QP-8.2 Internal Audit

Revision D · Effective 2024-12-02

1 Purpose

This procedure defines how Tallgrass Precision Components plans and performs internal audits to verify that the quality management system conforms to AS9100D, ISO 9001:2015, customer requirements and Tallgrass's own procedures, and that it is effectively implemented.

2 Scope

Covers every process in the process map in QM-01, at both the Wichita plant and the Overland Park office, including support processes such as training, calibration, document control and IT records backup.

3 Definitions

• Major finding - the absence or total breakdown of a required process, or a nonconformity that results in, or is likely to result in, nonconforming product reaching a customer. Several minor findings against the same requirement may be graded together as a major.
• Minor finding - a single lapse or partial failure to meet a requirement that does not by itself put product conformity at risk.
• OFI - opportunity for improvement; an observation that is not a nonconformity.
• Internal Audit Report - F-820-01.

4 Responsibilities

• Quality Manager - owns the audit program, prepares the annual schedule, assigns auditors and reports results at management review.
• Lead auditor - plans and conducts the audit, writes the F-820-01 report and verifies corrections.
• Process owner (auditee manager) - provides access and records, responds to findings, and completes corrections and CARs.

5 Procedure

5.1 Annual schedule

The Quality Manager prepares an annual audit schedule that covers every QMS process and every applicable AS9100D clause at least once per calendar year. Processes with poor results (high NCR counts, customer complaints, prior major findings or significant changes) are audited more often. The schedule is approved at the January management review (see QM-01 section 7) and posted on the Quality SharePoint site. Changes during the year are approved by the Quality Manager and noted on the schedule.

5.2 Auditor qualification and independence

Internal auditors must complete an AS9100D internal auditor course and participate in at least one audit as an observer before leading an audit. Qualified auditors are listed on the Quality department training matrix (F-620-01, see QP-6.2). Auditors must not audit their own work or a process they directly manage. The Quality Manager's own processes (for example document control and MRB) are audited by a qualified auditor from another department or by an outside auditor.

5.3 Audit planning

The lead auditor sends an audit plan to the process owner at least 5 working days before the audit, listing the scope, the requirements and procedures to be audited, the date and the people to be interviewed. Prior findings and open CARs for the process are reviewed while planning.

5.4 Conducting the audit

1. Opening meeting with the process owner to confirm scope and schedule.
2. Collect objective evidence by observation, interviews and sampling of records. Evidence is recorded with enough detail (job number, record ID, date) for another person to find it.
3. Grade any nonconformity as major or minor, and record OFIs separately.
4. Closing meeting to present findings and agree on facts.

5.5 Reporting

The lead auditor issues the Internal Audit Report (F-820-01) within 3 working days after the closing meeting. The report lists the scope, auditors, evidence sampled, findings with their grade and the requirement not met, and OFIs.

5.6 Response to findings

• Major finding - a CAR (F-850-01) is opened within 5 working days of the report and worked to the QP-8.5 timelines. The Quality Manager informs the President of every major finding.
• Minor finding - the process owner corrects the issue and records the correction on the F-820-01 within 30 days. If the same minor finding is repeated at the next audit of that process, a CAR is opened.
• OFI - the process owner decides whether to act; no response is required.

5.7 Follow-up and closure

The lead auditor verifies correction of minor findings and confirms that CARs for major findings have been opened. The audit report is closed when all minor corrections are verified and all CARs are opened; CAR closure is tracked under QP-8.5.

5.8 Reporting to management

The Quality Manager summarizes audit results, schedule completion, finding counts by grade and overdue responses for each management review.

6 Records

Annual audit schedules, audit plans and Internal Audit Reports (F-820-01) are quality records retained 10 years from creation per QP-4.2.

7 Revision history

Rev	Date	Change	Approved by
B	2018-12-03	Added auditor independence requirement.	Ruth Okafor
C	2021-11-15	Introduced major/minor/OFI grading.	Ruth Okafor
D	2024-12-02	CAR for major findings required within 5 working days; audit report due within 3 working days of closing meeting; schedule approval moved to January management review.	Ruth Okafor