CONCEPT PAPER FOR SOFTWARE APPLICATION FOR INTERNAL AUDIT ...

CONCEPT PAPER FOR SOFTWARE APPLICATION FOR INTERNAL AUDIT MANAGEMENT

Internal audit management is a crucial part for smooth implementation of ISO 9001:2015 in NHA. Internal audits are mandatory requirement of ISO 9001. Regular audits ensure compliance with quality standards, which is important to maintain international certification.

It is believed that audit management software significantly reduces the time, effort and traditional manual work while centralizing and automating auditing processes. The software simplifies the process and integrates the documentation system, ensuring the necessary documentation is found and accessed. Paper-based audits are more prone to human errors, as we are prone to make mistakes without any intention. This can be eliminated with audit software. As the data tracking becomes automatic, the errors are removed completely, ensuring zero error auditing.

Following features are required in the application/software It shall provide a complete overview of every step of the audit process, from preparation to completion to ensure compliance.

2. Initiate and track corrective measures and helps to document proper issue resolution. 3. Create templates from previous audits and use them in the new audits process. 4. The users should be able to create new audit checklists, before and after the auditing

process. 5. The software offers audit closure and reporting options. Audit reports that are generated

should be able to analyze audit results. 6. The software should make it easier to collect feedback on the audit process. 7. The software must be able to identify an audit to be completed only when all relevant

criteria are met and all tasks are finished. 8. The software should let the auditor attach supporting documents to audits. Every document

related to a particular audit is stored in a central, protected and digital location with the use of audit software.

9. Eliminate uncertainty in audit reports by gathering and attaching to the audit immediately on site.

10. Automatic reminders 11. Reduces duplication 12. Easy-to-understand user interface 13. Dashboard enables QAC to check the scats of auditing reports with a visual representation. 14. QAC need an application to make the plans for internal QMS audit. Through this, following

is required

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CONCEPT PAPER FOR SOFTWARE APPLICATION FOR INTERNAL AUDIT MANAGEMENT

Following information shall also be required in the software 15. Information of offices, 16. List of trained auditors, List of auditees 17. Audits performed by one auditor 18. Audits to be assigned to one auditor 19. Ranking of the auditor 20. Automatic information to the auditor and auditee 21. Automatic follow-up of the audit

QAC need an application to make the audit process paperless, easy and smooth, auditors just have to proceed to the physical location and then he could perform the audit through the application.

He/she could extract following from the application 22. Filled audit report with the digital signature/ identification of auditor 23. Filled corrective action forms 24. Filled audit checklist along with comments 25. Attendance sheet / it will be filled physically as well 26. The application may have space to upload audit evidences in the form of pics etc 27. Comprehensive collective audit report 28. Zone wise number of NCs, office wise number of NCs, auditor wise number of NCs, 29. Repetitive natured NCs 30. Provides a comprehensive picture of the progress of audit activities across Pakistan.

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NATIONAL HIGHWAY AUTHORITY ISO (QUALITY ASSURANCE CELL) DOCUMENT# NHA/ ISO-F-01/ REV/

HQ Coordinator: Ms. Sidra Irshad, ISO Coordinator.

Schedule for 1st Internal Audit for the Year- 2020 Head Quarter

ADMN WING S.No Name of Offices Implementers/Auditee(s) Auditor(s) Audit Team Leader (ATL) Date

1

Member (Admn)

Fahad Yamin, Office Assistant Shahid Zaheer, (Computer Operator) Recruitment section

- Ahmed Zaheer saqib, AD(Sectt)

03 Aug, 2020

GM(Admn) Dir (Pers) Personnel-I Personnel-II HRMIS-Admn Confidential Section Iftikhar hussain, AD (Confidential)

2

GM(Estab),

Jamshed Ali, AD (LM&IS) Muhammad Shareef, AD

04 Aug, 2020

Welfare-I Sohaib Nazar, Office Assistant Welfare-II Riaz Ahmed Jan, Supdt Store section Mehr Bux, Office Assistant

GS section

R&I section

3 Cakri record Office Mehr Bux, Office Assistant

Sofia Andleeb, AD (Finance) Ms. Sidra Irshad, AD (ISO-QMS)

