To document the methodology followed at XXX to describe controls associated with the servicing of products. This is an important element of a QMS, which is the set of policies, procedures, and process used to ensure the requirements associated with the quality of a product are met.
2.0 SCOPE
This procedure is applicable to all the following systems and standards
API Spec Q1, 9th edition/ ISO 29001: 2020
API Spec …
API Spec …..
API Spec …..
API Spec ….
API Spec …..
3.0 RESPONSIBILITY
Machine shop Manager
Operations Engineer
QA/QC Engineer
All concerned process heads
4.0 INPUTS
Production & Quality plan
Customer specifications/requirements
Standard specifications/requirements
Procedures/Work Instructions
Drawings
5.0 RESOURCES
Raw Material/Consumables
Equipments, M&M Resources
XXX Procedures/Work instructions
Competent Manpower
6.0 PROCEDURE
XXX maintains a documented procedure that describes controls associated with the servicing of products
Review and implementation of the XXX’s customer-specific, product servicing, and other servicing requirements. Such requirements will be mentioned in the Customer PO or confirmed by XXX and the details are mentioned in the contract review and Quotations.
The availability and use of suitable servicing, testing, monitoring, and measurement equipment (Refer Master list of Monitoring and Measuring equipment)
The availability of work instructions (Refer Master list of Work Instruction and Quality Internal Procedure (Refer Master list of QIPs)
Ensuring identification and traceability requirements are maintained throughout the servicing process;
The implementation of monitoring and measurement activities through Production and Quality Plan
Process control documents are maintained; and
Requirements for release of the product that was serviced are verified.
Purpose of this procedure is to ensure that the verification or other activities necessary for ensuring that purchased products, components or activities meet specified purchase requirements.
2.0 SCOPE
This procedure is applicable to all the following systems and standards
API Spec Q1, 9th edition/ ISO 29001: 2020
API Spec …..
API Spec ……
API Spec ……
API Spec ……
API Spec …….
3.0 RESPONSIBILITY
Management Representative
QA/QC Engineer
Stores Keeper
All concerned process heads.
4.0 INPUT
Products/Services from external provider
SRV notes
5.0 RESOURCES
Resources needed for the receipt, handling, inspection, verification, storage, preservation, control, and documentation as appropriate for every product or service shall be available.
6.0 PROCEDURE
6.1 RECEIPT OF GOODS IN STORE
Upon issuance of purchase order a copy of the same shall be given to the Store Keeper, so that he can identify the material upon arrival and maintain proper identification and traceability of received goods.
Upon receipt of material/goods from the supplier, the store keeper (SK) shall verify the description, quantity and physical condition against the delivery document and tally the same both physical and document. If any discrepancy observed shall be noted and communicated to the Purchase Officer/Head of Supply Chain and subsequently to the QA/QC Engineer.
Upon confirmation of goods received are in line with an approved PO, the store keeper shall prepare a Material Receipt Inspection Report (MRIR) along with all other documents available such as PO, supplier delivery documents, relevant certifications (MTC, data sheet, batch certificates, etc.) and given to the QA/QC personnel for inspection and release.
QA/QC personnel verify the received product/material or components in line with the PO and confirms that the item received are meeting the requirements specified in the PO which including all technical delivery conditions.
Conformance of product quality will be marked as accepted in the MRIR (signing and stamping the MRIR) by the QA/QC Personnel.
When the Mill Certificate, Batch Certificate or Certificate of Conformance or other documentation deemed necessary to confirm the acceptance of product/service quality, they are to be requested and shall be reviewed prior to the acceptance of the product/service.
It is the responsibility of QA/QC Engineer who inspect or verify the material is using the applicable version of specification, drawing, process requirements, inspection instructions, traceability and other relevant technical data at the time of his inspection/verification.
After the QA/QC verification and acceptance of the purchased product, the store keeper prepares Store Receipt Voucher (SRV) and receive the material in store (inventory or job/contract) account.
6.2 IDENTIFICATION, TRACEABILITY AND INSPECTION STATUS
All the material good received in store shall have unique identification and traceability to its source, purchase, inspection, release, issuance and use.
In order to maintain this trace ability XXX identify all the received good with a SRV Number marked on the item or on the lot where individual marking is not practically possible.
SRV number is a unique identification number that starts with a new serial number at the beginning of every year and it continue in a sequential order till the end of that year. Every SRV will have the relevant PO number and that will trace the source and supply and the GRIR number that will indicate the verification, inspection and acceptance details.
In order to identify the different grades of bar stock, a colour coding chart is developed and displayed near the material storage area.
6.3 VERIFICATION OF STOCK MATERIAL
Critical product and components in stock shall be verified for it’s storage, preservation and ability to meet the intended results in product quality shall be verified by suitable means.
Based on the inspection findings the QA/QC Engineer or the Lead QA/QC may take decision on inspection and acceptance of such products in coordination with design engineer.
6.4 ISSUANCE OF STOCK MATERIAL
When any purchased product is in need for the production or operations, the concern person or department will raise a request to the store and the SK will issue the goods after verifying the intended purchase.
Product purchased for a particular project/job shall not be issued for any other job unless approved by the GM
To ensure that the supply chain activities for the product realization are conforming to specified requirements.
To ensure that the critical products, components or activities identified in product realization are treated accordingly in supply chain activities and are in conformance to product or customer specifications;
To do initial evaluation and selection of supply chain partners (suppliers, associated sub-suppliers or subcontractors) based on their ability to supply products, components or activities in accordance with XXX‘s requirements.
To ensure controls are in place for the entire supply chain activities based on the criticality of the product, components or activities.
To include criteria, scope, frequency, and methods for reassessment of supply chain partners.
To ensure a listing of approved supply chain partners are in place and maintained in accordance with the scope of their approvals.
2.0 SCOPE
This procedure is applicable to all the following systems and standards
API Spec Q1, 9th edition/ ISO2 9001: 2022
API Spec ……
API Spec ……
API Spec ……
API Spec …..
API Spec …..
3.0 RESPONSIBILITY
Head of supply chain /Manager
Management representative/ Lead QA/QC
All concerned process heads
4.0 INPUTS
Material Requisition (MR) or Request for Quote (RFQ)
Inventory Management System (IMS)
5.0 RESOURCES
Competent Personnel, Adequacy of infrastructure, Information Technology as needed, intellectual property or information as needed, Funds.
6.0 DESCRIPTION
Supply chain defines in XXX is the department handling “supplier and associated sub-supplier(s) required for the product realization” including purchase, logistics, materials control and subcontract activities.
All purchased products or activity conforms to the specified requirements.
All supply chain activities will be documented, records and are made available all the time (Material Requisition – MR, Request for Quotation – RFQ, Technical Delivery Conditions – TDC, Comparison Statement – CS, Purchase Order – PO, Subcontract Agreements – SA, Store Receipt Voucher – SRV, Store Issue Voucher – SIV, and Stock Register/Inventory List (System Generated).
The primary concerns of Purchasing are:
To maintain a consistency of quality material which permits efficient and effective operations
To get the most competitive rate and thus reduce the production cost to the minimum.
To maintain availability of material in time.
To develop and maintain good relationships with supply chain partners so that XXX will have a competitive edge with its competitors, satisfying customer and maintain good cash flow.
To develop and maintain optimum inventory stock and efficient inventory management system
To maintain good records and controls.
To provide input to design and development or operations for new development.
7.0 GENERAL PURCHASING PROCESS
Purchase of any products, components or activities are done in a systematic manner so that they are consistently conforming to the specific requirements of the intended application and customer satisfaction.
In order to meet the above requirement, the company identifies the product category (critical or no-critical), evaluate and select supply chain partners in accordance with the specific category of purchase, re-evaluate the suppliers based on risk and quality performance of supplier, ensure right sourcing in accordance with this procedure, confirm supply chain communication are documented adequately and described the product or activity to be purchased in line with the conformity to the final product or service requirement.
Upon receipt the product or activity they are verified for it conformance prior to the acceptance of the product or service.
7.1 PROCEDURE FOR SELECTION OF SUPPLY CHAIN PARTNERS
In order to have the consistency in obtaining product or service quality the purchase activity in XXX are categorized mainly in to two ‘Critical and Non-Critical’. Accordingly, an “Approved list of Supply Chain Partner” is also maintained for both Critical or non-critical categories.
In order to do this segregation a list of critical goods, service, products will be prepared and maintained
The selection of the supply chain partners are based on their ability to supply products, components or activities in accordance to the Quality Management System requirements.
The criteria for the selection of the supply chain partners are done based on:
Technical listing is acquired from the list that provided by the client, owner, legal entities, or other international journals including API Composite Catalogue.
7.1.2 Achieved Quality status
Achieved Quality status is the supplier/or service provider’s capability and quality of supply is assessed and confirmed by a third party or by the organization (Supplier Audit) through verification of their quality management system or product/service provided by the supplier to a known circle.
7.1.3 Reference and Historical Quality Data
Selection of supply chain partner based on their past performance in providing such services in the market that is verified and conformed either by the organization or through other reputed organization or references.
Retaining supply chain partners in the approved list based on their historical data available with the organization and their ability to consistently meet the requirements of XXX product/service quality, acceptance criteria and need of personnel qualifications as applicable.
7.2 INITIAL SUPPLIER EVALUATION
7.2.1 Critical Purchases
In order to do the evaluation, selection and re-evaluation of Supply Chain Partner in Critical Purchases XXX identified its critical supply chain activities, product and services as mentioned in the table -1 (See Annexure)
Prior to the incorporation of the critical suppliers to the approved list, they are to be evaluated using supplier evaluation form but specific to the product/service considering the following but not be limited to:
Verification that supplier’s quality system requirements needed for the supply or product/service (job specific)
Verification of the type and extend of controls applied by the supplier, internally and to their supply chain, in order to meet the organization’s requirements
Assessment of the supply chain partner to ensure its capability to meet Organization’s Purchasing requirements by doing one or more of the following:
Performing on site evaluation of relevant activities OR
Inspection verification of similar product or service manufactured by the supply chain partner and ensures they are conforming to the stated requirement.
