QUALITY MANUAL
AID ACCOUNTS AND AUDIT DIVISION (AAAD)
DEPARTMENT OF ECONOMIC AFFAIRS
MINISTRY OF FINANCE
AAAD
QUALITY MANUAL
Doc. No. : Q M 1.1
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NOTICE
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Management Representative Date : 15/09/2004
NOTICE
This is the QUALITY MANUAL leading the Quality Management System
established in the Aid Accounts and Audit Division (AAAD), for the scope of
operation mentioned within.
• This Manual is approved by the undersigned and governed by the Document
control procedure established herein.
• This is the Copyright property of AAAD and no part of this or other manual is
permitted to be copied in any medium, partly or fully, for any purpose.
• This manual is released as controlled copy to the specified users as per the
approved distribution list provided herein. Any other copies of this manual
used are treated as uncontrolled copies and not governed by the system.
• The members of AAAD are encouraged to react/suggest points for the
improvements of the QMS. However, any change in the Quality Manual is
treated as valid only if formally approved.
• The Management Representative (MR) can be approached for any
clarification or doubts.
• This manual is approved on the Fifteenth of September, 2004.
Controller of Aid Accounts and Audit
AAAD
QUALITY MANUAL
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REVISION RECORD
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FMT : 001
REVISION RECORD
The following is the compilation of amendments done in the Quality Manual.
QUALITY MANUAL
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0
Document Reference
Updation
S. No.
Title
Doc. No.
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No.
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No.
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AAAD
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CONTENTS
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CONTENTS
Section
Document
No. Name
No. Name
1
General
1.1 Notice
1.2 Revision Records
1.3 Contents
1.4 Distribution List
2
Introduction
2.1 Organisation background
2.2 Business profile
2.3 Operational Arrangement Overview
2.4 Abbreviations
2.5 Terminology / definition
2.6 Typical Process flow
2.7 Integrated computerised system (ICS) outline
3
QMS Principle Highlights
3.1 Scope of QMS coverage
3.2 Quality policy
3.3 Quality objectives (Overview)
3.4 Quality objectives (Description)
4
Quality Management System
5
Management Responsibility
6
Resource Management
7
Product ( Operation ) Realisation
8
Measurement, Analysis & Improvement
9
QMS Procedures
9.1 Document control
9.2 Records control
9.3 Internal audit
9.4 Non Conformity Control
9.5 Corrective action
9.6 Preventive action
9.7 Management review
10 Annexures
10.1 Tables/Guidelines
10.1.01 Competence Monitoring Guidelines
10.1.02 Deficiency Value Table
AAAD
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CONTENTS
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Section
Document
No. Name
No. Name
10.2 Forms / Formats
10.2.01 Revision record
10.2.02 Master register for document release
10.2.03 Complaints register
10.2.04 Alarm note register
10.2.05 Internal audit report
10.2.06 Minutes of MRM
10.2.07 Alarm note
10.3 Miscellaneous
10.3.01 Organisational hierarchy
10.3.02 Operational responsibility / authority
10.3.03 ICS – Salient features
10.3.04 Typical screen templates (ICS)
10.3.05 AAAD Web Site
10.3.06 QMS process overview
10.3.07 Operational inter-relations overview
10.3.08 Documentation scenario
10.3.09 Records scenario
10.3.10 Stakeholder Scenario
10.3.11 Quality plan overview
10.3.12 List of categories of External Origin Documents
10.3.13 List of Q-Cadre Positions
AAAD
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DISTRIBUTION LIST
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DISTRIBUTION LIST
1.
The following is the approved distribution list of the “Controlled copies” of the
Quality System Documents.
S No.
Name of Quality
system Document
Covering
Controlled
copy
released to
Remarks
1
Quality Manual
•
Description of the QMS
Principles
•
Leading the QMS
•
Quality Policy
•
Scope of QMS
•
Documented (ISO Mandatory)
Procedures
CAAA
MR ( Note 2 )
JCA
Note 1
2
Procedure Manual
• Overview, Role and structure of
AAAD
• Operating Procedures
• Activity descriptions
• Process contents of activities
• Operational Records Keeping
CAAA
MR ( Note 2 )
JCA
DCA1
DCA2
DCA3
Section Heads
Note 3
Note 1 : An uncontrolled copy (by way of photocopy of valid controlled copy, as on
date) shall be released to the certifying bodies.
Note 2 : This copy is meant for the use of any other person as required. But, this is
physically available with the Management Representative (MR).
Note 3: - This copy is available only with ‘read facility’ at the desktop of all computers.
Note 4 : These are the activities carried out by AAAD during the operation and are
normally referred to as PROCEDURES. Hence, this compilation is called as
‘Procedure Manual’.
AAAD
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QUALITY MANUAL
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ORGANISATIONAL BACKGROUND
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Management Representative Date : 23/09/2005
ORGANISATIONAL BACKGROUND
1.
The organisation, Aid Accounts and Audit Division, referred as AAAD, is one of
the divisions of the Department of Economic Affairs under the Ministry of
Finance, Government of India.
2.
