Quality Assurance Framework - Internal Audit Program
Qaremy Construction - NSW Solar Farm Project
Document Control
- Document No: QAR-QAF-001
- Revision: A
- Date: October 2025
1. Purpose
This document establishes the internal audit program for the NSW Solar Farm project to systematically verify that quality management system processes are implemented effectively and comply with project requirements.
2. Objectives
The internal audit program aims to:
- Verify compliance with the Quality Management Plan and procedures
- Assess effectiveness of quality processes and controls
- Identify opportunities for improvement
- Verify corrective actions from previous audits are implemented
- Ensure conformance with contractual quality requirements
- Provide assurance to management and client
3. Audit Principles
All audits shall be conducted according to these principles:
| Principle | Description |
|---|---|
| Independence | Auditors independent from the area being audited |
| Evidence-Based | Conclusions based on verifiable evidence |
| Systematic | Structured and consistent approach |
| Objective | Impartial and fair assessment |
| Documented | All findings recorded and reported |
| Constructive | Focus on improvement, not blame |
4. Audit Types
4.1 Scheduled Internal Audits
Frequency: Monthly during construction phase
Scope: Systematic review of quality processes, typically covering:
- Document control and records management
- Inspection and test plan implementation
- Material receiving and verification
- Non-conformance management
- Training and competency
- Subcontractor quality performance
4.2 Ad-Hoc Audits
Triggered by:
- Significant non-conformance or recurring issues
- Client request or concern
- Change in key personnel or subcontractors
- Introduction of new processes or procedures
- External audit findings requiring verification
4.3 Pre-Activity Audits
Conducted before critical activities commence:
- Mobilization audit (QMS implementation readiness)
- Pre-commissioning audit (readiness for energization)
- Pre-handover audit (completeness of documentation)
5. Audit Schedule
5.1 Annual Audit Plan
| Month | Audit Focus Areas | Audit Type |
|---|---|---|
| Month 1 | Mobilization & QMS implementation | Pre-Activity |
| Month 2 | Civil works ITP compliance, Material receiving | Scheduled |
| Month 3 | Mechanical installation, Torque control | Scheduled |
| Month 4 | Electrical installation, Testing procedures | Scheduled |
| Month 5 | Document control, Records management | Scheduled |
| Month 6 | NCR management, Corrective actions | Scheduled |
| Month 7 | Subcontractor quality performance | Scheduled |
| Month 8 | Training and competency records | Scheduled |
| Month 9 | Testing & commissioning readiness | Pre-Activity |
| Month 10 | Electrical testing, Safety compliance | Scheduled |
| Month 11 | Pre-handover documentation completeness | Pre-Activity |
| Month 12 | Overall QMS effectiveness, Lessons learned | Scheduled |
Note: Schedule may be adjusted based on project progress and priorities.
6. Audit Process
6.1 Audit Planning (1 Week Before Audit)
Step 1: Define Audit Scope
- Determine processes, areas, or activities to be audited
- Identify applicable standards, specifications, and procedures
- Review previous audit findings and NCRs in the area
Step 2: Select Audit Team
- Lead Auditor (typically QA Manager or delegate)
- Auditor(s) as required
- Technical specialist (if required for specific disciplines)
- Independence Rule: Auditors must be independent from the area being audited
Step 3: Prepare Audit Plan
Audit plan includes:
- Audit reference number: QAR-AUDIT-[Year]-[Number]
- Audit date and time
- Audit scope and objectives
- Areas/processes to be audited
- Audit team members
- Auditees (personnel to be interviewed)
- Reference documents and standards
- Audit checklist (see Section 7)
Step 4: Notify Auditees
- Distribute audit plan minimum 7 days before audit
- Confirm attendance of key personnel
- Request relevant records be made available
6.2 Opening Meeting (15 minutes)
Conducted at start of audit:
- Introduction of audit team
- Confirm audit scope and objectives
- Explain audit process and timeframe
- Request cooperation and access to records
- Confirm closing meeting time
6.3 Audit Execution (2-4 hours typically)
Evidence Gathering Methods:
Document Review
- Procedures and work instructions
- Quality records (ITPs, test certificates, NCRs)
- Material certificates
- Training records
- Previous audit reports
Interviews
- QC Inspectors, Site Engineers, Superintendents
- Subcontractor representatives