When product or service limited by proprietary, legal, and/or contractual arrangements; they are to be verified in accordance with product specific requirement of the final product, requirements specified by the customer or other regulatory body and where applicable the design acceptance criteria of XXX or its customer.
7.2.2 Non Critical purchases
XXX for the purchase of non-critical products, components or activities that impact product realization or the final product, the criteria for the initial evaluation of external provider/suppliers as one or more of the following
Verification that the supply chain partner’s Quality Management System conforms to the quality system requirements specified for the supply chain partner by XXX; or
Assess supplier by suitable means to ensure that they are capable of meeting the requirements specified or intended by the product realization
By doing Assessment of the Product or component upon delivery, or activity upon completion. This may be done by the QA/QC personnel up on receipt of goods at XXX facility.
APPROVED LIST OF SUPPLY CHAIN PARTNERS
Upon completion of evaluation, XXX maintains the approved list of supply chain partner they are listed either in Master List of Critical Suppliers or Master List of Non-Critical Supplier as applicable.
All active supply chain partners shall be evaluated once in year using Supplier Evaluation Form. If any new supplier to be added shall be done initially by using the supplier inclusion form and shall be monitored for three consecutive supplies prior to the inclusion.
Any supplier whose performance found to be poor during evaluation shall be identified by ‘W’ – watch in Master List.
Continuous deterioration of quality of supply by any means in three consecutive evaluations shall be marked as ‘Q’ and shall be shifted to the Quarantined list.
If any supplier in the “Q” list to be used shall be done under surveillance with close monitoring of every product or service they provide. In such case they are to be marked ‘S’ in the quarantine list. After 5 consecutive successful supplies they may be shifted to the Master List again and then will be treated as a normal approved supplier.
Records of the result of all evaluation and any necessary actions arising from the evaluation shall be maintained.
7.4 SUPPLIER PERFORMANCE RATING AND RE-EVALUATION:
The performance the supplier/supply chain partner shall be rated for every lot he has supplied on the basis of following criteria
Quality – 70 %
Commercial – 30%
2. Quality of Supplies are further Rated as per following criteria
3.5 Quality in communication (response, actions and completion) – 5
(Scale: Excellent co-ordination – 5, Very Good – 4 marks, Good – 3 Marks, Average -2 marks, poor -1 marks, No –Coordination – Zero)
3. Commercial Rating is further divided into
3.1 Response to enquiry in time – 5
(Scale: Same day – 5, within two days – 4, between 2-4 days – 3, between 4-7 days – 2, between 7-10 days – 1, more than 10 days – 0)
3.2 Cost competitiveness – 5
(Scale: Average all competent – 5, Average all Expensive -0)
3.3 Payment terms/Credit – 5
(Scale: >90 days – 5, Between 60 -90 – 4, between 45-60 –3, between 30 & 45 – 2, up to 30 days -1, no credit – 0)
3.4 Flexibility in payments – 5
(Scale: > 45 days – 5, Between 30 -45 days – 4, between 15-30 days –3, between 07 to 15 days – 2, up to 7 days -1, no credit – 0)
3.5 Post Delivery activities -5
(Scale: Excellent Support – 5, Very Good – 4 , Good – 3 , Average –2 , Poor – 1 , No Support -0)
4. Supplier rating will be done by the team lead by head of supply chain and the team comprises of (Head of Supply Chain, Lead QA/QC or his designee, Chief Accountant or his/her designee, store, and production head or his designee)
5. The performance rating of suppliers will be recorded on a quarterly basis and at the end of the year will be analyzed and external provider/supplier will be rated as follows :
Sl NO
SCORE
GRADE
STATUS
REMARKS
> 90%
A
Best
Priority supplier – Appreciation
71% – 90%
B
Good
Monitor frequently the weak areas – Communicate to improve
61% – 70%
C
Vulnerable
Communicate & Re-evaluate before placing order and check result
50% – 60%
D
Weak
Quarantine (only if no other option – use with high alert) & Communicate
<50%
E
Poor
Remove from the list permanently
6. When supplier rating is falling shall be treated in accordance with 5.3 of this procedure and may be intimated to the supplier for their necessary corrective action.
7. Based on the risk analysis for every supplier on the product realization and impact on the products, the overall risk and impact of the risk will be determined by averaging the percentage and categorized as High (>50%), Medium (15%-50%) and Low (<15%). According to the result of the risk analysis, frequency of the re-evaluation will be defined as follows :
after every serious failures
If no failures :
High – 9 months or ordering whichever is longer (this may be increased based on good historical records);
Medium – Within 18 months;
Low – No re-evaluation
7.5 PROCEDURE FOR PURCHASE
Need for any material, item or service by any department furnish a Material Requisition Form (MR). In case the procurement is from a single source or the quotes are obtained in case of technical procurement – the originator shall attach the copy of the details along with the MR for preparing the PR.
The MR prepared by the user/store, reviewed by the concern Engineer/in-charge and approved by the Head of the department.
Incomplete or inaccurate requisitions may be returned or notified to the originator for completion or correction.
Before floating enquiry by Supply Chain, he/she shall ensure with Stores for in-house availability of the product.
After receipt of completed requisition and confirmation from the stores, enquiry is floated to the potential external provider/supplier’s for bidding and the external provider/supplier making the “best offer” is selected.
Although the “best offer” concept is generally associated with lowest price, this is not always the case. In addition to price, consideration is given to availability, quantity, quality and service.
A comparative statement shall be made considering all the facts and before placing the order the same is been approved by General Manager. Alternatively a PO may also be made for the most competitive offer and submitted to the GM for his approval along with the comparison.
Purchase Orders shall be clearly described with the purchasing information as needed or applicable. Where it is found to be necessary a Technical Delivery Conditions (TDC) prepared and issued by the design or quality may be attached with the PO with a clear reference in the PO.
Information in the purchase document shall include as applicable:
Proper specification, including name, part number, type, class, grade, size, etc.
Technical details like relevant standards, specifications, drawings, process requirements, Traceability & other Technical data as required.
Other details like delivery place, delivery schedule, inspection requirements, packing requirements, etc.
7.6 PURCHASING INFORMATION
XXX ensures the adequacy of specified purchasing information prior to their communication to the supply chain partners.
Purchasing information provided to the supply chain partner is documented and adequately describe the product or activity to be purchased, including acceptance criteria, and where appropriate:
Requirements for approval of supplier’s procedures, process, and equipment;
Applicable version of specifications may include or be derived from the customer, API product specifications, design output and/or industry standards, process requirements, inspection instructions, traceability, and other relevant technical data;
Requirements for qualification of supplier’s personnel; and
Inspection and test requirement including XXX or it’s customer verification at supplier’s location including Hold or Witness points if any.
Verification or validation activities that the organization, or its consumer, intends to perform at the supplier’s premises.
Quality management system requirements.
7.7 VERIFICATION OF PURCHASED PRODUCT AT SUPPLIER PREMISES
Where there is a need of verification of purchased product at the supplier premises by the company or it’s client prior to the release of good from supplier premises, shall be stated clearly in the purchase document in detail such as verification arrangements, method of product release, arrangements needed for verification activity that has to be provided by the supplier.
Although the product verified by the company or it’s customer at supplier premises, the product is subject to incoming inspection upon arrival prior to the release of item(s) to it’s next activity.
7.8 EMERGENCY PURCHASE
Emergency purchase is applicable for emergency situation such machine breakdown, emergency requirement by the client that needs to be handled by XXX, or other emergency situation which are not created deliberately or a result of poor planning.
All emergency purchase shall be approved by the General Manager/Chairman.
Product or service purchased on an emergency shall also be subjected to the same verification process as needed by the regular purchase process
7.9 CONTROL OF OUTSOURCED PROCESS
Based on the criticality of product, where documented procedures, qualification of personnel or equipment, calibration records, validation of process(es) or quality management system requirement is in need shall be stipulated in the purchase document and shall be verified and confirmed by XXX’s QA/QC.
XXX ensures that all the outsourced processes which are required validation, shall be done in accordance with the procedure L2 – 13, Validation of processes for Production and Servicing.
7.9.1 CALIBRATION
When calibration process is outsourced, prior to the confirmation of order to the supplier shall ensure:
The adequacy of facility for the calibration of equipment to the required standard and its traceability to the international measurement standards as applicable.
Quality Management System of the calibration laboratory and it’s confirmation of it’s accreditation or certification such as ISO 17025.
Technical expertise of the personnel working in calibration laboratory as well as the calibration validity and traceability of their master equipment.
Calibration documentation with it’s measurement uncertainty for the master equipment
Assurance to quality and reliability.
7.9.2 LABORATORY ANALYSIS – CHEMICAL, MECHANICAL, ELECTRICAL, OR INSTRUMENTATION
When laboratory analysis is outsourced, prior to the confirmation of order to the supplier shall ensure:
The adequacy of facility for the analysis to be performed including equipment, environment, and other as needed for the required service.
Quality Management System of the calibration laboratory and it’s confirmation of it’s accreditation or certification such as ISO 17025.
Technical expertise of the personnel working in calibration laboratory as well as the calibration validity and traceability of their master equipment.
When NDE process is outsourced, prior to the confirmation of order to the supplier shall ensure:
An approved procedure verified by the NDE Level III is available.
Equipment for NDE is appropriate to the application and where applicable are calibrated.
NDE personnel are qualified and certified NDE Level II in accordance with SNT-TC-1A, where found necessary the qualification of NDE personnel shall be reviewed by company appointed Level III.
Ensure reporting is done in accordance with the relevant standard requirement.
Acceptance criteria of NDE shall be communicated to the NDE contractor.
7.9.4 PWHT
When PWHT process is outsourced, prior to the confirmation of order to the supplier shall ensure:
The equipment is adequate and calibrated to perform PWHT
Qualified personnel are performing the PWHT activities
PWHT procedure approved by XXX is available for doing PWHT
Attachment of thermocouples to the job and its placement are communicated for every job and ensures it is done accordingly.