Government of India, through bilateral, and multilateral agreements, takes
external assistance by way of loans / grants. The assistance/aid may be for the
programme/projects implemented directly by the Central/ State Government or
for non-government bodies where GOI is a guarantor.
3.
Generally these aids are not utilised/disbursed in one go, but, disbursed at various
stages of the project. Similarly, the repayment generally starts after the expiry of
moratorium period.
4.
Since GOI is involved, directly or indirectly in utilisation and debt servicing of
this assistance, AAAD is responsible to maintain and control the accounts of this
assistance.
5.
The Ministry of Finance, Department of Economic Affairs consists of many
operational wings addressing various requirements of Economy.
6.
One such wing of Department of Economic Affairs is “External Finance Wing”
which has the following divisions:
(1)
CM & ECB Division
(2)
FT & Investments
(3)
EEC
(4)
Administration Division
(5)
Currency & Coinage Division
(6)
Japan & UN Division
(7)
ADB; Infrastructure and PMU Division
(8)
Fund Bank Division
AAAD
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ORGANISATIONAL BACKGROUND
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(9)
Aid Accounts and Audit Division
(10) Economic Division
7.
Each Division is headed by a “Joint Secretary” and is directly reporting to the
External Finance Wing headed by an “Additional Secretary” as illustrated in
Section QM 10.3.1.
8.
The Aid Accounts and Audit Division is headed by the “Controller” of the rank of
Joint Secretary and is supported by a set of officers and staff.
9.
In addition to accounting of External Aid and other related issues, the audit of
import licenses issued to registered exporters under EXIM Policy by the Ministry
of Commerce, GOI as Export Promotion, is also the responsibility of AAAD and
is functioning from the office of Controller, AAAD.
10.
For the purpose of compilation of Central Government receipts and expenditure
on a monthly basis and onward submission to the Controller General of Accounts
(CGA) towards records keeping on behalf of the Government of India (GOI), a
PAO is also functioning and interacting with AAAD as needed.
11.
The established QMS, however, does not cover the above mentioned two
functions, i.e. EP Audit and PAO, under the scope.
12.
Thus, AAAD is an integral part of GOI functioning at the location indicated.
13.
The officers and staff are GOI employees and are governed by the regulations,
responsibilities and obligations of the positions they hold.
14.
The Controller (CAAA) is mainly supported by an immediate team of Joint
Controller (JCA) and three Deputy Controllers (DCA). This team, in turn, is
further assisted by Accounts Officers (AO) suitably grouped in section wise
arrangement.
AAAD
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ORGANISATIONAL BACKGROUND
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15.
-The soft copy and hard copy of staff strength (as sanctioned) and the current
strength is readily available with Shri Hemant Kumar of Disb I and Shri Naresh
Kumar AAO of Administration section respectively.
16.
Since the external bilateral and multilateral agencies interact with the project
authorities through AAAD, the functional efficiency of AAAD is very important
to build a “reputation” and “image” with the donors/agencies.
17.
AAAD’s past record is very impressive and attractive. In fact, certain external
agencies have identified AAAD as a model for training their members.
AAAD
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OPERATIONALARRANGEMENT OVERVIEW
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•
•
•
•
OPERATIONAL ARRANGEMENT
1.
AAAD is responsible for drawing, accounting, managing and servicing of
external loans/assistance taken by GOI from multilateral/bilateral funding
agencies for implementing various developmental/social projects. This external
assistance may be in the form of cash, commodities and technical know-how. At
present, there are more than 25 multilateral/bilateral funding agencies providing
external assistance through more than 1300 active loans/grants. Each funding
agency has different systems/procedures/rules for disbursing/maintaining/
recording the external debt.
2.
In a nutshell, the role of AAAD can be summarised as:
Acting as an interface between the funding agencies, various Ministries of
GOI and the beneficiaries/project implementing agencies.
Debt recording and management covering:
▪ Maintaining and recording loan agreements
▪ Handling disbursements
▪ Raising demands and recovering GOI dues from the importers where the
imports have been financed out of external funding
▪ Debt servicing of Government loans
▪ Advising Plan Finance-I Division under Department of Expenditure for
release of funds to State Governments in relation of projects related with
external funding
▪ Debt reporting to international funding and monitoring agencies
• Preparation of sovereign external assistance receipt and debt service budget
for inclusion in GOI budget document.
Publication of external assistance brochure on an annual basis
Web-publication of sovereign external debt portfolio
3.
--The Aid Accounts and Audit Division is organised into three Group i.e.
Disbursement Group, Debt Service Group, Co-ordination Group. Each group is
organised into Sections for functional efficiency.
-(a) Disbursement Group has three sections viz Disb I, Disb II and Disb III.
AAAD
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•
•
-(b) Debt Servicing Group has three section viz Debt Servicing, R&I and EP
Audit (EP Audit does not fall under the scope of QMS).
-(c)Co-ordination Group has three sections viz Co-ordination, EDP and
PAO(A/Wing). PAO(A/Wing) also does not fall under the scope of QMS.
4.
The sections in Disbursement, Debt Service and Co-ordination Group deal with
all matters relating to
Arranging of External aid receipts, under loans/grants and accounting of such
receipts
Arranging of repayment/interest payment/premium/commitment charges payment
etc.