NHA HQ

03 Aug, 2020

4 5

Transport Section Sami Ul Haq, Office Assistant 04 Aug, 2020

Cafteria Riaz Ahmed Jan, Supdt 6 MIS section Muhammad Ilyas, AD(MIS)

Shehzada Khurram, Supdt(GOP)

Mr. Faheem Channa

05 Aug, 2020

7

GM(EA1S)

Environment section Ms. Rubina Kausar , DD (Enviroment)

Land section Jamshed Ali, AD (LM&IS)

8 GM(Regulations) Regulation Wing

9 Legal Bureau Muhammad Akif Afridi, Office Assistant

10 HRD section Jehnzeb, DD (HRD Cell)

Iftikhar hussain, AD (Confidential) 13-Jul-20 11 Recruitment Section

Shahid Zaheer, (Computer Operator) Recruitment section

Rashid Mehmood, (LDC) Recruitment Section

12 PR Section Yasir Tahir, Senotvpist

Reviewed by Dir (ISO-QMS) NHA, HQ

Prepared by AD (ISO-QMS) NHA, HQ

NATIONAL HIGHWAY AUTHORITY ISO (QUALITY ASSURANCE CELL) DOCUMENT# NHA/ ISO-F-01 /REV/


Schedule for 1st Internal Audit for the Year- 2020 Head Quarter FINANCE WING

1

Member (Finance) Office

Fahad Yamin, Office Assistant

(Audit)

Iftaikhar Ahmed Siddiqui, AD

14 July, 2020

13 July, 2020

GM (B&A) Office

Accounts AP Section Nazim Hussain, Supdtt (Accounts)- AP

Accounts-Estab Section

Accounts-BOT Section Accounts Budget Section

Amjad Ali , AD (Budget)

Accounts GOP Section Shehzada Khurram, Supdt(GOP) Accounts-III section

Accounts RMA section

CP/GP Fund section Maleeha Siddiqui, AD(Employee Fund)

Finance section Sofia Andleeb, AD (Finance) Book keeping Financial/IT Analyst Haroon, IT Analyst

2

GM (Revenue)

.

Sofia Andleeb, AD (Finance) 15 July, 2020

Revenue-contracts section

Revenue-receipt section

Revenue-operations section

Tolling section Aurangzeb Anwar Mirza, AD (Toll Plazas-Contracts, HQ

ETTEM Section Tawsawar hussain, ACP

Police Fines section Rana Muhammad saleem, AD (Fine Operations), HQ

Barkat Ali, Director (ROW) 3 GM (ROW)

16 July, 2020 ROW section

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NATIONAL HIGHWAY AUTHORITY ISO (QUALITY ASSURANCE CELL) DOCUMENT# NHA/ ISO-F-01/ REV/


Schedule for 1st Internal Audit for the Year- 2020 Head Quarter

Chairman/ Sectt/ Coord

16 Chairman

Ahmed Zaheer Saqib, AD(Sectt) NHA

Maleeha Siddiqui, AD(Employee Fund) Iftaikhar Ahmed Siddiqui, AD

(Audit)

17 July, 2020

—

Secretariat Secretary Section

17 Moniterning & insepction Wing

20 July, 2020

18 Complaint Cell (PMDU)

21 July, 2020 19

ISO-Quality Assurance Cell

Shazia Riaz, AD(ISO-QMS) Maleeha Siddiqui, AD(Employee Fund)

Ch.Irshad Ch. AD(ISO-QMS)

20 Internal-Audit Wing Iftikhar Ahmed Siddiqui, AD (Audit), HQ

Mr. Faheem Channa Maleeha Siddiqui, AD(Employee

Fund) 22 July, 2020

21 Member (Coord), Office

Amber Mehmood, AD(Coord) Shahid Zaheer, (Computer Operator)