Acceptance criteria for calibration, placing of thermocouple, rate of heating, rate of cooling, soaking time and other critical information are in place and available for the operator/supplier
7.9.5 PROTECTIVE COATING
When and protective coating process is outsourced, prior to the confirmation of order to the supplier shall ensure:
The process is validated and parameters to be followed are developed and documented in the form of procedure and available for the supply chain partner.
Environment suitable for the application shall be defined and are communicated either by approving the supply chain partner’s procedure or a procedure to be issued by XXX to the supply chain partner.
If validation of the process to be done by the supply chain partner for any reason shall be communicated and necessary action shall be taken accordingly.
Trained and experienced personnel shall be performing the protective coating.
When procedure from the supply chain partner is used, shall be reviewed and approved by XXX QA/QC prior to the use.
When hold or witness point is not there by XXX during the blasting or coating application, proper control measures from the supply chain partner assuring they adhere to the suitable environment condition.
Supply chain partner shall have suitable inspection and test equipment for the verification as needed and it shall be verified and confirmed by the XXX QA/QC.
8.0 OUTPUT
Purchase orders to external providers
Products & services procured
Supplier evaluation/rating
9.1 KEY PERFORMANCE INDICATOR
9.1 As per the Annual Objectives
10.0 ASSOCIATED DOCUMENTS & RECORDS
DESCRIPTION OF THE RECORD
FORMAT NUMBER
RESPONSIBLE
Master List of Critical External provider/suppliers
XXX / PRO / D01
Procurement Engineer
Master List of Non-Critical External provider/suppliers
To make a Plan needed to address risk associated with impact on delivery and quality of product.
To prepare and document contingency planning based on the output of the risk assessment made and communicated to all the relevant personnel.
2.0 SCOPE
This procedure is applicable to all the following established systems and standards
API Spec Q1, 9th edition/ ISO 29001: 2020
Related API Monogram Standards (…………..)
Applies to all process which has an influence on product quality and delivery.
Contingency Plan addresses, risk associated with impact on delivery and quality of product.
This procedure is applicable to all the levels of documents pertaining to API Spec Q1: 9th edition.
This procedure applies to the following Quality Management System processes:
Design
Purchase
Production
Quality Control
Stores
Maintenance
Human Resources
Management Representative
Commercial
3.0 RESPONSIBILITY
Chairman
Management Representative
All Process owners
4.0 INPUTS
Risk assessment output
5.0 RESOURCES
Manpower
Funds
6.0 DESCRIPTION
Contingency planning: An emergency plan prepared to address the significant risk activity generated from risk assessment that impacts delivery and quality of product. This includes the action plan derived to reduce the impact by executing alternate plan with responsibility / authorities with required internal & external communication.
Further the contingency plan works based on the risk criteria associated with Men, Machine, Method, Material and Environment.
7.0 PROCEDURE:
XXX maintains a documented procedure for contingency planning to address the risk associated with impact on delivery and quality of product
Contingency planning process:
Contingency planning is derived based on the Risk assessment performed by all the process functions. The significant risk associated with each process are segregated based on the below 5 categories,
Men: Human resources is one of the important and mandatory requirement for product realization which includes workmen, staff and managers
Machine: A machine is an important resource to meet the required product realization and possible risk like breakdown / out of tolerance is considered in preparing the contingency planning.
Method: Risk related to material handling and preservation of the product is considered in method.
Material: Risk related to material rejection, delayed shipment from the supplier, raw material shortage are considered for developing the contingency planning.
Environment: Risk related to natural disaster and their impact on quality or delivery of the product with required communication is considered.
Actions required in response to significant risk:
In XXX action plan for all the significant risk are derived and the different scenarios are considered to mitigate the effects of disruptive incidents. The details are summarized in Level – 04 contingency plan for significant risk
Identification and assignment of responsibilities and authorities:
In XXX for each significant risk, the responsible person is identified and necessary actions are derived with specified time limit. The details are summarized in Level – 04 contingency plans for significant risk.
Prepare communication matrix for different scenarios with relevant personnel’s:
Communication matrix for the prepared contingency plan is derived based on two categories, Internal and external.
Internal:
The responsible process head to execute the required contingency plan with required supports from other processes are considered. Further communication to top management is made mandatory for all actions
External:
Communication required for those suppliers, choose to perform the required activity as an alternate source.
Customer need to be intimated on the contingency plan taken to meet the product delivery and quality when there is risk which requires considerable time for normal flow.
The details are summarized in Level – 04 contingency planning for significant risk on development of the contingency planning the same need to be communicated for all the applicable personnel for inciting the actions
The actions plans need to be monitored periodically to ensure the objective is met.
Develop the contingency plan for the scenarios utilizing the available resources
While developing contingency plan all the resources available in the XXX to make the maximum utilization and then only external suppliers are considered.
Management approval:
If there is any need for new resource then, the same need to be taken for management approval
Criteria for revision of contingency plan
The contingency plan needs to be revised when,
There is new risk identified during production review meeting
When there is a major rejection
In situations / events where there is a risk of impact for delivery and product quality.
To identify the plans, including plan updates, used for design and development
To identify the design and development stages
To identify resources, responsibilities, authorities
To identify review, verification, and validation activities
To identify the requirements for the final review of design
2.0 SCOPE
This procedure applies to all the products which are designed by XXX. The primary concerns of Design & Development are:
To ensure that all the customer requirements are fulfilled
To plan the design process based on the available inputs within the given time frame
To ensure the design is made as per the Design Development Plan
To determine appropriate stages to review, validate and verify the design
To ensure that the corrections required in the later stages are incorporated in the design after the approval from the MR
This procedure is applicable to all the following systems and standards
API Spec Q1, 9th edition/ ISO 9001: 2020
API Spec ….
API Spec …..
API Spec …..
API Spec …..
API Spec …..
Applies to all process which has an influence on product quality and covers the Design and Development activities of all new products by the XXX
3.0 RESPONSIBILITY
Manager – Design & Development
Asst. Machine Shop Manager
Design Engineer
Operations Engineer
All concerned process Heads
4.0 PROCEDURE
Prior to any Design and Development the customer requirements are understood fully and clearly in respect to the product (use, code of construction/manufacturing standard, standard/code requirements, service requirements etc.). The end-result (products) of the design and development meets the satisfaction and expectation of customers in terms of its intended application and usage.
4.1DESIGN & DEVELOPMENT – PLANNING
Based on the Ideas, Technical & Commercial Requirements from the Customer, Contract Review (if any), & Market Survey, the Product Identified for New Design & Development.
Collection of Product / Process details, Assumption, Customer Supplied Documents etc. (if any) for the Product Identified for New Design & Development.
A Cross Functional Team (CFT) composed of Team Leader (Manager – Design & Development), and Team Members like Asst. Machine Shop Manager, Design & Operations Engineer, Procurement Engineer, QA/QC Engineer and Commercial Officer at XXX plan and carry out the design and development of products.
Manager – Design & Development acts as the API Design Interface Manager responsible for review, verification and validation of API product. This can be substituted by the Quality Systems Manager, Asst. Machine Shop Manager or his designated Design Engineer or Operations Engineer.
The Duties and Responsibilities of the Design and development staff are centered on their academic and technical qualifications.
MR / QHSE Lead is identified as the competent individual(s) other than the person or persons who developed the design and shall approve the final design.
The Design and Development activities start during the following stages of the contract/order.
1. Upon receipt of contract
According to the contract technical requirements, where the design and development is under the responsibility of XXX, the Manager – Design & Development or his team/designated design engineers carry out the design activity.
2. During Manufacturing
In case XXX uses customer drawing or design for the manufacturing of the product or those found conflicting to the standard requirements or manufacturing process methodology, such documents are subjected to design verification and be done in conjunction with the customer or customer representative.
Manufacturing of all API products are subjected to design development prior to manufacturing.
It is mandatory that XXX should have all applicable API specifications related to the manufacturing of API product.
During the Design and Development Plan phase of the product, XXX determines:
The design and development stages (as appropriate)
Collection & Preparation of Design inputs & Machine shop documents
Design Review
Procurement of Raw material / items
Machining & Inspection of Items (Verification)
Assembly & Testing (Validation)
Design review is carried out in 3 Phases, using a structured Design Plan by a Cross functional team.
First Review – Part Report, Drawing & Specification Release
Second Review – Parts ready for Machining & Inspection after receipt of Raw material / items.
Third Review – After completion of Design Validation
The company’s Design and Development planning is based on the availability of resources, reference codes and standards and the qualification and training of personnel, who are directly involved in the design activity.
The Design & Development Plan contains sequence of activities, time estimation, responsibility & authority. The output is updated as appropriate, as the Design and Development progresses.
The responsibilities and authorities for Design and Development are defined in the appropriate section of the Product Design Package.
The interfaces between the different processes / groups of XXX are documented to ensure effective communication and clear assignment of their responsibilities.
XXX has established the following for Design and Development:
A documented procedure for carrying out Design and Development
Suitable resources in terms of:
A dedicated team for Design and Development
Necessary Infrastructure and Facility
Requisite Software
Design & development of API products as per the monogram and license requirements is carried out internally by XXX. Hence the question of outsourcing does not arise.
When design and development activities are performed at different locations within XXX, the procedure identifies the controls required to ensure that designs meet the requirements.
Design and Development Planning ability relies on Technical and Non-Technical ability which has been defined within the company which is established to ensure that all inputs into the process are properly documented, transmitted as required and reviewed on a formal basis. The Design Department is aware that the Design function is fundamental to the creation of a quality product and consequently ensures that the Design function includes basic information concerning the parameters of:
Maximum functional requirements (API Acceptance Criteria)
Maximum Environmental Expectation
Cost Limitations
Design and development process is documented in the form of Design Packages and documented in hard, identified, follow controls.
Design documentation includes, methods, assumptions, formula and calculations.