Preparation of Budget Estimates for receipts under external loans/credits/grants,
repayment of principal and payment of interest premium and commitment charges
under loans/credits
Laying down accounting procedures for each Loan/ Grant Agreement/Preparation
External Broucher.
Recovery from importers, of Rupee equivalent of foreign currency payments
made against foreign loan/credits and grants under direct payment procedure.
The incoming and outgoing papers are handled and routed though Co-ordination
Section.
5.
The EP Audit Section carries out audit of export incentives availed by registered
exporters covered by different types of licences, such as import replenishment
licences, advance licences, export promotion Capital Goods licences etc.
6.
EDP Section is responsible for maintenance of data on External Aid in two
different systems i.e. ICS and CS-DRMS and generation of various MIS reports
using the computerised system.
7.
The entire external assistance taken by GOI can be classified in its characteristics
as under:
Loan and Grants
Government and Non-government
AAAD
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•
•
•
•
•
•
Multilateral and Bilateral
Single state and Multi-state
8.
The Accounts Wing is responsible for the final compilation of external assistance
transactions in the accounts of Government of India. The Accounts wing, known
as the PAO of AAAD is responsible for the Account ‘Classification’ and
reconciliation.
9.
The PAO compiles the accounts on monthly basis in the form of reports and
forwards to CGA.
10.
The external assistance that is directly taken by GOI falls under the category of
Government, whereas the external assistance given by the donors directly to non-
government agencies with GOI as guarantor are classified as non-government.
11.
The external assistance agreements duly signed are received by AAAD from the
concerned Credit Division in Ministry of Finance. Based on the terms and
condition of the agreement, disbursements and repayments are made by/to the
donor agencies.
12.
A typical external assistance cycle comprises of
• Commitments and Amendments
Disbursement cycle (initial 3-5 years)
Repayment cycle (5-25 years)
External assistance commitment (recorded in foreign currency)
Equivalent records maintained in INR for accounting in the government’s
book.
13.
In addition, AAAD generates a budgetary proposal every financial year
contributing data towards Annual Economic Survey report published by MOF and
Proposals towards the up-coming Financial Budget.
14.
As a link between the donor and the projects, AAAD is responsible to process the
disbursement claim in due time period and release Additional Central Assistance
(ACA) to projects through PF-I and State Governments.
15.
The external Assistance Agreements are first updated in the Master of the ICS
software which actually function as the master account book, whereby
maintaining the status of various loan/aid.
AAAD
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16.
Another major function of AAAD is to provide data relating to external assistance
for answering Parliament Questions directly or indirectly.
17.
The entire responsibility of discharging debt service liability of Government loans
on due date rests with AAAD.
18.
Tracking of exchange rate variation/adverse balances.
AAAD
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BUSINESS PROFILE
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BUSINESS PROFILE
1.
AAAD is functioning as a division under the MOF as outlined in organisation
background.
2.
The operational control of AAAD is carried out through the organisational
arrangement headed by the Controller. The hierarchical arrangement of AAAD is
as presented in QM 10.3.1.
3.
Physically the AAAD is functioning at the 5
th
floor, `B’ Wing, Janpath Bhavan,
New Delhi - 110 001.
4.
For effective functioning, AAAD is organised into six Sections, and two
additional sections (PAO and EP Audit sections that are excluded from the scope
of QMS). The role and functional coverage of these sections are as presented in
page 3 herein.
5.
The incoming and outgoing papers are handled and routed by the “Inward” and
“Dispatch” functions of the administration, that is attached to one of the three
Disbursement Section.
6.
The functioning of AAAD is mainly supported by two important computer
system:
Commonwealth Secretariat Debt Recording and Management System (CS-
DRMS)
Integrated Computerised System (ICS)
7.
CS-DRMS is Commonwealth Secretariat Debt Recording and Management
system mainly used to record and monitor external debt portfolio. This serves as
a good information source for future debt service cost analysis and planning.
8.
Considering the facilities and promptness required, an on-line computerised
System called “Integrated Computerised System” (ICS) is developed with
necessary compatibility with CS-DRMS for data sharing. (For an outline on ICS
see QM 2.7)
9.
The Internet era provides possibilities of instant information. Keeping pace with
the trend, AAAD also maintains a web site that provides e-link to various
agencies. The web site is expected to reduce the cycle time for document flow
and information flow.
AAAD
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10.
The web site is hosted through National Informatic Centre (NIC) of Ministry of
Information Technology and is updated regularly.
11.
The operation of AAAD caters to the main function of External Debt Accounting
in the form of
Commitment and amendments
Disbursement
Debt service payment
Data consolidation
Accounting in loan currency and rupee equivalents
12.
The process varies slightly from case to case. But, a general typical flow of
events is as outlined in QM 2.6.
13.
The operation of AAAD is overall controlled by CAAA. The established Quality
Management System covers all vital operational elements and governed by ISO
9001 : 2000.
14.
The coverage and overview of the QMS is outlined in QM 4
15.
The documentation controlling the AAAD functioning as well as the QMS are
outlined in “Document Control ” Procedure QM 9.1.
16.