Recruitment section • Ahmed Zaheer saqib„

AD(Sectt) 22 July, 2020

GM (Coord), Office Coordination wing

22 SP& CP, Section Irum Shaheen, Legal Assitant

Malik Fayaz Ul Hasan, Legal Assistant

3 Reviewed by Dir (ISO-QMS) NHA, HQ Prepared by AD (ISO-QMS) NHA, HQ

NATIONAL HIGHWAY AUTHORITY ISO (QUALITY ASSURANCE CELL) DOCUMENT4 NHA/ ISO-F-01/REV/

HQ Coordinator: Ms. Sidra Irshad, ISO Coordinator. Schedule for 1st Internal Audit for the Year- 2020

Head Quarter Planning Wing

23 Member (Planning)

Ms. Saba Mehmood , Office Assistant

Maleeha Siddiqui, AD(Employee Fund) Ms. AD (ISO-QMS) Sidra Irshad,

NHA HQ 23 July, 2020

GM (Planning) Planning Wing Ms. Sabiha Naeem, Office Assistant

24 GM(Design) Tariq Riaz, DD(Design-pavement) Design Section

25 GM (P&CA)

Sarmad Saud Aulak, Director (Works) MCA section

26 GM (PPP) PPP Cell

27 BOT section

28 HRTC Sohaib Mansoor, DM(HRTC)

Amber Mehmood, AD(Coord) Mr. Faheem Channa 23 July, 2020 Abdul Rauf, Coordinator HRTC

29 Member (EC)

Ms. Rubina Kausar , DD (Enviroment)

Nasim Javed khatak,DD (Admn)

23 July, 2020 Engr coordination, Section

30 GM (RAMD),Office

Rizwan Nayim, AD (RAMD), HQ RAMD Section

31 GM(Construction)

Arshad Abbas, DD (Const), HQ

Tariq Riaz, DD(Design-pavement) 24 July, 2020

Construction Section

32 ADB Agha Sajjad Habib, AD (ADB), HQ 33 NHIP Section 34 GM(Carac)

35 PD (Metro Bus Project)

GM(IMDC,S-2&S-3)

36

GM(IMDC S-2 &S

S-3) Rafaqat Ali, AD(Eng) NHA

Muzaffarabad

Mr. Faheem Channa

28 July, 2020

Iftaikhar Ahmed Siddiqui, AD (Audit)

27 July, 2020 (Maint) NHA Muzaffarabad

Muhammad Dawood Khan, Supdt (Admn) NHA Muzaffarabad

Muhammad Saeed, Office Assistant (Maint) Unit- Bara Kahu (Maint) Unit NHA Murree

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NATIONAL HIGHWAY AUTHORITY (NHA) QUALITY ASSURANCE CELL

Checklist for 2" QMS audit DOC#NHA/QAC/F-07 REV#00 Issued on 07.01.2021

Sr.# Description Yes No Remarks

Audit of Functions (Clause 4.4.1 of ISO 9001:2015)

1. Is the list of functions available?

2. Is the list of functions prepared on the ISO format?

3. Are the functions corresponds to the nature of the office?

4. Do the list have proper ISO number on it?

5. Does the relevant authority approve the list?

6. Do the list have issue date on it

Audit of Organization chart (Clause 5.3 of ISO 9001:2015)

7. Is the organization chart available?

8. Is the organization chart, prepared on the ISO format?

9. Is the organization chart depicting all the posts of the office?

10. Do the organization chart have proper ISO number on it?

11. Does the relevant authority or office incharge approve the organization chart?

12. Do the organization chart have issue date on it?

Audit of Standard Operating Procedure (SOP)? (Clause 4.4.1 of ISO 9001:2015) Are the SOPs available? 13.

14. Are the SOPs prepared on the ISO format/template?

15. Are the steps of SOPs in logical sequence?

16. Do the SOPs have risks and mitigations?

17. Is the review period indicated in the SOP?

18. Do the SOP have issue date on it?

19. Are all the functions of Office/Section/Cell covered in the SOPs

20. Do the steps of SOPs have proper timelines?

21. Does the relevant authority approve the SOPs?

Audit of Job Description (JDs) (Clause 5.3 of ISO 9001:2015)