4.2 DESIGN AND DEVELOPMENT INPUTS
Inputs are identified and reviewed for adequacy, completeness, and lack of conflict in Design Input record and these inputs include,
Requirements provided from external sources, including API product specifications
Customer specific requirements,
Environmental and operational conditions
Methodology, assumptions and formulae documentation
Historical performance and other information derived from previous similar designs
Legal requirements, and
Results from risk assessments.
Records of design inputs are maintained.
The design input requirements are ascertained by the Design CFT at XXX based on the internal inputs, documented market research, source of raw material, customer needs provided information. These inputs include,
Safety, Functional & Performance Requirements
Applicable statutory & regulatory requirements of the product
As applicable, information derived from previous design
And any other information, essential for the design and development
All ambiguous or conflicting requirements must be resolved before starting this input process.
Design input requirement is a specified requirements developed through the contract reviews. Ambiguous/Conflicting requirements observed during the implementations be resolved with those responsible for drawing them up.
These above inputs are reviewed by XXX CFT for adequacy, suitability, and effectiveness of result during the Design Review meetings and recorded.
XXX’s CFT ensures that the requirements stated in the Design input phase are complete, unambiguous and not in conflict with each other, as per the standard requirements
Design analysis / calculation performed & recorded when necessary.
XXX ensures that the design input requirements are identified, documented and review the product design input requirements.
The Design and development also includes Customer Specific Requirements.
4.3 DESIGN AND DEVELOPMENT OUTPUTS
Manufactured products are always being expected to meet the input requirements. The Manager – Design & Development who is normally the DND Team Leader who is appointed and authorized by the Top Management because of his academic and technical qualifications verifies these output products. He is directed to report to the Chairman and he has to always document his report on matters related to verification of the manufactured/ fabricated products.
The Manager – Design & Development ensures that he has full knowledge of the API design requirements on specific calculations whereon the design and development is centered on; and on the basis of this foundation, he continuously checks the adequacy and accuracy of the products under development from design stage to the final stage of development.
The DND Team pools together their resources to provide appropriate documented information about the finished product in terms of its production process, servicing provision after sales and to provide safety instruction on how to use the product for customer satisfaction.
When required, detail drawings are to be produced where API specs in design calculation are mentioned thereon.
The Design documents prepared with all necessary information regarding the procurement of raw material (Bill of Material with all the specifications requirements and Technical Delivery conditions), special requirements (E.g. 100% NDE, Hydrostatic test requirements, Pneumatic requirements, etc.) special process requirements (E.g. Heat treatment/ PWHT, Sand Blasting, Painting, Welding, Hard facing, etc.), Sales Service requirements (E.g. Recommended spare parts list, Service Requirements, etc.), acceptance criteria (Manufacturing Tolerance) and the characteristics of the product that are essential for its safe and proper use (E.g. Design pressure, Working pressure, Hydrostatic Test pressure, Maximum applicable load, etc.)
The outputs of Design and Development at XXX are prepared in a suitable form (Design documents / Records / Drawings / Technical Specifications) for verification against the design and development inputs.
Assembly / Component drawings, Bill of materials, Data base information’s and Material / Quality specifications are considered as a Design output – Product related
Process flow chart, Work instruction, Operational plan and Quality plans are considered as a Design output – Process related.
Before releasing the design output documents, the specific requirements as said in the design inputs are reviewed. The Design Outputs are approved by Manager – Design & Development along with MR/QHSE Lead prior to release
The Design and Development Outputs meet all the requirements identified and required as per the Design and Development inputs
Products that have failed to meet the specifications are rejected from the contract and are downgraded for repair or replacement of part, which caused the subject of non-conformance. Full test requirements are re-instituted to meet specifications.
The Design and Development Outputs provide appropriate information in the form of Drawings, Technical specifications and related documents, for Purchasing, Production process and other related Service functions.
The Design and Development Outputs contain or have reference to the Design acceptance criteria, in the form of Drawings, Technical Specifications, Engineering documents, etc.,
Specify those characteristics – special or critical in the product, which are essential for the proper and safe use. Example: Critical characteristics are mentioned in the drawings.
The information provided to Production and Service function includes the methods for preservation of the product like Handling, Storage, Packing, Preservation etc.
Design document databases secured to prevent unauthorized changes. Access to these databases is controlled by the engineering process. Engineering process provides copies upon the request.
Output includes results of applicable calculations and specifies the characteristic of the products that are essential for its safe and proper use.
The design and development Outputs are documented in the form of Part Reports (Data Base Information), Drawings, Technical Specifications, Bill of Materials etc.
4.4 DESIGN AND DEVELOPMENT REVIEW
Review meetings are conducted per plan with the Cross Functional Team & engineering process ensures the entire relevant document should be present.
Qualified and experienced personnel (other than those who initiated the original design) as designated by the management perform alternated calculation/ test programs reviewing, and checking. Review will be based on the API Standard design requirements and other related standards to the design work, and existing design documentation. This is done because all design works of XXX are carried out to pre-established API design specifications.
In general the Design and Development Review is carried out to evaluate the suitability, adequacy, and effectiveness of the results of design and development in four different stages to meet specified requirements.
Design Input review
Design Document Review
Design Output review
Review of design modification
4.4.1 DESIGN INPUT REVIEW
Prior to the Design and Development Process all design in-put requirements reviewed by the Design & Quality Systems. Manager or the Design Review Team to understand the product specific requirement based on the contract/customer requirement or the requirements of manufacturing standard (Construction Code). All statutory and regulatory requirements, functional and performance requirements also to be reviewed in view of Design output.
4.4.2 DESIGN DOCUMENT REVIEW
Design document review is carried out upon completion of design activity and prior to the issuance of design document for manufacturing. This review is to check whether the design input requirements are considered during design, incorporate any suggestions or recommendations from the Manufacturing personnel to carry-out the manufacturing process more economically and efficiently (e.g. Type of weld joint, type of connections etc.). All design documents including actual design calculations and drawing, type grade of material and its availability, technical delivery conditions are reviewed in this meeting and any adjustment or changes requirement is documented. It is the responsibility of Design Manager to do the follow-up for any such recommendations.
Participants for the Design Review include representatives of functions concerned with the design and development stage(s) being reviewed
In Design and Development review, the design out-put review is the essential function in order to verify and confirm the in-put requirements for the design and development are considered and are managed in order to confirm the design/product has the ability to meet the intended requirements and to identify if problem exists so appropriate corrective action can be implemented.
4.4.3 DESIGN OUTPUT REVIEW
Design Out-put review carries during product manufacturing or during proto-type manufacturing. In case of product for mass production, which is having complex design are proceed only after confirmation of its prototype.
All prototypes are subjected to 100% check in all aspects (which includes but not be limited to: – dimensional check, acceptance criteria, assembly, functional check etc.) prior to the mass production. This review is headed by the Machine shop Manager with advice from the Quality Systems Manager and with the support of the Operations & QA/QC Engineer and Machine shop Supervisor.
All information pertaining to the design and development of a product reviewed and confirm that the product meets the requirements as stated. All service information reviewed for its practicality and in case of any instructions for the safety of personnel or product also be reviewed for its accuracy.
Records of the results of the Design reviews and any necessary actions are maintained
The points discussed and the further necessary actions needed are recorded in the form of minutes of meeting with the responsible process / personnel.
4.4.4 REVIEW OF DESIGN MODIFICATION
All modifications or changes to the design are subjected to design review. Design Manager has the authority to review the changes in the design.
4.4.5 RELIABILITY ENGINEERING
Within XXX design, operation, reliability engineering is clearly defined as the finished product having the ability to perform within a stated code, standard or specification parameter, and consequently reliability engineering is performed by the Machine Shop manager commensurate with the product for a specific in-service purpose.
The Machine Shop Manager is responsible for reliability engineering activities and assigned as required these duties as appropriate to the workshop Superintendent.
In order to meet the design output (Product) to the design input requirements and to assure the product integrity the following controls employed and followed by this Quality Management System:
The Design Manager or his designated Design Engineer is responsible for the review of design in-put requirements in order to develop the right design in respect to the customer requirement.
The Design Manager, who is responsible for the design & development of the product, is responsible for verifying the product design at various stages.
Design and Development for any product carried out by the Design Engineer in accordance with the contractual technical specification (customer requirements) and the manufacturing specification. So it is vital that the Specialist Oilfield Services have all relevant specification/code (latest edition) for the Design and Manufacturing of product. It is the responsibility of the Quality Systems Manager to arrange all such codes and standards for design personnel.
All design calculations and drawings including revision prepared and reviewed by the design engineer and approved by the Design Manager.
General arrangement drawings and detailed drawings are prepared by the draftsmen, verified by the Design Engineer (DE) and approved by the Design Manager (DM).
In case the design documents (drawing, design calculations) are supplied by the customer or subcontractor the same reviewed by the DE and approved by the DM.
All design software output verified for compliance by the DE and approved by the DM prior to the issuance.
The DE verifies the design software periodically for its compliance to the revised code/standard where applicable.
It is the responsibility of DE or DM to issue the latest design document to the production/operations through Document Transmittal. It is the responsibility of the copy holder/user to discard the obsolete documents upon receipt of the revised one.
Design and Development review carried-out in accordance with this procedure and the QMS Manual
DND Verification, DND Validation and Control of Design and Development changes in accordance with this procedure and the Quality Manual.
4.4.6 DESIGN AND DEVELOPMENT REVIEW – SUPPLEMENTAL
Final review conducted & documented. Individuals other than the persons who developed the design approved the final design.
At XXX, Manager – Design & Development and Quality Systems Manager are authorized to approve the final design.
4.5 DESIGN AND DEVELOPMENT VERIFICATION
Design Verification at XXX, is performed in accordance with planned arrangements to ensure that the design and development outputs have met the design and development output requirements
Records of the results of the verification and any necessary actions are recorded & maintained.
Design verification activities includes one or more of the following:
Confirming the accuracy of design results through the performance of alternative calculations; internally or through certified External agencies
Review of design output documents independent of the activities
Comparing new designs to similar proven designs.