As a result of the QMS and as warranted by the ISO 9001: 2000 the Quality
Records are maintained as outlined in “Records Control “ Procedure (QM 9.2).
AAAD
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AAAD
Disbursements
Debt Servicing
Coordination
EDP
R & I
PAO
E P Audit
Activities related to
Grant.
Activities related to
claim processing
Educate to PA’s
Project Management
Activities related to
RBI Debit Advice
Activities related to R F
Application and
disallowance
Activities related to
importers
Activities related to
GFT and Donor
Payment Advice
Budget preparation
ACA Release
recommendation
Activities related to
Donor Demand
Advice
Activities related to
intimation of
repayment
Activities related to
debt service
sanction.
Budget preparation
Issue of Sanctions
and coordination
with Banks
Writing off of
adverse balances.
Preparation of Budget
Preparation of External Assistance
Brochure on yearly basis
Providing Statistics to external
agencies/Credit Divisions
Parliament Questions and related
references
Systems Audit
Activities relating to Govt/non-
Govt consolidation of Budget for
sending to budget Division
Preparation of Appropriation
accounts
General Administration of the
office
Upkeep of the ICS and CS-
DRMS
Solving day to day problems of
the AAAD staff on ICS
Close interaction with IT
consultants and vendors of
hardware and software
Website updation
Receipt and distribution
of all inward Dak and
despatch of all outgoing
Dak.
House keeping
Control of Group D
staff.
( Not under scope of
QMS )
Monthly Accounts
consolidation to
C.G.A.
Preparation of S.C.T.
and Finance accounts
( Not under scope of
QMS )
Interpretation of EXIM
Policy
Monitoring E.P. Audit
results
Audit
of
import
licences issued under
special schemes like
REP/Advance licences;
Note : Shaded functions are not under the scope of QMS.
AAAD
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ABBREVATIONS
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ABBREVIATIONS
AAAD
Aid Accounts and Audit Division
ACA
Additional Central Assistance
ADB
Asian Development Bank
AFF
A F Ferguson & Company
AMC
Annual Maintenance Contract
BIS
Bank of International Settlements
CA
Controlling Authority (QM 9.2)
CAAA
Controller of Aid Accounts and Audit
CAS
Central Assistance System
CDB
Common Data Base
CGA
Controller General of Accounts
CS-DRMS Commonwealth Secretariat Debt Recording and Management System
DCA
Deputy Controller of Aid Accounts and Audit
DSPS
Debt Servicing Payment & Sanctions
DFID
Development of International Development
DEA
Department of Economic Affairs
EC
European Community
EDP
Electronic Data Processing
FMC
Facility Management Contract
FMS
Facility Management Services
GFS
Government Financial Statistics
GFT
Government Foreign Transaction
GOI
Government of India
ICS
Integrated Computerised System
IDA
International Development Association
IDRBT
Institute for Development and Research in Banking Technology
IBRD
International Bank for Reconstruction & Development
IFAD
International Fund for Agriculture Development
IMF
International Monetary Fund
INFINET
Indian Financial Network
INR
Indian Rupee
ISO
International Standardised Organisation
JCA
Joint controller of Aid Accounts & Audit
JBIC
Japan Bank for International Co-operation
KFW
Kreditanstalt Fur Wilderaufbau
LAN
Local Area Network
MIS
Management Information System
MOF
Ministry of Finance
MR
Management Representative
MRM
Management Review Meeting
NAM
Network Access Module
AAAD
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NIC
National Informatics Centre
OECD
Organisation for Economic Co-operation and Development
OPEC
Organisation of Petroleum Export Community
PA
Project Authority
PAO
Pay and Accounts Office
PF-I
Plan Finance Division-I
PMU
Project Monitoring Unit
PQ
Parliament Question
P&T
Post & Telegraphs
RBI
Reserve Bank of India
RF/Spl Acct Replenishment Fund /Special Account
RA
Replenishment Application
SCT
Statement of Central Transactions
SFMS
Structured Financial Messaging System
TA
Technical Assistance
TCC
Transaction Confirmation Code
UNDP
United Nations Development Programme
UNICEF
United Nations Children’s Fund
UPU
Universal Postal Union
WA
Withdrawal Application
WFP
World Food Programme
WHO
World Health Organisation
AAAD
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TERMINOLOGY/DEFINITIONS
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TERMINOLOGY/DEFINITIONS
The following are the definition/brief description of terms used in AAAD functioning:
1. Agreement
The formal Aid Agreement between the funding agency and the Government of
India (GOI) with GOI either as a borrower/guarantor.
2. Claim
The reimbursement / direct payment request in the prescribed format by the user
body with the necessary documentary support.
3. Recommendation
Formal communication to PF-I Division for release of ACA to State Governments
after due evaluation of the claim.
4. PF-I
Plan Finance-I Division of Department of Expenditure in MOF who is the ACA
sanction/issue authority.
5. ACA
The Additional Central Assistance (ACA) that the State Government is eligible to
receive from External Aid Receipt of the GOI.
6. GFT
Government Foreign Transaction Advice from the Reserve Bank of India (RBI),
DEIO, Mumbai to RBI, New Delhi for crediting AAAD’s account with Indian
Rupee equivalent of the foreign currency received on account of External Aid.
