PENNDOT – Engineering District 10-0
ISO 9001 Internal Audit Report
(02/06)
Department
Audit Process
Date & Time of Audit
Construction
5.1 & 5.2
March 31, 2010 2:00pm
Auditor(s)
Audit Objectives:
1. Michael Shanshala
2. Brock Heigley
Review 5.1 Management Commitment and
5.2 Customer Focus processes to insure
compliance and improved effectiveness with
ISO 9001 and organizational requirements.
Name of Auditee(s)
Auditee(s) job Function
1. Paul Majoris
2. Gary Madey
1. ADE – Construction
2. CSE – Construction
Item(s) or areas audited
5.1 Management Commitment
5.2 Customer Focus
Auditee Comments:
o
Plan approved by: (Management Representative)
Tim McClellan
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PENNDOT – Engineering District 10-0
ISO 9001 Internal Audit Report
Audit Criteria
External requirements (questions)
1. 5.2 Are Customer Reviews on a project reviewed in the After Action Reviews?
2. 5.2 Are Customer Reviews used as a tool in upcoming project design?
External requirements (answers)
1. 5.2 No, because AAR’s are due at final inspection, customer reviews are
Internal requirements (questions)
due annually
1.
2. Customer reviews are assigned to Maint/Traffic/Design for improvements
to future projects. These are discussed at the annual spring construction
schools (Such as topsoil inclusion into SIP’s). If a customer contact is
available, they are notified.
Internal requirements (questions)
1. Explain 5.1 and 5.2 process to me.
2. Does 5.1 and 5.2 process have room for improvement?
3. 5.1 What evidence can you provide of commitment to the development,
implementation and improvement of the quality management system?
4. 5.1 How often is a management review conducted and what are the steps taken to
perform a management review?
5. 5.2 Resource Documents. Observation of an internal audit conducted on 9/14/09,
the auditor asked to explain and show the process that exists for someone to step
into a position in top management and effectively analyze the resources and make
improvements to the unit. The answer was no process exists. Was any
consideration given to documenting the best practices that have been used in the
past to utilize the resource / referenced documents that have successfully worked
to benefit the replacement of top management?
Internal requirements (answers)
External
requirements
1. ADE-C
reviews on(questions)
an annual basis the legal and customer requirements with staff.
1. Peer reviews are in place among managers of different projects and available on
the J:ISO location by other managers from similar projects.
2. Yes, reviews are done by ACES and peers using a checklist such as for MPT.
3. Peer reviews, CPAR Process, shared learning at construction school/DMC.
4. Every other month. Agenda is established for each review.
5. A formal written process is not established, however desk manuals (lists
containing daily/weekly/monthly/quarterly activities) are published by key
management personell retiring or vacating positions. These are given to the
successor.
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PENNDOT – Engineering District 10-0
ISO 9001 Internal Audit Report
Overall Statement of Effectiveness of the Quality Management System
Areas of strength regarding ability to meet requirements- including observed BEST
Practices
1. Conducting the management 6 times/year rather than the two required.
2. Updates being made from ISO 9001-2000 to 9001-2008
Areas to consider for improvement:
1. Develop a process to formalize the current “desk manual” practice for key management
positions.
Specific observed nonconformities (Findings): If Applicable, Follow-up
Scheduled:
1.
NONE
Observations and auditor comments:
1.
Management should consider spot checking the master control documents on the
J:Drive. The 2009 CPARS show two in the open mode when they also appear in the
closed mode. 1.) Updating Control Documents 7/20/09 & 1/17/10 2.) Flow Chart for
Inadequacies 12/14/09 & 12/14/09. Position specific titles are still shown on preface for
retired people.
Statement of overall effectiveness of the system:
 Commitment appears to be in place to upkeep the auditing process and well as
incorporating improvements into the system. These are easily available to find on the
J:Drive control documents.
Distribution of Audit Report:
 Manager of area audited
 A.D.E. Construction
 ISO Management Representative
Unit Manager Comments Including Follow-Up Action: (if any)
 The CPARS have been moved to the closed folder. They were being left in the open
folder until the next MGT review meeting so they could be reviewed. They were only
closed within a couple weeks of this audit. The Manual cover sheet auditors have
been updated. (Tim McClellan).
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