- Document Controller
- Ask open-ended questions to understand processes
Physical Verification
- Site inspections to verify work against records
- Check material storage and identification
- Verify equipment calibration status
- Observe work in progress
Audit Trail:
- Follow a sample of work from start to completion
- Example: Select a completed tracker row
- Check foundation records (civil ITP)
- Check mechanical installation records (torque logs)
- Check electrical connection records (string tests)
- Verify all records are complete and approved
Recording Findings:
- Take notes during audit
- Record evidence (document references, photos, interview notes)
- Classify findings (see Section 6.4)
6.4 Audit Findings Classification
Observation (OBS)
- Positive practice worth noting
- Minor procedural variation with no impact
- Opportunity for improvement
- Action: Note for improvement, no formal response required
Non-Conformance (NC)
- Clear deviation from procedure, standard, or requirement
- Missing or inadequate quality records
- Repeated observations indicating systemic issue
- Action: Formal corrective action required
Severity:
- Major NC: Significant compliance issue, absence of required process, or systemic failure
- Minor NC: Isolated procedural deviation or incomplete implementation
6.5 Closing Meeting (30 minutes)
Conducted at end of audit:
- Present audit findings (observations and non-conformances)
- Discuss evidence supporting each finding
- Allow auditee to respond or clarify
- Agree on corrective action timeframes
- Confirm date for audit report distribution
6.6 Audit Reporting (Within 3 Days)
Audit Report Contents:
Executive Summary
- Audit date and team
- Scope and objectives
- Overall assessment (satisfactory/needs improvement)
Audit Findings
- Positive observations
- Non-conformances (major and minor)
- Each finding with:
- Description
- Evidence
- Reference to requirement
- Classification
Conclusions
- Overall QMS effectiveness in audited areas
- Trends or systemic issues identified
- Strengths noted
Recommendations
- Suggested improvements
- Areas requiring management attention
Appendices
- Audit plan
- Audit checklist
- Supporting photos or documents
Report Distribution:
- QA Manager
- Project Manager
- Construction Manager
- Auditees (relevant supervisors/managers)
- Client (if contractually required)
6.7 Corrective Action (Within 30 Days)
For Each Non-Conformance:
- Auditee proposes corrective action
- Submit corrective action plan to QA Manager within 7 days
- Implement corrective action
- Provide evidence of implementation
- QA Manager verifies implementation
- Close audit finding
Target Closure:
- Major NC: 14 days
- Minor NC: 30 days
6.8 Follow-Up Audit
If major non-conformances identified or corrective actions are extensive:
- Conduct follow-up audit within 30-60 days
- Verify corrective actions are implemented and effective
- Check for recurrence of issues
7. Audit Checklists
7.1 Generic Audit Checklist Template
| No. | Requirement | Evidence to Check | Compliant? | Comments |
|---|---|---|---|---|
| 1 | ☐ Yes ☐ No ☐ N/A | |||
| 2 | ☐ Yes ☐ No ☐ N/A |
7.2 Sample Checklist: Material Receiving Process
| No. | Audit Question | Reference | Evidence | Y/N/NA | Finding |
|---|---|---|---|---|---|
| 1 | Is QAR-QCP-001 (Material Receiving Procedure) available and current revision in use? | QCP-001 | Check document control system | ||
| 2 | Are QC Inspectors trained on material receiving procedure? | Training records | Review training register | ||
| 3 | Are Material Receiving Inspection Reports (Form QF-001) being completed for deliveries? | Form QF-001 | Review last 5 deliveries | ||
| 4 | Are material certificates received and verified before acceptance? | Material certs | Check certificates for recent deliveries | ||
| 5 | Are non-conforming materials identified and segregated? | NCRs, site inspection | Check for quarantine areas | ||
| 6 | Are materials stored per procedure requirements? | QCP-001, site inspection | Inspect storage areas | ||
| 7 | Is material traceability maintained? | Material register | Check serial numbers/batch records | ||
| 8 | Are rejected materials returned to supplier in timely manner? | NCRs, delivery records | Review rejected material records |
7.3 Sample Checklist: ITP Compliance
| No. | Audit Question | Reference | Evidence | Y/N/NA | Finding |
|---|---|---|---|---|---|
| 1 | Are approved ITPs available at point of use? | ITPs | Check site office and with QC Inspectors | ||
| 2 | Are ITPs being followed (correct inspection points being checked)? | ITP records | Review completed inspection records | ||