4.5.1 DESIGN ACCEPTANCE CRITERIA
The Manager – Design & Development or Quality Systems Manager approves the Design acceptance criteria based on the under noted:
Product Specification and /or manufacturing instructions
The degree to which functional requirements have been expressed within the design
The degree to which the design permits rational production
The efforts made to attain a reasonable life (or failure rate) with less maintenance
Design verification activity
4.6 DESIGN AND DEVELOPMENT – VALIDATION
Design and development validation is performed in accordance with planned arrangements to ensure that the resulting product is capable of meeting the requirements for the specified application or intended use, where known. Wherever practicable, validation is completed prior to the delivery or implementation of the product. This can be done by means of functional test, test specified in the manufacturing code, standards or field performance test. It is advisable to do such tests prior to the delivery of final product to the customer.Design Validation are carried out as per Design Validation Procedure (as per the product specification and standard)All the completed designs will be approved after the validation. MR approves the final design by reviewing the Certificate of Conformance (COC) and all inspection reports as necessary.Records of the results of validation and any necessary actions are maintained. Design validation includes one or more of the following:
Prototype tests
Functional and/or operational tests of production products;
Tests specified by industry standards and / or regulatory requirements;
Field performance tests and reviews.
4.7 CONTROL OF DESIGN AND DEVELOPMENT CHANGES
If changes are required on the engineering documents, engineering team initiates to do a preliminary changes and Design & Quality Systems Manager reviews the same before release.
Identify changes noted thoroughly & sent to all processes / suppliers in the form of change alert.
Prepare Design Change Note (DCN) with detailing the DCN no., part details, revision level, nature of change, effect of change, detail of internals drawings revisions etc.
Forward the filled DCN to concerned processes (Stores / Planning etc.) for disposition actions of the existing stocks
After receiving the DCN with the above details, the same should be reviewed & approved by Design Manager with implementation date.
Records of the results of the review of changes and any necessary actions maintained.
In case of any difficult to implement the design changes, obtain waiver for the same & get approval from Customer
Update the revised data sets in server and the obsolete data sets are maintained in the separate folder for future reference. Databases secured to prevent unauthorized changes.
Any change that occur during process or after delivery of the product to the customer are identified & the changes are exercised through the review, verification and validation process, which includes the evaluation of the effect of the changes on constituent parts of the product & product already delivered
Design and development changes are identified and records maintained
At XXX, Design and development changes including changes to design documents, requires the same controls as the original design and development, and design documentation.
4.8 REGISTRATION, FILING, RELEASE AND DISTRIBUTION OF DESIGN AND DEVELOPMENT DOCUMENTS
Master Index of XXX for all API Design Activity is kept in the custody of the Design Manager in the Design & Development Department.
The records of all drawings are to be kept by one of the Design Engineers who is designated to do the job of custodian of the Drawing Register.
To define the process of risk assessment and control of risk in a manner that is consistent with the product quality & product delivery requirements.
To identify techniques, tools and their application for risk identification, assessment, and mitigation.
2.0 SCOPE
This procedure applicable to the risks associated with the impact on Product delivery & quality. This procedure is applicable to:
API Spec Q1, 9th edition/ ISO 29001: 2020
API Spec …..
API Spec ……
API Spec ……
API Spec …..
API Spec ….
Applies to all process which has an influence on product quality & Product Delivery
3.0 RESPONSIBILITY
QA/QC Engineer
Management Representative
All concerned process heads
4.0 INPUTS
Identification of Risks from all processes, Departmental procedures,
5.0 RESOURCES
Manpower, XXX Procedures
6.0 PROCEDURE
XXX has documented procedure to identify & control risk associated with impact on delivery & quality of products. This procedure identifies techniques, tools & their application for risk identification, assessment and mitigation.
6.1 RISK ASSESSMENT:
Risk Assessment Associated with Delivery of product shall generally include, but not limited to following:
Availability of facilities & their maintenance
Availability of equipment
Breakdown / preventive maintenance of equipment
Material availability
Timely Supply of material
Quality of supplied material
Suppliers performance in terms of Quality, Delivery & Other capabilities
In adequate QA / QC activities
Risk assessment Associated with product Quality shall generally include, but not limited to following:
Competencies & Performance of critical, non-critical suppliers, sub-contractors, and outsourced vendors
Delivery of non-conforming products to customers
Maintenance of Facilities, equipment including testing equipment
Incoming, Inprocess, and final inspection and its controls.
Addressing the non-conformance of the product in process at all levels to avoid the effect or potential effects on the final product.
Availability of competent personnel.
Risk assessment provides a structured process for analyzing risk in terms of consequences and likelihood before deciding on further actions. Records of risk assessment and management including actions taken are maintained. This structured process attempts to answer some fundamental questions:
What may happen and why (risk identification)?
What might be the consequences?
What is the likelihood of them happening? And
Is there anything that might mitigate the consequences or reduce the likelihood?
Risk identification:
It is defined as the process of finding, recognizing and describing risk. It could be a historical data or theoretical analysis which involves identification of risk sources, events, causes and their potential consequences which delay the originations objectives
Risk analysis:
It is the process of analyzing the nature of risk and determining the level of risk associated with the relevant activity. RPN (Risk Priority Number) is used for analyzing the impact. Risk analysis provides an input to risk evaluation and decisions on whether risks need to be treated and on the most appropriate risk treatment strategies and methods. Risk analysis also provides an input into making decisions where choices must be made and the options involve different types and levels of risk. Risk analysis involves consideration of the causes and sources of risk, their positive and negative consequences and the likelihood that those consequences can occur. Factors that affect consequences and likelihood identified. Risk is analyzed by determining consequences and their likelihood, and other attributes of the risk. An event can have multiple consequences and can affect multiple objectives. Existing controls and their effectiveness and efficiency are taken into account. The way in which consequences and likelihood are expressed and the way in which they are combined to determine a level of risk to reflect the type of risk the information available and the purpose for which the risk assessment output is to be used.
The significant risk associated with each process are segregated based on the below 5 categories,
Men:
Human resource is one of the important and mandatory requirements for product realization which includes workmen, staff and managers.
Machine:
A machine is an important resource to meet the required product realization and possible risk like breakdown / out of tolerance is considered while carrying out risk analysis.
Method:
Risk related to material handling and preservation of the product is considered in method.
Material:
Risk related to material rejection, delayed shipment from the supplier, raw material shortage considered for carrying out risk assessment.
Environment:
Risk related to natural disaster and their impact on quality or delivery of the product with required communication is considered.
Risk evaluation:
The purpose of risk evaluation is to assist in making decisions, based on the outcomes of risk analysis, about which risks need control / mitigation and the priority for control / mitigation implementation. Risk evaluation involves comparing the level of risk found during the analysis process with risk criteria established. Based on this comparison, the need for control /mitigation can be considered
Risk control / mitigation involves,
Deciding whether residual risk level are tolerable, if the XXX feels that the present non-significant risk become significant in future, then it is treated as significant.
If not tolerable, generating a new risk treatment and assessing its effectiveness Further, activities pertaining to the below criteria is called as significant which requires proper action plan.
6.2 GUIDELINES FOR DETERMINING RPN:
The guideline followed at XXX to determine RPN while performing risk assessment includes the following important terms.
Severity evaluation criteria (S):
Severity for the each activity / problem is worked based on the amount of impact it creates on the equipment / legal / customer satisfaction (delivery and product quality). The value range is between1 to 5. The tabulation 01 used to plot the applicable severity number for the relevant activity is given in Guideline 2. When the severity is 5, it is defined as critical class (CC), and for the values 4 it is called significant class (SC) and less than 3 are common activity are left unfilled.
Occurrences evaluation criteria (O):
Occurrence for each activity / problem is worked based on the number of repeated cases in the past history or assumptions based on experience. The value range is between 1 to 5.The tabulation 02 used to plot the applicable occurrences number for the relevant activity is given in Guideline 2.
Detection evaluation criteria (D):
Detection for each activity is defined as the possibility of capturing the problem / defect with the present existing controls. The value ranges from 1 to 5. The tabulation 03 used to plot the applicable detection number for the relevant activity.
Risk assessment output:
The output of risk assessment is used as an input for contingency planning and also the same is considered in corrective and preventive actions
Risk assessment Frequency
The Risk assessment at XXX is carried out once in a year for all the relevant processes and the records are documented with necessary actions. Re-evaluation can be done, whenever there is need due to Management requirement, major process change and customer request, changes in the RPN number and major quality or delivery issue.
TABLE 01 – SEVERITY (S) EVALUATION CRITIERIA
Effect
Criteria: Severity of Effect
Ranking
Catastrophic
Very high severity & multiple effect on product quality or delivery. Severe & wide spread damage to the customer with respect to delivery & quality of product
5
Critical
Major Severity & Multiple effect on product quality or delivery
4
Serious
Single severe impact & Multiple Minor impact on product quality and delivery
3
Minor
Low or minor impact and short term effect on product quality and delivery
2
Low
Negligible or trivial effect and or impact on product quality and delivery
1
TABLE 02 – OCCURRENCE EVALUATION CRITERIA
Probability
Ranking
Frequent : Persistent Failures (shall occur Several times )
5
Probable : Frequent Failures (Occurs Repeatedly / an event to be expected )
4
Occasional : Occasional Failures (Could take place or occur sometimes)
3
Remote : Relatively unlikely & Few Failures
2
Improbable : Failure so is unlikely that probability not there
1
TABLE 03 – DETECTION EVALUATION CRITERIA
Detection
Criteria
Suggested Range of Detection Methods
Ranking
Almost Impossible
Absolute certainty of non-detection of problem
Cannot detect or is not checked
5
Low
Control have poor chance of detection of problem
Control is achieved with visual inspection only
4
Moderate
Controls may detect the problem
Control is based on variable gauging after parts have left the station, or Go/No Go gauging performed on 100% of the parts after parts have left the station
3
High
Controls have a good chance to detect the problem
Error detection in station or error detection in subsequent operations by multiple layers of acceptance: supply, select, install, verify. Cannot accept discrepant part
2
Very High
Controls certain to detect the problem
Discrepant parts cannot be made because the process or the equipment / item have been error-proofed by process / product design.