22. Are the JDs available?

23. Are JDs, Organization chart and list of officers/officials corresponds with each other?

24. Do the JDs have KPIs?

25. Do the JDs linked with SOPs?

26. Do the each statement of JD started with active verb.

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Checklist for 2nd QMS audit DOC#NHA/QAC/F-07 REV#00 Issued on 07.01.2021


27. Does the JD have proper ISO number on it?

28. Does the relevant authority approve the JDs?

29. Do the JDs have issue date on it?

Audit of SMART objectives (Clause 6.2 of ISO 9001:2015)

30. Are SMART objectives available?

31. Are the objective developed according to the SMART rule?

32. Do the objectives have proper ISO number on it?

33. Does the relevant authority approve the objectives?

34. Do the objectives have issue date on it?

Audit of Quality Policy (Clause 5.2 of ISO 9001:2015)

35. Is the Quality policy displayed in office at conspicuous places?

36. Are the Officers/officials and staff have adequate knowledge about the policy? Audit of interested parties (Clause 4.3 of ISO 9001:2015)

37. Is the list of interested parties available?

38. Do the interested parties have proper ISO number on it?

39. Does the relevant authority approve the list of interested parties?

40. Do the list of interested parties have date on it?

Audit of equipment (Clause 7.1.5 of ISO 9001:2015)

41. Is the list of equipment available?

42. Is the list of calibration sensitive equipment available?

43. Are the calibration certificates available?

44. Does the accredited lab perform the calibration?

45. Is calibration have national and international traceability?

Audit of building and record (Clause 7.1.3, 7.1.4 and 7.5 of ISO 9001:2015)

46. Do all the rooms have nameplates on them?

47. Are all the areas like kitchen, bathroom, store etc have identification on them?

48. Are all the records must have proper identification on them e.g. all the almirahs, cupboards etc Audit of housekeeping, washrooms and kitchen (Clause 7.1.4 of ISO 9001:2015) Is the washroom free of any unpleasant odor? 49.

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Checklist for 2nd QMS audit DOC#NHA/QAC/F-07 REV#00 Issued on 07.01.2021


50. Is the washroom well lit?

51. Are the toilet bowl free of stains?

52. Are work surfaces, shelves & floor kept clean & tidy in the kitchens?

53. Are kitchen, service, & storage areas regularly checked for pest (mice, insects, etc) infestations? Audit of vehicles and drivers (Clause 7.1.4 of ISO 9001:2015)

54. Do the drivers have medical fitness certificates to drive vehicles?

55. Do the drivers have any training related to driving, driving manners?

Audit of physical security? (Clause 7.1.4 of ISO 9001:2015)

56. How many points of entry are there to the building? Are those entrances monitored?

57. Do all persons entering and exiting the building go through a security checkpoint?

58. Are doors and gates in good working order?

59. If large panes of glass are installed in the building, are they laminated with a security film to prevent forced entry?

60. Does the office have security guards?

61. Do the guards have proper training on "office security"?

62. Do the guards have weapon? Are the weapon in working condition?

Audit of CCTV? (Clause 7.1.4 of ISO 9001:2015)

63. Are the perimeter of the building adequately covered by cameras?

64. Are cameras able to switch automatically from daytime to nighttime/low light?

65. Do cameras monitor the building entrances and exits?

Audit of Fire Fighting arrangements?

66. Are fire exits & escape routes free of obstructions?

67. Have staff been trained in use of fire extinguishers?

68. Are fire/evacuation drills carried out on quarterly basis?

69. Are the fire extinguishers adequate in type and the number?

70. Are the assembly areas marked?

71. Are the emergency evacuation maps displayed in the office building?

72. Are the responsibilities of firefighting staff defined?

73. Are the records of maintenance of firefighting equipment available?

Audit of First Aid (Clause 7.1.4 of ISO 9001:2015)

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Checklist for 2' QMS audit DOC#NHA/QAC/F-07 REV#00 Issued on 07.01.2021


74. Are first aid kits located on a prominent, accessible location and able to be retrieved promptly?

75. Are first aid kits maintained in proper condition and the contents are replenished as necessary?

76. Are the stretcher, wheel chair available in the office?

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CONCEPT PAPER FOR SOFTWARE APPLICATION FOR INTERNAL AUDIT ...

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