7. RBI Debit Advice
Advice sent by AAAD to RBI, DEIO, Mumbai for debiting the US Dollar
denominated Revolving Fund Special Account equivalent to the claim received
from the project authorities/beneficiaries.
AAAD
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8. ACA Sanction
The Authority letter issued by PF-I Division to PAO, Department of Expenditure
to effect transfer of funds from the Central Government to the State Government.
9. Payment Advice
Advice sent by the Donor to the Borrower intimating the details of disbursement
made from the loan/grant funds, based on the claim/Letter of Authority/Letter of
Credit.
10. Withdrawal Application
Request in the prescribed format sent to Donor by AAAD for withdrawing funds
from the loan/grant account.
11. Special Account
US Dollar denominated account opened with RBI, DEIO, Mumbai for each
loan/grant where the agreement provides for advance withdrawal as a Revolving
Fund.
12. Demand Advice
Notice sent by Donor to AAAD demanding payment of the amount due under the
loan agreement.
13. Intimation of Repayment
Intimation sent by the designated commercial bank to RBI, PAD, Delhi for credit
of the Indian Rupee equivalent of the foreign currency remitted to the Donor to
their account as per Debt Service Payment Sanction (DSPS) issued by AAAD.
14. Donor
Bilateral/multilateral institutions granting External Aid.
15. DSPS
Debt service payment sanction authority issued by AAAD on designated banks to
remit foreign currency towards External Debt servicing.
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PROCESS FLOW
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PROCESS FLOW
1.
The AAAD operation mainly deals with Sovereign External Aid extended by
funding agencies/institutions to the Government of India (GOI) for funding
various project activities in India. The main responsibility of AAAD is to co-
ordinate with all the agencies concerned and the donor and to maintain the
accounts of external aid flows.
2.
In view of the above, the main operational process consists of disbursement,
repayment, accounting and reporting, value monitoring, data updation and
statistics. In each of these functions there are one or more sequential activities
involved. Since the grant/loan process from the external agency to the user
authority is with the objective to aid and support the project/user authority, the
flow of events is more or less same in most of the cases. However, there are
variations in the terms and conditions of agreements with the funding
agencies/institutions.
3.
Therefore, a varied style of handling the loan accounts is practised at AAAD.
Overall a computerised support system (Integrated Computerised System
called as ICS) is established to maintain the loan/grant accounts.
4.
Since many of the activities are similar, the sequence also is treated as similar.
The entire set of external agencies is suitably grouped under four sections for
handling these cases separately. In other words, the activity sequence in one
of the sections may be nearly or fully identical with that of the other section
except for the name and source of the Donor.
5.
As above, the operational variations between case to case of loan agreement is
an important matter and clearly known to the functional authority handling the
cases.
6.
In line with the above description, in order to understand the general
operational flow of events, the following operational sequences are defined.
(These are typical in nature and vary slightly in actual performance style from
case to case).
Operational Sequences
7.
The operational sequence followed at AAAD with respect to external
assistance is briefly discussed below.
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Pre-agreement support
8.
AAAD offers their comment as required on the draft loan/grant agreements
before negotiation begins between MOF/DEA (borrower) and the lender,
keeping in view overall Debt Management in relation to currencies, interest
rate, maturity etc
Receipt of Agreement
9.
When the agreement is formally signed between GOI and the donor, a copy of
the same is supplied to AAAD. AAAD is responsible for executing various
terms and conditions of the agreements relating to disbursement, repayments,
accounting and recording.
Master Updating
10.
For handling the agreement the computer support by way of ICS is established
(for details see QM 2.7). This computerised system is comprehensive in
nature and is able to monitor the status of loan/grant as required. But, this
needs “one time initiation” in the form of a master, which actually contains the
basic details of the external assistance agreement. Each agreement is
identified by a unique number and is updated in the master by the EDP
Section.
Claim Processing
11.
The activities that relate to document/information flow of claims submitted by
the project authorities/beneficiaries of the external assistance are grouped
under this category. These activities are critical in nature as the entire
disbursement/fund flow is based on this document/information. These
activities are:
Submission of claims by the Project Authorities to AAAD
Recommendation / Rejection of claims by AAAD
Submission of withdrawal/replenishment application by AAAD to the funding
agencies
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12.
The agencies involved in these activities are:
(1) R.B.I
(2) Project authorities
(3) AAAD
(4) Funding agencies
Disbursement
13.
The first phase of the external assistance cycle is the disbursement which, in
turn, consist of one or more cycles of a chain of events. These chains of
events are like claim processing, debit to special account, receipt of funds,
recommendations for ACA release etc.
14.
All the activities that involve document/information/funds flow from the
funding agencies to the project implementing agencies fall under this category.
Such activities are based on the withdrawal/replenishment application
submitted by AAAD to the funding agencies.
15.
Since the activities in this category effect the funds flow between agencies,
these are treated as sensitive. These activities comprise of :
Transfer of funds by the funding agencies into AAAD’s account at RBI
(including special account of the project).
Transfer of funds from special accounts to AAAD’s account at RBI.
Receipt of disbursement notice (Donor Payment Advice) from the funding
agencies.