| 3 | Are Hold Points being respected (work stopped until approval)? | ITP records | Check timestamps and approvals | ||
| 4 | Are required inspection parties present for Hold/Witness points? | ITP records | Check signatures on forms | ||
| 5 | Are inspection records completed legibly and fully? | ITP records | Review sample of records | ||
| 6 | Are inspection records signed and dated by inspector? | ITP records | Check for signatures | ||
| 7 | Are non-conformances identified during inspections being documented? | NCRs | Cross-check failed inspections vs NCRs | ||
| 8 | Are ITP records submitted to Document Controller within 24 hours? | Filing system | Check submission timestamps |
7.4 Sample Checklist: Non-Conformance Management
| No. | Audit Question | Reference | Evidence | Y/N/NA | Finding |
|---|---|---|---|---|---|
| 1 | Are non-conformances being identified and documented? | NCR register | Review NCR register | ||
| 2 | Are NCRs raised in timely manner (within 24 hours)? | NCRs | Check dates on NCRs | ||
| 3 | Are root cause analyses being conducted for major NCRs? | NCRs | Review Section D of NCR forms | ||
| 4 | Are corrective actions approved before implementation? | NCRs | Check approval signatures | ||
| 5 | Are corrective actions verified after implementation? | NCRs | Check Section F of NCR forms | ||
| 6 | Are preventive actions identified and implemented? | NCRs | Review Section G of NCR forms | ||
| 7 | Are NCRs being closed within target timeframes? | NCR register | Check "days open" in register | ||
| 8 | Is NCR trend analysis being performed? | Monthly reports | Review QA Manager's reports |
8. Auditor Qualifications
8.1 Lead Auditor
Minimum Qualifications:
- Formal audit training (ISO 9001 internal auditor course or equivalent)
- Minimum 3 years quality management experience
- Understanding of project standards and specifications
- Strong communication and interview skills
- Ability to remain objective and independent
QA Manager is the primary Lead Auditor for this project.
8.2 Auditors
Minimum Qualifications:
- Technical knowledge of area being audited
- Understanding of quality management principles
- Training in audit techniques (may be on-the-job)
- Independence from area being audited
Potential Auditors:
- Lead QC Inspectors (for areas outside their discipline)
- Site Engineers (for subcontractor audits)
- External quality consultants (if required)
9. Audit Records
9.1 Audit File Contents
Each audit shall have a file containing:
- Audit plan
- Audit checklists (completed)
- Interview notes
- Photos or evidence documents
- Audit report
- Corrective action plans and responses
- Evidence of corrective action closure
9.2 Audit Register
QA Manager maintains Audit Register tracking:
- Audit number and date
- Audit type and scope
- Auditors
- Number of findings (major NC, minor NC, observations)
- Status (report issued, corrective actions in progress, closed)
- Date closed
10. Management Review
10.1 Quarterly Management Review Meeting
Attendees:
- Project Manager
- QA Manager
- Construction Manager
- Discipline Superintendents
- Client representative (if required)
Agenda:
- Review audit results and trends
- Review NCR statistics and trends
- Quality KPI performance vs targets
- Resource adequacy for quality activities
- Effectiveness of QMS
- Client feedback
- Opportunities for improvement
- Action items from previous review
Output:
- Management review minutes
- Action items with responsibilities and due dates
- Decisions on QMS changes or improvements
11. Continuous Improvement
Audit findings and management reviews drive continuous improvement:
- Identify systemic issues requiring procedure updates
- Enhance training programs based on recurring findings
- Adjust inspection frequency based on performance trends
- Recognize and share good practices
- Update QMS documentation to reflect lessons learned
12. References
- AS/NZS ISO 9001:2016 - Quality Management Systems (Clause 9.2: Internal Audit)
- AS/NZS ISO 19011:2019 - Guidelines for auditing management systems
- QAR-QMP-001 - Quality Management Plan
- All project ITPs and QC procedures
13. Appendices
- Appendix A: Audit Plan Template
- Appendix B: Audit Report Template
- Appendix C: Audit Checklist Library
- Appendix D: Auditor Training Requirements
- Appendix E: Audit Register Template
14. Revision History
| Revision | Date | Description | Prepared By | Approved By |
|---|---|---|---|---|
| A | Oct 2025 | Initial Issue | QA Manager | Project Manager |
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