authorizing Control of changes E-mail, Project History ③
the change, and any necessary actions arising
from the review?
Has the Division / Department / Section ensure

that the release of products and services to the
customer not proceed until the planned
C-22
8.6 Checking Checklist ③

arrangements have been satisfactorily completed,
unless otherwise approved by a relevant authority
and as applicable, by the customer?

documented information on the release of
Authority to release product and
products and services which includes evidence of Release of products and
C-23
8.6 services services (Memo c/o Sir Jaime), Project ③

conformity with the acceptance criteria and
History
traceability to the person(s) authorizing the
release?

that outputs that do not conform to their
requirements are identified and controlled to
C-24
Control of
8.7 PECARS ③ PEQP-IPC-21-0001~0005 COMPLIANT
prevent their unintended use or delivery and nonconforming outputs
conformity to the requirements are verified when
nonconforming outputs are corrected?

AUDIT CHECKLIST

determined what needs to be monitored and
measured, the methods for monitoring,
Monitoring,
9.1.1, 9.1.3 measurement, anaysis and evaluation needed to measurement, analysis Annual Action Plan Annual Action Plan
C-25
③ ③ COMPLIANT
ensure valid results, when the monitoring and and evaluation PPEE-IMR-20-0001
measuring shall be performed and when the
results from monitoring and measurement are
analyzed and evaluated?

monitored customers' perceptions of the degree
to which their needs and expectations are being Monitoring and review of Annual Action Plan Annual Action Plan
C-26
9.1.2 ③ ③ COMPLIANT
fulfilled and determining the methods for customer satisfaction PPEE-IMR-20-0001
obtaining, monitoring and reviewing this
information?
Has the Division / Department / Section planned

and carried out taking into consideration:
a) the status of actions from previous
management reviews?
b) changes in external and internal issues that are
relevant to the quality management system?
C-27
9.3.2 Management review c/o Sir Jaime ③ ③ PPEE-IMR-20-0001 COMPLIANT

c) information on the performance and
effectiveness of the quality management system?
d) the adequacy of resources?
e) the effectiveness of actions taken to address
risks and opportunities?
f) opportunities for improvement?

C-28
9.3.3 documented information as evidence of the Results ofreview

management
MOM of MR ③ ③ PPEE-IMR-20-0001 COMPLIANT
results of the management review?

AUDIT CHECKLIST
When a nonconformity occurs, including any

arising complaints, has the Division /
Department / Section reacted to the
nonconformity as applicable and taken action to
control and correct it and also deal with the
C-29
Nonconformity and
10.2.1 consequences, evaluated the needs for action to corrective action CAR ③ ③ PEQP-IPC-21-0001~0005 COMPLIANT
eliminate the cause(s) of the nonconformity,
implemented any action needed, reviewed the
effectiveness of any corrective action taken and
made changes to the quality management
system, if necessary?

documented information as evidence of the
C-30
10.2.2 nature of the nonconformities and any Corrective action report CAR ③ ③ PEQP-IPC-21-0001~0005 COMPLIANT
subsequent actions taken and the results of any
corrective action?
FREE NOTES
Only concern is regarding the special task projects (PPEE-IGU-005).
*The guideline supersedes the functional procedures [PPEE-IGU-005 Sec.2.0]
-a guideline cannot supersede a functional procedure see figure below
*Special tasks are exempted from internal checking [PPEE-IGU-005 Sec.5.2]
-according to the auditee, checking was performed but no standard checksheet
format was used because of the broad scope of outputs of special tasks projects
Source: 10000-IQM-001 [Sec 7.5]

NOTE: Clauses not included in this checklist may be covered during the actual audit depending on the audit trail / audit plan. This audit checklist only serves as a guide for internal auditors.