Acknowledgement of receipt of funds (Government Foreign Transaction) from
funding agencies in AAAD’s account sent by RBI to AAAD.
Issue of recommendation for ACA release (ACA recommendation) for
releasing funds by GOI to the State Govt.
Issue of ACA sanction advice by PF-I Division of Department of Expenditure
for transferring the funds to State Governments.
Issue of advice by the PAO (Expenditure) to RBI, CAS, Nagpur for
transferring the funds to the State Governments.
Transfer of fund by RBI, CAS, Nagpur to the State Governments.
Release of funds to project authorities by the State Governments
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16.
The agencies involved in these activities are:
Funding agencies (Donor)
AAAD
RBI
Ministry of Finance
State Governments
Project Authorities
Debt Servicing
17.
The process of disbursement continues till the completion of project activities
or terminal date of disbursement, whichever is earlier. The repayment begins
according to the terms and conditions of the external assistance agreement.
This function of AAAD towards the repayment is very crucial in the sense that
the due dates of payments, the functioning and availability of banking
facilities at both the ends and the currency fluctuations are all very important
in deciding upon the repayment. Even though the donor sends demand advice,
AAAD is responsible for initiating action for debt service payment.
Repayment/including interest payment/other charges
18.
The activities involving document flow of repayments made by AAAD to the
funding agencies are grouped under this category.
Receipt of demand advice from funding agencies
Issue of sanction (Repayment sanction advice) by AAAD to nominated bank
to make payment in foreign currency.
Receipt of intimation of payment by AAAD and RBI from the nominated
banks.
Release of Rupee fund by RBI to the nominated domestic banks from
AAAD’s account at RBI
19.
The agencies involved in these activities are:
Funding agencies (Donor)
Correspondent Bank/Donor Bank
AAAD
RBI
Nationalised Banks
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Data Updation
20.
ICS is designed in a manner that any processing done through it immediately
updates the status with various facilities for usage in various combinations.
Since these updations are done automatically as and when the process is
executed, the scope of manual errors and mistakes are minimised. The
authorities for approval of various functional activities are retained with the
Section Heads to ensure correctness and accuracy before approving any
process.
21.
The documents used for data updation are:
Loan/grant agreement
Cancellation/ amendment to agreement
Claims
RBI Debit advice
Disallowance/rejection/approval of claims by Donor
Donor payment advice from Donor
Government Foreign Transaction from RBI
Donor Demand Advice from Donor
Intimation of repayment from Banks
List of holidays in Bank in India/Foreign Banks
Daily exchange rate from RBI
Reporting and Statistics
22.
The updated data in ICS, agreement wise is available in the form of loan/grant
master in the computerised system. AAAD send monthly, quarterly and annual
report to CGA (SCT), RBI and MOF for information/reconciliation.
23.
The reports as required can be generated and printed agreement wise, sector
wise, project wise, donor wise, payment wise and so on. These information
are also used in the form of statistics for various other purposes of future
planning (Budget proposal), Parliament Questions and External Assistance
Brochure. A number of reports are published on the website for the
information of general public.
Special Account
24.
Some loan/grant agreements of select donors requires the borrower to open a
special account with the Central Bank (RBI) wherein the estimated
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expenditure for specified period expressed in US $ are withdrawn and
deposited by the donor. This account is managed by AAAD to reimburse the
expenditure incurred by the project implementing agencies. The donor
periodically replenishes the account based on the request submitted by AAAD.
AAAD manages the size of special account deposit within the limit prescribed
in the agreement, by surrendering or enhancing the deposit depending upon
the requirement of the project activities. The amount lying in special account
at the close of loan/grant are refunded to the donor. Special Account is
annually Audited by CAG of India.
Reconciliation & Reporting
25.
The PAO section of AAAD is responsible for the “Classification” of the
Accounts in appropriate heads (as per Government guidelines) and
reconciliation with ICS is needed. After duly completing the Accounting
process the PAO consolidates the summary of the transactions based on the
RBI vouchers and prepares the monthly accounts and submits to CGA.
Clearing and Closing Account
26.
Loan account is closed for withdrawal on the terminal date of disbursement
mentioned in the agreement and loan account is finally closed with the
repayment of last instalment of principal to the donor on final maturity as per
amortisation schedule. Grant account is closed when the full amount of the
grant is withdrawn or on the terminal date of disbursement. Amounts
remaining unutilised till that date are cancelled.
Correspondence
27.
During various stages of operations AAAD interacts with various stakeholders
including the bilateral and multilateral donors and the project authorities.
There are many standardised correspondence, formats for this purpose. In
addition, AAAD contacts these agencies through fax/e-mail etc., for any
clarification etc.
AAAD
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OUTLINE OF INTEGRATED COMPUTERISED SYSTEM
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OUTLINE OF INTERGRATED COMPUTERISED SYSTEM
1.
The AAAD functions are carried out based on manual book keeping till
November 1999. During the financial year 1999-2000 the ICS was launched and
the manual entries w.e.f. 01/04/1999 to 31/03/2000 were reconciled with ICS
and the ICS was completely online w.e.f. 01/04/2000 i.e. no manual record is
available after 01/04/2000.
