PennDOT – District 10-0



PENNDOT – Engineering District 10-0

ISO 9001 Internal Audit Report

(02/06)

PENNDOT – Engineering District 10-0

ISO 9001 Internal Audit Report

PENNDOT – Engineering District 10-0

ISO 9001 Internal Audit Report

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5.6 Mgmt. Review

Audit Process

Construction Unit

Department

Auditor(s)

Audit Objectives:

Date & Time of Audit

Michael Shanshala, III, P.E.

Terry Lezanic

Review process and determine conformity to QMS Manual

3/29/11 at 9:00 am

Name of Auditee(s)

Auditee(s) job Function

Item(s) or areas audited

Paul Majoris, P.E.

Gary Madey, P.E.

ADE Construction

Construction Services Engineer

5.6.1 General

5.6.2 Review Input

5.6.3 Review Output

Overall Statement of Effectiveness of the Quality Management System

Areas to consider for improvement:

1. Begin to track direct costs saved or not expended due to ISO certification

2. When control documents are changed, no formal method of communication to the entire unit exists.

3. Review Maintenance’s CAR/PAR data Access based tracking program

Unit Manager Comments Including Follow-Up Action: (if any)

Specific observed nonconformities (Findings): If Applicable, Follow-up Scheduled:

NONE

Auditee Comments:

A fresh look and overview of this process is appreciated. The 5.6 Management Review process will be updated for improvements suggested through this audit.

Distribution of Audit Report:

• Manager of area audited

• A.D.E. Construction

• ISO Management Representative

Plan approved by: (Management Representative)

Tim McClellan

Statement of overall effectiveness of the system:

Mid and Senior Level construction unit personell seem to be involved at a high level with ISO. Include lower level staff on the re-write of process maps and updates to the control document.

Observations and auditor comments:

The foundation for the processes required by ISO are in place, such as the CPAR Process, Quarterly Management Reviews and Update Process, to allow compliance with the ISO/9001 certification.

Audit Criteria

Internal requirements (questions)

5.6.2.(a) How are the results of audits shared within the Unit?

(b.) Describe the process exists to incorporate feedback into the process from the audit.

(c.) Describe the process used to track performance and conformity of the QMS to ISO 9001.

(d.) Describe the method used to track the CPAR process.

(e.) Who is responsible for altering the control document when the process is changed?

How are these changes communicated?

4.2.4. What evidence or proof have you to show that records are legible, referenced and stored properly for easy retrieval by all?

External requirements (questions)

1. In an audit conducted on 8/29/2007, it was asked if the costs of following ISO 9001 certification had ever been determined. Has this been done? If not, how is it known that the cost/benefit is worth it to PENNDOT in this time of cost savings?

2. How are PENNDOT’s consultants/contractors made aware of their role in the Unit’s ISO 9001 certification.

3. What constitutes the annual review process of the quality policy and objectives?

Areas of strength regarding ability to meet requirements- including observed BEST Practices

The unit plans to have the management representative review word-by-word the entire document and update all processes to current methods. This should be completed by the end of 2011.

Internal requirements (questions)

1.

External requirements (answers)

1. The annual certification cost is $4,000. No wage rates are included in this cost. Auditing requires that the unit be kept current on ISO and learn new skills. Cost/Benefit has never been determined. Asphalt/Diesel Adjustment Spreadsheet was developed because of this process. Process Flowcharts get updated because of ISO process.

2. Consultant and summer Intern Field personell are given an ISO overview. Contractors are not made aware. They follow Pub. 408 QA/QC requirements.

3. Managemetn Review Meeting is held quarterly. The July meeting serves as the annual management review to update policy. CPARS are reviewed. Recently the upgrade from ISO 9001:2000 to ISO 9001:2008 was made.

Internal requirements (answers)

a) They are not shared with each individual in unit after meetings or reviews. Changes are conveyed at the weekly ACE’s meeting or monthly staff meeting.

b) Changes needing made to precesses, etc., are incorporated into quarterly management review meetings. Panel discussions for ISO/QMS are held at winter school and the CPAR process is emphasized for changing processes. The end of season construction inspector meetings are held in the Fall when quality issues are fresh in everyone’s minds.

c) Internal and External Audits and thru quarterly management reviews.

d) Done thru the management review meeting. Minutes are published.

e) The designated QMS/ISO Management Representative. Control documents are password protected.

4.2.4 All controlled ISO documents are electronic. No paper version exists.

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