AUDIT CHECKLIST Control No.: MTS-IAC-21-0035
ENGINEERING
DIVISION / DEPARTMENT / SECTION PROCESS & PLANT EQUIPMENT ENGINEERING / PLANT EQUIPMENT ENGINEERING
PREPARED BY: DATE 04-Feb-21 TIME
SUMMARY OF AUDIT FINDINGS
ISO CLASSIFICATION OF AUDIT FINDINGS GRAPHICAL REPRESENTATION OF AUDIT FINDINGS
9001:2015 NO. OF
CLAUSE NO. ITEMS Compliant Observation Minor NC Major NC
4 1 1
6 2
7 6
8 15
9 4
10 2
TOTAL 30 0 0 0 0
ANALYSIS AND EVALUATION:
0
AUDIT 0
FINDINGS 4 6 7 8 9 10
Page 12 of 12

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GUIDE

1 Audit checklist is classified according to the type of auditee.

AUDIT CHECKLIST AUDITEE NO. OF PAGES NO. OF ITEMS

4 Auditee shall submit accomplished audit checklist to Quality Management Section.

INTERNAL AUDITOR'S COLUMN

Reference: ISO 9001:2015 International Standard

Quality management systems Requirements

CLAUSE 2 - NORMATIVE REFERENCES

CLAUSE 3 - TERMS AND DEFINITIONS

CLAUSE 4 - CONTEXT OF THE ORGANIZATION

CLAUSE 9 - PERFORMANCE EVALUATION

Reference: Guidelines for Internal Audit (MHPSTS-IMD-003)

Audit Findings OBSERVATION ②

a systematic failure or significant deficiency - either as a single or a combination of a number of similar

Has the Division / Department / Section, to the

4.4 @DMS ③ ③ Process documents and work COMPLIANT

Has theDivision / Department / Section planned

6.1.2 and opportunities Project History ③

Has the Division / Department / Section

Has the Division / Department / Section:

MTS-IFR-032/R6.0/01 September 2020 Page 5 of 12

Has the Division / Department / Section ensured

7.3 Awareness ③ ③ the priorities or objectives of the COMPLIANT

When creating and updating documented

7.5.2 has an appropriate identification, description, identification, description Records ③ ③ COMPLIANT

Has the Division / Department / Section ensured

7.5.3 information ③ ③ COMPLIANT

Has the Division / Department / Section, in order

7.5.3 information Masterlist ③ ③ COMPLIANT

Has the Division / Department / Section

MTS-IFR-032/R6.0/01 September 2020 Page 6 of 12

Has the Division / Department / Section planned,

Has the Division / Department / Section

8.2.3 requirements for Work order sheet ③ ③ COMPLIANT

Has the Division / Department / Section retained

8.2.3 requirements for Project History ③ ③ COMPLIANT

Has the Division / Department / Section ensured

8.2.4 Project History ③ ③ IPH-IGPFUFP_FD-MY-V-0005 COMPLIANT

Has the Division / Department / Section

MTS-IFR-032/R6.0/01 September 2020 Page 7 of 12

Has the Division / Department / Section

Has the Division / Department / Section identify

8.5.2 Monitoring Progress monitoring ③ ③ PREFEED(IPHR-DRAX-20-0001) COMPLIANT

Has the Division / Department / Section

Has the Division / Department / Section exercised

Has the Division / Department / Section preserved

8.5.4 Preservation Masterlist ③

MTS-IFR-032/R6.0/01 September 2020 Page 8 of 12

In determining the extent of post-delivery

Has the Division / Department / Section retained

Has the Division / Department / Section ensure

8.6 Checking Checklist ③

Has the Division / Department / Section retained

8.6 services services (Memo c/o Sir Jaime), Project ③

Has the Division / Department / Section ensured

MTS-IFR-032/R6.0/01 September 2020 Page 9 of 12

Has the Division / Department / Section

Has the Division / Department / Section

Has the Division / Department / Section planned

9.3.2 Management review c/o Sir Jaime ③ ③ PPEE-IMR-20-0001 COMPLIANT

Has the Division / Department / Section retained

9.3.3 documented information as evidence of the Results ofreview