OBJECTIVE
2.
The Integrated Computerised System ICS) is aimed at maintaining the data on
various External Aid flows and status of outstanding debt on a real time basis.
3.
The key objectives of ICS are:
(1)
Availability of up-to-date/on-line information on external assistance
including ACA release
(2)
Drastic reduction in manual effort
(3)
Enhance Debt Management capabilities
(4)
Ensuring timely electronic updation of CS-DRMS database
DESCRIPTION
4.
The ICS is an operational computer software that maintains various ledgers and
registers as needed by AAAD for carrying out its functions. The system provides
a comprehensive on-line, real-time view of the external debt portfolio of GOI
and maintains various ledgers, registers, subsidiary records etc. required by
AAAD.
5.
The ICS maintains a Master that contains all the basic information relating to
each loan/grant agreement. When a new agreement is signed with donor, the first
activity is to create loan/grant Master in the ICS. Any amendments to the
provision of the agreement are captured in ICS by updating the master or
through cancellation/enhancement screen.
6.
The ICS is controlled and operated with the main server at the EDP and network
consisting of client machines with the users of the computerised systems. The
ICS consists of three main processes
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(1)
Disbursement process
(2)
Repayment process
(3)
Data compilation process
7.
A brief overview of ICS is given below.
Claim Handling
Disbursements
ACA
Donor’s Demand
Repayment Sanction
Recording of Repayments
Budget Preparation
Brochure Generation
MIS
Loan Agreement
Disbursement
Process
Repayment
Process
Compilation
Process
Debt
Management
Consolidation
& Compilation
Portfolio
Analysis
Interface with CS-DRMS
8.
The “Disbursement Process”, covers the initiation of the loan account (master
updation), claim processing, ACA recommendations/release, withdrawal
applications etc.,
9.
The “Repayment Process” covers the donors demand notice, repayment
sanctions, repayment and reconciliation with donors and banks.
10.
The “Data Compilation” mainly covers various postings relating to both above
processes and other data updation as required, like budgetary proposals,
brochure publications etc.,
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Modules
11.
The ICS contains the following modules:
(1)
Master/control information
(2)
Loan agreement
(3)
Claims
(4)
Disbursements
(5)
Debt servicing
(6)
Budget
(7)
Brochure
(8)
Reports
(a)
Ledgers
(b)
Registers
(c)
Statements
(d)
Summaries
(9)
MIS
Compatibility with CS-DRMS
12.
Initially CS-DRMS was the computerised system maintained for the purpose of
portfolio analysis. The database “DRMS” contained the data for the above
purpose.
13.
When ICS was developed, the CDB (Centralised Database) was made as the
data source for ICS operation.
14.
In order to provide compatibility and to avoid data entry duplication, the ICS
provides a built-in module that automatically transfers data to CS-DRMS.
15.
The ICS is designed with a variety of menu options and with a overall possible
templates of more than 100 for viewing the reports/queries.
16.
The ICS provides for formal approval of entered data through specified authority
levels controlled by appropriate passwords.
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17.
The Section Heads (or function in-charges) are authorised for certain approvals
through their passwords.
18.
The EDP is responsible for providing access permissions to staff members as per
their duty allocations.
Front-end Correction
19.
In case of some inadvertent entries and wrong approvals, the account operation
can be corrected by appropriately putting in rectification entries through the
same channel. This is known as “Front-end Correction” and this will involve
using the authorised “key password” by the approving authority and a few
(formal / informal) justifications. Thus, the approving authority is aware of the
frequency and level of “Front-end Corrections” sought by members.
Back-end Corrections
20.
In order to monitor and to develop further requirements of software the access to
the database is directly available to the system administrators through their
existing systems with suitable key passwords. Any ICS data can be approached
through this and corrected. However, a control process titled “Back-end
Correction” is established for regulating this.
21.
The ICS caters to the various information needs sought by various associates/
stakeholders as summarised below.
Agency
Information
1
Funding agencies
• Claims received
• Claim status
• Utilisation
• Cumulative un-disbursed balances
• Debt outstanding
• Limit tracking for each expenditure category
• Repayments falling due and cleared
• State-wise utilisation
2
Internal monitoring
agencies
• Disbursement Profiles
• Repayment Profiles
• Sector-wise utilisation
3
Reserve Bank of India
• Receiving disbursements
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Agency
Information
• Fund transfer to states / Other banks
• Special Account management
• Repayment profiles
• Repayment falling due
4
Nationalised Banks
• Repayment becoming due
• Repayments made
5
Project Authorities
• Claim status
• ACA status
• Demand letter of importer due/outstanding
• Status fund deposited for settlement of
importers due
6
Central Govt.
Departments
• Receipt and repayment budgets
• Brochure and key statistics
• Disbursement and repayment profile
• Utilisation of funds ( funding agency, sector,
state, ministry wise )
7
State Govt. Departments
• Claim status (awaiting disbursement)
• ACA status (recommended but not released and
released)
AAAD
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SCOPE OF QUALITY MANAGEMENT SYSTEM
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SCOPE OF QUALITY MANAGEMENT SYSTEM
The Quality Management System established in the Aid Accounts and Audit Division
functioning at the following address:
Aid Accounts and Audit Division
Department of Economic Affairs
Ministry of Finance
5
th
Floor, B Wing
Janpath Bhawan
New Delhi – 110 001
has the scope of coverage that includes
The various functions of External Assistance
(Aid/Grants/Loans) handled by the office of
AAAD
and excludes
Export Promotion Audit handled by the AAAD
office and the accounting(record keeping) and
compilation handled by the PAO.
