# Presentation: 494611

## HQ Quality Management Systemspresentation to theSenior Assessment Team

**Lynn F. H. Cline**
**Deputy Associate Administrator, Space Operations Mission Directorate**
**Headquarters Executive Management Representative (EMR)**
**September 19, 2007**

**Office of Internal Controls**
**and Management Systems**

## Internal Audit Findings

- Internal surveillance audit conducted by Qualitec Consulting, Inc. August 27-30, 2007.  There are two minor nonconformance findings:
- Internal audit procedure HQPG 1280.3B requires a Draft Audit Plan be prepared, reviewed, and approved as a part of the audit planning activities, prior to conducting the audit.  It was observed that the audit plans (NHQ 278) were not prepared and approved prior to audit completion, rather they were signed by POC at audit interviews
- Internal audit procedure HQPG 1280.3B requires completion of an Internal Audit Checklist (NHQ 275) as part of internal audit process.  However, these forms have not been used for at least the last 2 or 3 audits, based on a review of audit records and observations during the current audit

## The internal audit process has been modified and improved since the publication of HQPG 1280.3B in 2003.  Pre-briefs, audit schedules, and the HQ Executive Management Representative’s memo provides sufficient detail on the audit scope, time, date, and points of contact.  The Audit Plan is signed at the conclusion of the interview to confirm that the interview took place and with whom  

Regarding the Internal Audit Checklist, once again, experience has taught us that this step was repetitive and unnecessary.  Auditees are adequately pre briefed on the ISO elements that will be looked at as well as the type of questions that may be asked 

The Office of Internal Controls and Management Systems is drafting HQPR 1280.3C to document these procedural changes     

- Regarding the Internal Audit Checklist, once again, experience has taught us that this step was repetitive and unnecessary.  Auditees are adequately pre briefed on the ISO elements that will be looked at as well as the type of questions that may be asked
- The Office of Internal Controls and Management Systems is drafting HQPR 1280.3C to document these procedural changes

**HQ Response**

## The Corrective Action Tracking System (CATS) II, which tracks non-conformances, needs additional safeguards to prevent auditees from closing their own non-conformances

There are minimal requirements relevant to corrective/preventive actions included in existing documents such as NPD 1210.2 NASA Surveys, Audits and reviews Policy and HQPD 1200.1 NASA HQ QMS Manual. (Corrective/preventive requirements are supposed to be documented in HQPD 1200.1 or HQPG 1280.3.  HQPG 1280.3 directs to the Corrective Action Tracking System (CATS) II which includes only minimal instructions on how to complete these forms.  Consideration should be given to providing more procedural requirements/language in HQPG 1280.3 or another relevant, appropriate document) 

The auditors observed several HQ Office Work Instructions (HQ OWIs) that had not been reviewed or revised for a substantial period of time  

- There are minimal requirements relevant to corrective/preventive actions included in existing documents such as NPD 1210.2 NASA Surveys, Audits and reviews Policy and HQPD 1200.1 NASA HQ QMS Manual. (Corrective/preventive requirements are supposed to be documented in HQPD 1200.1 or HQPG 1280.3.  HQPG 1280.3 directs to the Corrective Action Tracking System (CATS) II which includes only minimal instructions on how to complete these forms.  Consideration should be given to providing more procedural requirements/language in HQPG 1280.3 or another relevant, appropriate document)
- The auditors observed several HQ Office Work Instructions (HQ OWIs) that had not been reviewed or revised for a substantial period of time

**Observations/Recommendations**

##                                                        Future Activities

**Final External Surveillance Audit on November 7-8, 2007**
- Core Requirements: Management Review,  Objectives, Internal Audit, Corrective Action, Preventive Action, Customer Satisfaction, Continual Improvement
- Document & Data Control/Records Management
- Monitoring and measurement of processes & products