1
Based on above criteria given in Table No. 1, 2 & 3 severity, occurrence and detection rating for each potential risk is determined. While determining this potential causes for failures are taken into account for severity rating, current process control prevention are considered while doing occurrence rating.
Risk Priority Number (RPN): RPN = S X O X D where S – Severity Rating, O – Occurrence rating and D – Detection Rating. RPN no. for each potential risk is determined. Value of RPN is always from 1 to 125. The RPN value is used to rank the order of concern in the Product delivery and Product Quality. Special attention is to be given when the value of RPN is 80 or more than 80 or alternatively if Severity value is more than 4. The highest severity of effect should be taken for calculating risk priority number.
In XXX we have set a cut off limit of RPN value as 80. Appropriate corrective actions are recommended & Implemented in all such cases where RPN value exceeds 80. And also risks having RPN number more than 80 are considered for contingency planning and entered in the risk assessment register.
Recommended action and or Mitigation
After completion of the steps described above, the RPNs are to be analyzed to identify the priority areas for control and mitigation. Higher risk priority numbers generally requires immediate action and contingency planning, however the severity ranking more than 4 are to be considered with high priority irrespective of the RPN value.
The recommended actions are to be taken to prevent / eliminate the causes to reduce the occurrence ranking. The general steps for risk mitigation are:
Where Possible risk elimination
Substitution by alternate man , material , machine or method as applicable
Segregation of products and or material
Changes in the system of working that reduces the risk to an acceptable level ( This includes having written procedure , adequate supervision , training and information & instructions
Verification of implementation: QA / QC Engineer has to verify the action for implementation. After the corrective action have been implemented estimate & record the resulting ‘Severity’, ‘Occurrence’ and ‘Detection’ rankings. Calculate the “Resulting RPN”. If no actions are taken, leave the related ranking columns blank.
Risk Assessment review & updating: This document is a dynamic document, this is to be reviewed whenever there is a change in process, customer requirement, on identification of new failures & causes, when the process becomes unstable & / or incapable. Whenever Risk Assessment is reviewed the concerned process related documents like Quality plan, operating instructions, setup instructions, maintenance instructions etc. are to be reviewed and updated as required.
Determining customer’s and product requirement which includes delivery as well as after sales services.
Ensuring correct understanding of all aspects of RFQ
Submitting a detailed quotation
Doing Pre-Review and Post-Review
Ensuring transfer of correct specification to the Project owner & Administration for meeting customer’s and statutory requirements
Following up the fulfillment of Contract
Archiving the Original Document
Preserving evidence of Contract fulfillment.
7.0 PROCEDURE
7.1 CUSTOMER ENQUIRY
All customer enquiries to XXX are logged in to the Enquiry register in commercial department.
Upon receipt of enquiry, the enquiries are categorised based on the type and are as follows:
Enquiry Job (EJ) – Enquiry for Machine shop services/work
Enquiry Contracts (EC) – Enquiry for Contracts
Enquiry Supply (ES) – Enquiry product sale
Each enquiry has a unique number which identify the type, year and the serial number. E.g. EJ/23/005 Where-EJ stands for the type of enquiry (Enquiry Job), 17 is for year 2023 and 005 is the serial number in that category.
After allocating the enquiry number the Commercial Officer or his designee registers the description of enquiry, client, contact person and the closing date in the log book and fill the enquiry form with necessary information and open an enquiry file.
Based on the type of enquiry the Commercial Officer forward the enquiry to the concern personnel for estimation.
Based on the complexity of enquiry the person responsible for estimation or the commercial officer himself may call for an enquiry review meeting in order to verify:
Is the enquiry within XXX scope?
Does XXX have enough resources to manage the order/contract?
Does XXX have suitable infrastructure to carry out the job?
Is the time permitted by the client is sufficient? If not is it possible to get any extension?
Does it require any specialist, vendor or sub-contractor to perform the activity and are they lined?
Requirement of Bid-Bond
Person responsible for estimation
Is there any pre-tender meeting or site visit and who are attending?
When enquiry received verbally, the personnel received the enquiry fill the verbal enquiry form and forwarded to the commercial department for the necessary action.
The Commercial Officer is responsible for submitting the details of the enquiry to planning and estimation department.
Based on the details bid calculation is prepared and accordingly quotation is prepared, reviewed and sent to the client.
7.2 QUOTATION FOLLOW-UP
In case of quotation submitted to the customers are followed constantly by the sales team, the personnel received the initial enquiry, the responsible manager or the Commercial Officer. The Commercial Officer coordinate with others and if required he should contact the customer by himself.
The commercial officer provided with the status of quotation or he may contact directly the client/customer. All lost tender/bid, the enquiry file closed and may send to the lost tender/order documents or may retain by the estimation engineer of the concern manager for reference purpose.
7.3 CONTRACT REVIEW
Upon receipt of the customer order the same is recorded in the Job Register with an internal order number, which allocated according to the type of order JO & SO.
JO – Machine shop services/job order/Contract Order
SO – Product Sale Order/Supply Order
The Job Register have the following information:
Enquiry No (XXX)
Order No (XXX)
Customer Name
Description of order
Order Value
Customer PO reference
Commencement Date
Completion Date
On receipt of a Customer’s Order, the order and the quotation reviewed simultaneously and any changes to the customer order with respect to the original quotation resolved with the Customer.
It is the responsibility of the Commercial officer with the concern manager, who reviews the requirements of both the Quotation and the Order in line with this procedure.
Contract review form XXX/COM/02 is the document for contract review and all requirements including legal and other requirements. Contract Review checklist verified with each process owner for feasibility and review minutes are noted down to summit to Chairman
In case of verbal order the concern manager is responsible to document the customer requirement in order to avoid any ambiguities in the later stage.
The work in progress monitored regularly and discussed in the weekly meeting.
Depends on the requirements the concern manager may call for additional progress meeting in order to review the status of the project.
XXX reviews the requirements related to provision of products, this review prior to the XXX’s commitment to deliver product to customer and ensures that requirements are identified and documented, requirements differing from previously identified and solved.
7.4 INVOICING
Correctly and timely invoicing is important for XXX’ operation in order to maintain the cash flow in a planned condition. In this respect the Machine shop Manager, Operations Engineer who responsible for the contract/order raise the invoice request and forward to the commercial department.
The commercial officer then verifies the same with the contract specification and updates his record on the contract/order file. Upon completion of his/her review and updating the records in the order file and the same forwarded to the Machine Shop Manager for review and signature and the same forwarded to the finance department.
The finance department prepares the invoice based on the invoice request and then submit to the client/customer.
All invoices submitted to the customer have a received signature on the office copy. It is not mandatory for payment against delivery.
The finance department do the follow up for all invoices submitted by XXX.
If there is no written order from the customer is available, the invoice request may prepare based on the verbal agreement. In such case it is the responsibility of the concern manager to do the necessary follow up for invoice.
7.5 AMENDMENT TO CONTRACT
In case of any change in the scope of work or revision in quantity from the original contract, treated as amendment to contract and discussed and agreed by both parties.
Amendments to a contract treated in the same way as any enquiry; however it may incorporate in the same order/contract. In such case a letter of amendment signed by both the customer and XXX attached to the original contract/order.
The letter of amendment prepared/ received with all changes with respect to the original contract that might take place prior to the execution of such changes.
In case of any engineering or technical changes received from the customer or the concern personnel, commercial officer forward the same to the Machine shop Manager and he then informs the Planning Engineer to update the Production & Quality Plan. Then he sends the updated plan to Machine shop Supervisor.
In case the project management is directly handling such amendment, the record of amendment informed to the commercial or project-planning department.
Any amendment affecting the contract value informed finance department.
Based on the relationship with customer the amendments may accept verbally to continue the work but it is the responsibility of the concern manager to receive such change request/amendment from the customer accordingly.
Where contract requirements are changed, XXX ensures that relevant documents are amended and that relevant personnel are made aware of the changed requirements.
Once the job is completed, Documentation Checklist shall be used to ensure that adequate records are available.
7.6 OUTPUTS
Orders received from the customers along with necessary inputs, Drawings or Specifications from customer, Order acceptance, Contract review, Customer feedback, correspondence from customer.
8.0 KEY PERFORMANCE INDICATORS
Enquiry to order conversion = 70%
Increasing customer base
Effectiveness of contract review process
Effectiveness in fulfilling Statutory and Regulatory Requirements
To establish & maintain documented procedure for identification, collection, indexing, access, filing, storage, maintenance, disposition and retention of records related to Quality management system.
2.0 SCOPE:
Applicable to all quality records of the organization related to Quality management system. This procedure is applicable to all the following systems and standards
ISO 29001:2020/ API Spec Q1, 9th edition
API Spec …..
API Spec …..
API Spec ……
API Spec ……
API Spec ……
3.0 RESPONSIBILITY:
Management representative/ Design & Quality Systems Manager
All concerned process owners
4.0 INPUTS:
Forms & formats
Document change request
5.0 RESOURCES:
Competent Manpower, Computers, Printer & Internet connection, Stationary, International standards & specifications, XXX Procedures
6.0 PROCEDURE:
Records refer to documented information to be retained by XXX as evidence to have confidence that the processes are being carried out as planned. M.R. shall prepare the list of Records to be maintained across the organization & shall issue the same to the concerned.
6.1 IDENTIFICATION OF RECORDS:
All files/register are identified by using labels which indicates the reference no., description, the period to which the contained records belong.
6.2 COLLECTION OF RECORD:
The origin of records & generating authorities are described in respective Quality management system procedures, work instruction, quality internal procedure method statements & check lists.
Each department head shall ensure all the records are legible by the concerned users & specify the collection method in the list of records & shall maintain the records safely.
