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No.

7061287/December 2016
SMEC AUDIT REPORT

AUDITED OFFICE/ORGANISATION
Guwahati Project Office, SMEC India Pvt. Ltd.

TYPE OF AUDIT
Internal Audit

DEPTH OF AUDIT
Compliance

AUDITED SECTION/PROJECT
Power & Energy/7061287: Consulting services
for project implementation support
transmission & distribution under Assam
power sector enhancement investment
program
SCOPE OF AUDIT:
Project management

DATE OF AUDIT:
6th to 9th December 2016

AUDIT CRITERIA
BMS Procedures

PERSON CONTACTED
Mridul Khakhalary, Santanu Phukan, Resham Dhakal

AUDIT TEAM:
Priyamvada Zutshi

SUMMARY OF AUDIT
The contract for consultancy services was signed on 24th May 2010 between Assam State Electricity Board,
and SMEC International Pty Ltd. in association with SMEC India Pvt. Ltd. and Power Research and
Development Consultants Pvt. Ltd. The audit was conducted based on a review of sample documentation and
feedback from and discussions with the Project Manager and Project office staff to assess compliance with the
following BMS Procedure.
BMS induction was provided to staff and BMS project execution and control requirements were discussed
with the team. Registers, formats and templates have been provided.

BMS Procedure- Project Execution and Control (PM PR104) :

Incoming and outgoing registers, hard and soft copies are maintained at Project office. At Branch
office too hard copy registers are maintained.

Documents including correspondences, drawings are filed/ maintained. Drawing register is


maintained. File register to be prepared giving file nos. , names & locations for better traceability.
(Action 1)

It is recommended that file no. and inwarding number be noted on the register for better document
traceability. Formats have been provided and recommended that these be used for future projects.
(Action 2)

Incoming letters are marked by the person receiving- PM or technical support staff and date of
receipt noted. Most letters are responded to by the PM after discussing with the concerned experts.
However, onward distribution is not evident. (Action 3)

Form SM 02.7

Issued: 30 August 2013

Though hard copy filing is done it is recommended that scanned copies of incoming and outgoing
documents be maintained electronically as well especially all important documentation including
contractual. This is required as back up. It is recommended that soft copy filing system be backed up
at HO as well. (Action 4)

The Branch office has all Administration and Finance related documentation. File register has been
prepared. Suggested that a parallel soft copy system be established and copies of all important
documents be maintained as backup. (Action-Same as above)

Consultancy contract has been uploaded on SMECnet. It is recommended that Variation orders also
be uploaded on the contract library. (Action 5)

PMP and PDS have been prepared and uploaded by the PM on the PWS.

PM manages changes in the project including issues impacting on time, cost. A variation register has
been prepared and is uploaded on the project folder under contract variation on the local server.
Necessary supporting documentation is also maintained along with this. Current contract expired on
30th June 2016. Contract extension uptil June 2017 is being pursued and approval is expected this
month.

Project monitoring including financial monitoring is done by the PM. Last review on SMECnet was
done for November. Time sheets are approved by him. Financial plan was last revised on 08.08.16 as
per SMECnet- New plan with contribution planned at 41.9% considering extension uptil June 2017.

Last invoice was submitted for the month of June 2016 on 10th July 2016. Payment has been
received. Service tax invoiced uptil April 2016. Pending service tax payments (INR 1,183,357/-) are
being followed up with client. Service tax invoicing for May & June 2016 is pending and invoice may
be submitted to client. (Action 6)

It was noted during the audit that tenancy agreement for the guest house has expired to be
renewed. (Action 7)

Deliverables : submissions are made as per contract. Site reports are also submitted presenting the
status and progress of work. It was noted that QPR for July to September 2016 is pending and may be
expedited. (Action 8)

PM advised to use the new document control form on submissions and maintain signed output
control forms. (Action 9)

Drawings received from client are reviewed by SMEC experts staff on the project and comments
/observations communicated through transmittal. Approved drawings are maintained. It is
recommended that soft copies of approved drawings be maintained. Suggested that input review
register be used for managing inputs and WVRs for recording review and verification. (Action 10)

There is regular ongoing interaction within the team, however, Internal team meetings may be
documented to track progress/issues.

Good client feedback was received (24th Nov. 2015). Client has awarded Tranche 4 on 6th July 2015 on
single source selection method.

Form SM 02.7

Issued: 30 August 2013

Actions recommended:
Preparation of file register noting file nos., names and location. (Action 1)
Registration of incoming documents through a document no. as per the Document & Records
Management procedure. File nos. to be indicated in the registers. (Action 2)
Maintaining evidence of onward distribution of documents and comments received. (Action 3)
Maintaining scanned copies of project documents-incoming and outgoing on the electronic filing
system and back up at HO. (Action 4)
Uploading of variation orders on contract library. (Action 5)
Pursuing pending payments. (Action 6)
Guesthouse lease agreement to be renewed. (Action 7)
Ensuring timely submission of deliverables. QPR for July to September to be expedited. (Action 8)
Use of new document control form on deliverables; signed output control forms noting preparation,
review and approval to issue of reports. (Action 9)
Maintaining soft copies of approved drawings and signed WVRs. (Action 10)

Signature: Priyamvada Zutshi


Date: 21.12.16

Form SM 02.7

Issued: 30 August 2013