INTEGRATED PROCEDURE DOC. NO.

IP-04
CWT CONTAINER LOGISTICS SDN. BHD. REVISION 0
TITLE: INTERNAL AUDIT PAGE 1 OF 6

REVISION HISTORY

Rev. Detail of Revision Date

00 Initial Release 2/5/2023

APPROVALS

PREPARED BY REVIEWED & APPROVED BY

Signature : Signature :

Name SHETHURAJ S/O APPASAMY Name KARTHIKAN A/L KESAVAN

Designation ASSISTANT MANAGER Designation SENIOR MANAGER

Date 2/5/2023 Date 2/5/2023

INTEGRATED PROCEDURE DOC. NO. IP-04
CWT CONTAINER LOGISTICS SDN. BHD. REVISION 0
TITLE: INTERNAL AUDIT PAGE 2 OF 6

1.0 PURPOSE
To ensure the Integrated Management System (IMS) is effectively implemented.

2.0 SCOPE
This procedure covers internal audit carried out at all functions.

3.0 REFERENCE
Integrated Manual IM-01
Management Review IP-03
Corrective Action IP-07

4.0 DEFINITION /ABBREVIATION

MR - Management Representative
SM - Senior Manager
CAR - Corrective Action Report

5.0 RECORD
Yearly Audit Schedule, IP-04/F01
Audit Plan, IP-04/F02
Audit Check List IP-04/F03
Audit Report, IP-04/F04
INTEGRATED PROCEDURE DOC. NO. IP-04
CWT CONTAINER LOGISTICS SDN. BHD. REVISION 0
TITLE: INTERNAL AUDIT PAGE 3 OF 6

6.0 PROCEDURE OUTLINE

Responsibility Activity Interface

MR Prepare Internal Audit Yearly Audit

Yearly Schedule Schedule

Appoint auditor & prepare

Audit Plan Memo/Audit Plan
MR

Prepare Audit Checklist

Auditor Audit Checklist

Auditor Auditing Audit Checklist

Auditor Prepare Audit Report & Audit Report/

CAR CAR

Review Audit Report & Audit Report /

MR
CAR CAR

Investigate root cause and Audit Report /

determine CAR
correction/corrective action
INTEGRATED PROCEDURE DOC. NO. IP-04
CWT CONTAINER LOGISTICS SDN. BHD. REVISION 0
TITLE: INTERNAL AUDIT PAGE 4 OF 6

Responsible person

Responsible person Implement

correction/corrective action

Verify effectiveness of
Audit Report/
Auditor corrective action
CAR

No
Effective?

Yes
Management Review
MR Closed the CAR
Procedure

Compile and submit to

MR Management Review

7.0 PROCEDURE DETAILS

7.1 Audit Planning
7.1.1 All activities within the scope of the Integrated Management System is
subjected to an audit frequency of once a year, based on the Yearly Audit
Schedule prepared and maintained by the MR.
7.1.2 The Yearly Audit Schedule is prepared as based on the status and
importance of the area/functions to be audited as well as the results of
previous audits.
7.1.3 Before the audit, MR shall assign Auditor to audit the areas/functions
concerned & prepared the Audit Plan.
7.1.4 MR shall ensure all the auditors are trained (have gone through Awareness
Training and Internal Audit Course) and independent of the area/functions
INTEGRATED PROCEDURE DOC. NO. IP-04
CWT CONTAINER LOGISTICS SDN. BHD. REVISION 0
TITLE: INTERNAL AUDIT PAGE 5 OF 6

to be audited. If possible, preferably the selected internal auditors have

some practical auditing experiences.
7.1.5 The Audit Plan shall be communicated to auditors and all department head
or respective personnel in advance prior to the audit.

7.2 Auditing & Reporting

7.2.1 The Auditors shall prepare Audit Checklist on the area/functions to be
audited.
7.2.2 On the day of audit, the Auditors shall conduct an opening meeting (if
required) to explain the audit scope & the audit schedule to the auditees.
7.2.3 The Auditors shall carry out the audit by interviewing the relevant people,
examine the records and check against the documents and ISO 9001,
ISO14001 & ISO 45001 standard. Sampling methodology should be used
to capture objective evidence.
7.2.4 The auditors shall take notes of all observations or findings during the audit
process and record in Audit Checklist.
7.2.5 Where nonconformity is detected during the audit, the auditor shall raise
Corrective Action Request (CAR) after discussion and clarification with
the auditee and prepare the Audit Report.
7.2.6 The auditor may issue an observation note on any observed minor non-
compliance after discussion and clarification with the auditee.
7.2.7 MR shall review the Audit Report and CAR before passing to the
responsible person for corrective action.
7.2.8 MR shall determine dateline to reply the CAR.
7.2.9 The responsible person shall investigate the root cause of the
nonconformities and determine correction and corrective action to prevent
recurrence.
7.2.10 The responsible person shall implement the corrective action taken as well
as CAR.
7.2.11 Where any corrective action leads to the update/changes of Integrated
Management System, it shall be carried out according to the Control of
Document procedure, IP-01
INTEGRATED PROCEDURE DOC. NO. IP-04
CWT CONTAINER LOGISTICS SDN. BHD. REVISION 0
TITLE: INTERNAL AUDIT PAGE 6 OF 6

7.3 Verification
7.3.1 MR/Auditor shall verify the effectiveness of the corrective action and
record the result in CAR.
7.3.2 The auditor shall close the CAR if the correction/corrective action is
effective or satisfactory. Otherwise, the Auditor shall carry out for the 2 nd
review within the agreed dated.
7.3.3 The auditor shall raise another CAR & Audit Report if the result of the 2 nd
review is not effective or satisfactory. MR shall address the matter to the
SM and seek resolution.
7.3.4 MR shall compile the results of the audits and present in the Management
Review Meeting. Refer to Management Review Procedure, IP-03.