6.3 INDEXING & FILING OF RECORDS:
The individual records shall be indexed in chronological order or date / serial nos. wise or subject of records as felt appropriate by the department in charge. The records in the form of book copies shall be kept in chronological order of period for each book, which lead to easy retrieval of any record needed.
The records shall be filed in a new file when the current file becomes bulky for handling or after the predetermined time period.
6.3 ACCESS OF RECORDS:
All the personnel performing various tasks addressed in the system shall have access to any record required by them in connection with their work, through the department incharge.
Whenever required, the records are made available for analysis, audit purpose & for any other reference purpose.
If contractually agreed, the appropriate records shall be made available to the customers as & when required.
The records stored in departments or record room shall be provided adequate protection from any type of damage, deterioration or loss.
6.4 DISPOSITION OF RECORDS:
The records after the completion of retention period shall be destroyed by the department by shredding.
6.5 RETENTION PERIOD OF RECORDS :
The retention period for each record shall be mentioned in the list of records, which is prepared & maintained by M.R.
Records of internal quality system audit & management review shall be retained for a period of five years by M.R.
However for any other reasons, if felt necessary, any of the records shall be retained further for time period needed by department heads and destroyed subsequently.
6.6 COLLECTION OF RECORD:
The origin of records & generating authorities are described in respective Quality management system procedures, work instruction, quality internal procedure method statements & check lists.
Each department head shall ensure all the records are legible by the concerned users & specify the collection method in the list of records & shall maintain the records safely.
6.7 INDEXING & FILING OF RECORDS:
The individual records shall be indexed in chronological order or date / serial nos. wise or subject of records as felt appropriate by the department in charge. The records in the form of book copies shall be kept in chronological order of period for each book, which lead to easy retrieval of any record needed.
The records shall be filed in a new file when the current file becomes bulky for handling or after the predetermined time period.
6.8 ACCESS OF RECORDS:
All the personnel performing various tasks addressed in the system shall have access to any record required by them in connection with their work, through the department incharge.
Whenever required, the records are made available for analysis, audit purpose & for any other reference purpose.
If contractually agreed, the appropriate records shall be made available to the customers as & when required.
The records stored in departments or record room shall be provided adequate protection from any type of damage, deterioration or loss.
6.9 DISPOSITION OF RECORDS:
The records after the completion of retention period shall be destroyed by the department by shredding.
6.10 RETENTION PERIOD OF RECORDS :
The retention period for each record shall be mentioned in the list of records, which is prepared & maintained by M.R.
Records of internal quality system audit & management review shall be retained for a period of five years by M.R.
However for any other reasons, if felt necessary, any of the records shall be retained further for time period needed by department heads and destroyed subsequently.
Sl. No.
Description
Retention Period
Responsibility
1
Internal Quality Audit Report
5 years
Quality Systems Manager
2
Minutes Management Review Meeting
5 years
Quality Systems Manager
3
Contract/Job order file including related documents
10 years from the completion date
Commercial Officer
4
Quality records
5 years or 10 years/As per API product spec requirements
QA/QC Engineer
5
Inspection records
10 years or Part of contract/job order records
Commercial Officer
6
API Monogrammed Product records
5 years or 10 years/As per API product spec requirements
Commercial Officer
7
Purchase documents
10 year after settlement unless specified otherwise
Procurement Engineer
8
Finance documents
5 years after settlement unless specified otherwise
Finance Controller
11
Training records
5 years
HR Manager
12
Personnel records of Permanent employment
5 years after end of employment
HR Manager
13
Legal documents
5 years after closing all legal issues
Chairman
14
Product Specification…..records
5 years
QA/QC Engineer
15
Product Specification ….. records
10 years
QA/QC Engineer
16
Product Specification ….. records
5 years
QA/QC Engineer
6.11 EXTERNAL RECORDS
Records prepared or generated by the Sub Contractors / Suppliers which are the part of Quality Management System are maintained as company’s own records.
Such records generated by the Sub Contractors / Suppliers are verified for accuracy and endorsed by the responsible person receiving these records.
This procedure outlines the method for control of documents to ensure that the appropriate revisions of the documents are available with the user. It also addresses responsibilities for approval and re-approval and identifies the controls needed to ensure that the documents required by the Quality management system including revisions, translations, and updates.
2.0 SCOPE:
Applicable to all documents related to documented Quality management system generated internally and externally.
This procedure is applicable to all the levels of documents pertaining to:
API Spec Q1, 9th edition /ISO 29001:2020
API Spec …..
API Spec …..
API Spec …..
API Spec …..
API Spec …..
3.0 INPUTS
Need for new documents, Document request form, International Standard, Customer requirements, XXX procedures requirement.
4.0 RESPONSIBILITY:
Management Representative
Manager – Design & Quality Systems
All concerned process heads
5.0 RESOURCES:
Competent Manpower, Computers, Printer & Internet connection, Stationaries, International standards & specifications, XXX Procedures
6.0 PROCEDURE:
The procedure specifies responsibilities for approval and re-approval and identifies the controls needed to ensure that the documents required by the Quality management system, including revision, translation, and updates are available where the activity is being performed and remains legible and readily identifiable.
The XXX manual for Quality management system is the Quality System Manual. The Master copy of Manuals is available in hard. Responsibility of updating Quality Management System Manual lies with the Management Representative.
Quality Management System Procedure are linked to Quality Management System Manual
Quality Procedures are mapped as per defined processes in Quality Management System Manual.
Quality Systems Manager updates them in hard and soft. Prior to the issuance of the documents, the Management Representative has reviewed the copy for its adequacy, legibility and for in line with ISO 29001: 2022/ API Spec Q1, 9th edition, API Spec …, API Spec …., API Spec …, API Spec … and API Spec … requirements, gets it approved from the top authority in XXX.
All such documents identified by a unique serial number (Copy No) and the copy number logged in the issue register for future reference.
6.1 PREPARATION OF DOCUMENTS:
All the documentation of Quality Management System is prepared by Management Representative by taking inputs from all process heads & concern personnel. When creating and updating documented information, XXX ensures appropriate:
Identification and description (e.g. a title, date, author, or reference number)
Format (e.g. language, software version, graphics) and media (e.g. paper, electronic)
Review and approval for suitability and adequacy.
6.2 DOCUMENT IDENTIFICATION: –
All Quality Procedures and level 3 documents have their reference number, revision date, and revision number, page number, title as appropriate. Each document has unique identification.
DOCUMENT STATUS IDENTIFICATION:
Sr. No
Description
Identification
Color
1.
All Master copies
Master Copy (on front side of document and for document with multiple pages it is mentioned in the contents page with Signature of the MR)
Blue
2.
All Controlled copies
Controlled Copy (on front side of document and for document with multiple pages it is mentioned in the contents page with Signature of the MR)
Blue
3.
For all obsolete copies
OBSOLETE COPY (on front side of document and for document with multiple pages it is mentioned in the contents page with Signature of the MR)
Red
6.3 ISSUE CONTROL:
Master copy stamped in Blue color on the document and is used for taking photocopies for the purpose of issuing copies.
Record of issue is maintained in Record of Issue and Distribution and kept with master copy only.
For 01 issue documents the revision status is 00. Whenever there is any change in particular document the revision number is raised as 01, 02 to 09.
For major changes, issue number will be incremented.
The issue number is raised to next issue number in following circumstances.
Whenever there is any major change in API Q1 Spec requirements/ISO 29001/2020.
Major changes in Company’s Organization.
Whenever Revision number of any particular document will go above 09.
6.4 NEW DOCUMENT/CHANGE CONTROL:
The employee who desire or suggests any new document or change in the document shall raise a New Document Request form and Document change request respectively. Requesting it to MR for reviews. Approval authority to takes decisions whether to include a document or revise that document or not.
If the document is to be newly implemented or revised, MR shall take the approval from the authority that has originally approved the document.
The nature of document changes is communicated to concerned departments through the document-change note.
The revision in the level 2 and 3 documents are recorded in Record of Revision and Distribution by MR and are kept with Master copies. Control copyholder can refer to these sheets as and when required to know revision in their documents.
The document change request indicates the effective date for implementation of change.
MR issues the revised document to all concerned as detailed in record of revision and distributions.
MR ensures that all the obsolete copies are received back from concerned persons. All obsolete copies shall be destroyed except master copies of previous version.
6.5 DOCUMENT MASTER LIST:
MR has a master list of all documents, which shows the current issue status and revision status of the document.
Whenever there is any revision in the document MR updates master list of that particular document.
6.6 RESPONSIBILITY OF USER DEPARTMENT:
It is responsibility of the Quality Systems Manager to ensure that the updated copies are available with the controlled copy holders and shall ensure to remove the obsolete copies from use.
All controlled copyholders shall make available relevant procedures, work instructions, and check lists formats and any other documentation to the employees working under them. They ensure that procedures and work instructions are understood and implemented in day to day working by concerned persons.
6.7 CONTROL OF EXTERNAL ORIGINAL DOCUMENTS:
All International standards, code or specification required for the manufacturing controlled by the Design & Quality Systems Manager/ or his designee by periodic check.
Any changes (revision or addenda) obtained and incorporated within the system
A master list for External Origin standards maintained and controlled accordingly and also ensures that the relevant version are used and maintained.
In case of any such changes to the relevant specification, which affect the company management systems or documents, such reviewed and necessary changes to be made accordingly.
Supplier’s technical manual and their data sheets are stored in XXX Technical Library.
All official documentation such as commercial registration, registration with chamber of commerce, memorandum of association, import export license, approval from various departments (fire, water, electricity etc.) maintained by the administration department under the direct supervision of HR Manager.
XXX controls procedure, work instruction and forms required the Quality management system.
6.8 CONTROL OF DOCUMENTS STORED IN ELECTRONIC MEDIA
Utmost care shall be taken while storing data in electronic media.
Only authorized users shall be allowed to use the data.
Wherever possible, data shall be protected by providing passwords.
Regular back up shall be taken to avoid data loss or damage / corrupted.
