# Presentation: 490271

## HQ Quality Management SystemsExternal AuditSenior Assessment Team Presentation

**Lynn F. H. Cline**
**Headquarters Executive Management Representative (EMR)**
**January 18, 2008**

**Office of Internal Controls and Management Systems**

## External surveillance audit conducted by the National Quality Assurance (NQA) USA, Inc. November 7- 8, 2007.  There were two observations:

(1) Requirement:  HQPG 1280.3B states that “the Headquarters Management System... shall be recertified once every three years...”

Issue:  The multi-year schedule that identifies when audits will be done to fulfill the above requirement is not being maintained to clearly indicate what has been done and what needs to be done.

NASA Response:  The schedule has been updated and moved to the OIC&MS share drive.  It will be updated at the end of each internal audit as described in the draft HPR 1280.3C.   

**(1)** **Requirement**:  HQPG 1280.3B states that “the Headquarters Management System... shall be recertified once every three years...”
**Issue:**  The multi-year schedule that identifies when audits will be done to fulfill the above requirement is not being maintained to clearly indicate what has been done and what needs to be done.
**NASA Response:**  The schedule has been updated and moved to the OIC&MS share drive.  It will be updated at the end of each internal audit as described in the draft HPR 1280.3C.

**Observations**

## Observations Cont.

**(2) Requirement:**  HQPG 1280.3B specifies, Para. 3.6, that auditors will be qualified based upon completion of an auditors course.
**Issue:**  When new auditors are used to supplement the existing team, records should be maintained to ensure that all auditors meet these requirements.
**NASA Response:**  The draft HPR 1280.3C requires current certifications for all auditors prior to the start of the audit.  A copy of the certification will be maintained by OIC&MS.

## Nonconformances

**There were two minor nonconformance findings:**
**(1) Requirement**: NPD 1440.6G states “The Agency Records Officer will conduct routine management reviews to examine file plans, filing systems, record inventories... to determine if needed documentation is being created and maintained.
**Issue**: These routine records management reviews are not being conducted as specified.
**NASA Response**: During FY 2008, the Office of the Chief Information Officer will implement an integrated and structured biennial agency-wide review process.
**Target Completion Date:  **July 1, 2008.

## 
(2) Requirement: HQOWI1150–A1002, Management of Senior Management Council Meetings, Baseline, dated 12/17/99.

Issue: A review of the OWI reveals that it is no longer reflective of the current practice. In addition, a review of various OWI’s reveals that there are many more that are not current. 

NASA Response: All Headquarters organizations shall review their OWI’s in the NASA Online Directives Information System (NODIS) library and either update the document or remove it from the NODIS. 

Target Completion Date:  March 31, 2008.

**(2) Requirement**: HQOWI1150–A1002, Management of Senior Management Council Meetings, Baseline, dated 12/17/99.
**Issue**: A review of the OWI reveals that it is no longer reflective of the current practice. In addition, a review of various OWI’s reveals that there are many more that are not current.
**NASA Response**: All Headquarters organizations shall review their OWI’s in the NASA Online Directives Information System (NODIS) library and either update the document or remove it from the NODIS.
**Target Completion Date:  **March 31, 2008.

**Nonconformances Cont.**

##                                                        Future Activities

**Internal Audit scheduled for March, 2008**
- Preparation for HQ reassessment audit.
**External Reassessment Audit Conducted by Paragon, Inc. May, 2008**
- This will** **be our first reassessment audit in three years.**	**