Data shall be protected from viruses by using latest anti-virus programs.
6.9 DOCUMENT CONTROLS
Sl. No.
Document
User
Control
1.
Quality Management System Manual
All Process heads & applicable users
With MR / Top Management / Hardcopy / Softcopy
3.
Quality Management System Procedures
All Process heads& applicable users
With MR / Top Management / Hardcopy / Softcopy
5.
Work instructions (WI)/ Quality Internal Procedures (QIP)
All Process heads & applicable users
With MR / Top Management / Hardcopy / Softcopy
6.
Records
Department users
Respective Department Manager/In-charge
6.10 APPROVAL & RE-APPROVAL AUTHORITY
Level 01 Quality Manual Chairman
Level 02 Quality Procedures Chairman
Level 03 Work instruction / QIP MR/Process Heads/Machine Shop Manager
Level 04 Formats/Records MR / Process Heads/Machine Shop Manager
6.11 REVIEWING AUTHORITY
Level 01 Quality Manual MR
Level 02 Quality Procedures MR
Level 03 Work instruction / QIP MR / Process heads
Level 04 Formats/Records MR / Process heads
7.0 OUTPUTS
New documents, Forms & formats
Revised documents
8.0 Key performance indicator
All documents are available as per requirements of International standard, XXX procedures & customer.
The aim of this procedure is to maintain a documented procedure for:
Defining personnel competency.
to identify the rationale for, and elements of, the process the Company uses to verify the background and qualifications of a candidate for employment at XXX
Identifying training requirements.
Actions to achieve the necessary competency of personnel whose responsibilities fall within the scope of the Quality management system.
Includes provisions for determining and documenting the effectiveness of the training or other actions taken toward the achievement of required competency.
Ensure that all personnel performing activities affecting quality are capable of performing their respective assigned tasks.
Ensure that persons doing work under the organization’s control are aware of relevant requirements.
2.0 SCOPE:
This procedure is applicable to all the following systems and standards
API Spec Q1, 9th edition /ISO 29001:2020
API Spec ….
API Spec ….
API Spec ….
API Spec ….
API Spec ….
Applies to all processes which has an influence on product quality.
3.0 RESPONSIBILITY:
Human Resource Manager
Management Representative (MR)
All concerned process owners
4.0 INPUTS:
Training need identification
Skill – Competency matrix
Annual Training Plan
5.0 RESOURCES:
Competent Manpower
Funds
Infrastructure for training
6.0 PROCEDURE:
6.1 General
All personnel performing work effecting product quality shall be competent on the basis of appropriate education, relevant, and necessary training, skills and experience. XXX determines the necessary competence of person doing work under its control that affects its Quality performance and its ability to fulfill its compliance obligation. There are two forms of training available in XXX and are:
In-house Training (on the job training)
External Training (off the job training)
Evidence of the determination of competence of personnel have been recorded and maintained. Refer Level – 03 Skill Matrix.
XXX:
Provides for Quality management system training and job training;
Ensures that customer-specified training and/or customer-provided training, when required, is included in the training program; (Refer Annual Training Calendar)
Ensures that the frequency and content of training is identified;
Ensures that its personnel are aware of the relevance and importance of their activities and how they contribute to the achievement of the quality objectives; and
Maintains appropriate records of education, training, skills, and experience.
6.1.1 IDENTIFICATION OF TRAINING NEEDS
The knowledge and skills of employees necessary for the department to achieve QMS objectives are been identified by the respective process heads and approved by the HR Manager.
Frequency of Identification of training is minimum of 1 year.
Annual training calendar is prepared by the HR every year. As per the training calendar, trainings are conducted throughout the year.
Knowledge and skill levels are considered in recruitment and personnel selection as per Skill / Competency Chart.
Ongoing developments of employee skills are accomplished through internal and external training programs.
Training for Internal Auditing is given for identified Internal Auditors.
Training needs are associated with QMS requirements, environmental aspects, OH&S risks and its HSE management system requirements.
6.1.2 INDUCTION & ON THE JOB TRAINING
Induction Training shall be provided to the newly employed personnel. Quality, Environmental, Health & Safety Management System requirements and the roles and responsibilities of their position shall be discussed in the induction training. Induction Training shall be performed within one month from the date of joining of the person.
Depends on the operation where ever required “on the job training” provided for employees performing job effecting product quality. This includes XXX as well as sub-contractors/manpower suppliers/ agencies manpower whoever involved in the actual job.
All the employees involved in the work effecting product quality informed and aware of the importance of maintaining the product quality and not carry-out any activity that they are not competent enough without proper supervision.
XXX provides Quality Management System training and ensures that customer-specified training and/or customer provided training is included in the training program.
6.1.3 SAFETY TRAINING
The Chairman has overall responsibility for ensuring that all personnel carry out their duties in a safe and responsible manner, in accordance with the company safety policy and the international standard API Spec Q1, 9th Edition. The Machine Shop Manager or his designee is responsible, at local level, for ensuring that all employees are familiar with safe working practices and the requirements of the Health and Safety Regulations and local legislation.
In order to make the safety awareness to the employee, periodic safety training carried-out and performed accordingly.
6.1.4 IMPLEMENTATION OF TRAINING & AWARENESS
XXX ensures that personnel are aware of
Quality policy
Relevant objectives
The potential consequences of departure from specified procedures.
Their contribution to the effectiveness of the Quality management system, including the benefits of improved performance
The implications of not conforming with the Quality management system requirements, including not fulfilling the organization’s compliance obligations
Requirements of periodic Training are based on the following:
Competence of personnel performing work effecting product quality.
Awareness of product/process requirements
Awareness of Standards, technical specifications
Company Quality Policy and Quality Objectives
Safety awareness, Company safety policy and Health and Safety requirements
Housekeeping
Communication and customer service
Training towards achievement of policies, objectives and targets are provided to all personnel within the department.
New Employees are given training which includes training in the methods and skills required to perform their tasks in an efficient and competent fashion and knowledge of the impact that their activities can have on the QMS and business processes if performed incorrectly.
Skill-competence evaluation for new employees is done only after three months from his date of joining.
Training is given to each and every department to ensure that employees have appropriate and current knowledge of regulatory requirements, QMS policy, department’s procedures and objectives, and the consequences of noncompliance.
The level and detail of training is determined with the help of Process heads.
Identified personnel are trained as Internal Auditors.
Monitor the training effectiveness in day to day work and highlight the same in inter department meetings and with the department employees.
Training feedback is obtained from the attendees, immediately after the completion of training. This is used for improving the quality of the training as to the faculty, contents, location and presentation of the training material.
Once the training process is completed, the Human Resource Officer collects the feedback document and analyses the improvement opportunities from the training process.
6.1.5 EVALUATION AND EFFECTIVENESS OF TRAINING
Evaluation test (written or oral) is conducted as a part of the training programme. The result of the test determines the effectiveness of the training. Evaluation of training is done by the department heads after a given period of time which is usually three months.
In order to evaluate the effectiveness of the training given, the trained personnel are closely monitored during the initial period and personnel found not competent in their trained activity/task returned for training or alternate arrangement made. It is the responsibility of department managers to monitor the effectiveness of personnel training.
6.1.6 EMPLOYEE PRE-SCREENING
This procedure applies to all new hires of full-time and part-time administrators, staff members. The procedure does not apply to part-time student employees or part-time temporary special assignment employees (less than 3 months in duration) if those employees will not work with minors under the age of 18. This procedure also applies to all full-time temporary positions.
Pre-employment screening includes core elements and additional elements depending on the nature of the duties involved.
The core elements that apply to all new hires are:
Background checks for criminal convictions (felony and misdemeanors(
Education verification (to verify degree(s) earned from accredited institutions)
Reference checks [these should continue to be done prior to an offer of employment by the relevant hiring department in consultation with Human Resources].
Reference Check list :
Complete resume
Educational Qualification Copy
Additional Qualifications
Experience Certificates
In order to assure a consistent and effective application of this procedure, the process of conducting background checks will be managed by the Office of Human Resources. Any exceptions to this procedure must be approved by the chairman.
The Contingent Offer of Employment:
The Office of Human Resources and the technical department work together to identify a candidate for hire. Once that candidate has been identified, an offer of employment is extended by the HR department to the candidate, specifically indicating that the offer is contingent upon the successful completion of appropriate pre-employment screening.
The appropriate release form(s) must be signed by the candidate and delivered to the Office of Human Resources before the start of full time employement. Accordingly, in order to initiate the pre-employment screening process, the Office of Human Resource Management must have the following documents:
Candidate Signed Offer Letter
Copy of reference check list , work permit , Iqama Copy , Civil ID copy and Signature Authorization Letter from the previous company
6.1.7 Process to Verify Information:
Commencement of employment is contingent upon the results of the screening process. All pre-employment screening must be completed and the results verified before the candidate begins to work. Based on the check/test results, the Office of Human Resource Management notifies the hiring department of the candidate’s ability or inability to commence employment. At no time should a candidate begin to work until the Office of Human Resource Management has verified results of the candidate’s pre-employment screening.
The Office of Human Resources will review the results of the background investigation in relation to the position under consideration. All known factors regarding the candidate will be considered. Any misrepresentation of facts noted on the Company Employment Application may be cause for dismissal or refusal to employ.
6,1,8 Re-employment:
Team member separated from the Company two years or longer are required to undergo a new pre-employment background check upon rehire. Time is measured by reviewing the end date of the prior service in comparison to the beginning date of the new service. In some cases and based on position, a new background check may be required with less than a two year separation. In such cases, Chairman Approval shall be required.
7.0 TRAINING RECORDS
Training records should include:
Employee’s name
Job title
Job description
Training requirements
Faculty Name
Date of Training and qualification record of each employee is maintained till their tenure in XXX.
8.0 OUTPUTS:
Training Records,
Training feedback
Training evaluation & effectiveness
9.0 KEY PERFORMANCE INDICATOR
Completion of training as per Annual Training Schedule.