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QUALITY POLICY
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QUALITY POLICY
AAAD commits itself to achieve
excellence in its services by consistently
ensuring timeliness, accuracy and
transparency in its operations, adopting
best practices and aiming for continual
improvement in all areas including
technology for ensuring utmost
satisfaction to its stakeholders.
AAAD
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Issue No. : 0
OVERVIEW OF QUALITY OBJECTIVES
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1.
2.
3.
4.
5.
OVERVIEW OF QUALITY OBJECTIVES
For the purpose of monitoring the level of achievements and improvements
emerging out of effective implementation of the QMS, the parameters and
their measurability are defined and guided by the Quality Policy. These
parameters, their computations and the targets aimed are referred to as Quality
Objectives.
The Quality Objectives evaluate the performance of the QMS vis-à-vis the
spirit and intention of the Quality Policy.
The operations of AAAD are guided and controlled by the QMS established
within. The QMS is lead by a formally declared ‘Quality Policy’ (See QM
3.2)
In order to effectively monitor and measure the level of success and the
attitude towards the spirit of the Quality Policy, ‘Quality Objectives’ are
identified as described herein.
In line with the essence and spirit of the Quality Policy, two important factors
viz. the ‘Stakeholder Satisfaction’ and ‘Continuous Improvement’ are
monitored.
Stakeholder Satisfaction
6.
(1)
(2)
(3)
(4)
(5)
(6)
(7)
In light of the scope of operation, AAAD has the following customer scenario.
The organisations/entities, seen as beneficiaries from the operations of AAAD,
are considered as the customers/stake holders. They are:
Fund Sources/Agencies
Fund users/Projects
RBI
State Governments
Ministry of Finance (GOI)and the other line Ministries
Nationalised Banks
Parliament
- (8) - NIC
- (9) - PMU/PF-I
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7.
8.
The following presents an overview of the customer satisfaction factor :
Complaints register
Stakeholder Dissatisfaction score
The ‘Objective of the Quality System’ is to monitor the trend of the
Stakeholder Satisfaction Factor through displayed graph aiming at noticeable
improvement
Deficiency Level
Half Yearly Period
Continuous Improvement
9.
10.
11.
12.
In light of the computerised environment for the main business (through ICS),
all possible improvement can be grouped in two groups.
(1)
The operation related improvements
(2)
Internal (Human Resources) improvement.
With the control of the Human Resources being mainly governed by the
Government of India (GOI) regulations and guidelines, the appraisal and
consequential actions are all executed through a “Confidential Reporting”
system prescribed within the GOI rules and related notifications. In order to
encourage focus on quality, monitoring and recognition scheme for individuals
is practised as part of QMS as outlined in QM 3.4.
The operation related improvements relate mainly to the “Accuracy” and
“Timeliness” of the various executions.
The following is the overview of Continuous Improvement Factor
monitoring :
ICS Data
(Accuracy and Timeliness)
Complaint Register
Performance Factor
(Monitored for continuous improvement)
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13.
The Quality Objective is to monitor the trends and patterns to identify and
focus on areas indicating scope for further improvement, through the noticed
Performance Factors.
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DESCRIPTION OF QUALITY OBJECTIVES
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DESCRIPTION OF QUALITY OBJECTIVES
Stakeholder Satisfaction
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
In order to assess the level of customer satisfaction generally some form of
survey is undertaken. But, in light of the nature of function of AAAD a
formal survey is not practicable. The operational role of AAAD generally
involves many forms of communication on a day-to-day basis thereby
providing the scope of inferring any possible “Customer Dissatisfaction”, if at
all arising.
In light of the above, in order to record any such “Stakeholder Dissatisfaction”
a Register called as “Complaint Register” is maintained.
Even though it is named as “Complaint Register” it is also used for registering
any event leading to possible “Stakeholder Dissatisfaction”, in addition to
registering the formal complaints, if any.
When there is a formal complaint it is registered irrespective of the nature,
size, seriousness and media of the complaint.
During the course of operation of AAAD activities, the customers interact
with AAAD through various correspondences. Their level of satisfaction can
be gauged through them.
The communications, (generally in the form of letters/faxes and occasionally
oral communication) are routed through the CAAA/JCA/DCA prior to
reaching the sections.
These senior members of the Organisation ensure appropriate entry in the
complaints Register (FMT 003) briefing the case or event.
For the other lapses/events the CAAA or JCA or DCA of the organisation
consider the event and its seriousness. After necessary discussion with the
CAAA/MR the event is registered by any one of the above.
Any case of complicated event, the JCA / DCA will jointly discuss and decide
upon the content of the register entry.
A “Deficiency Value Table” (see 10.1.02) approved by JCA/MR for giving
score for events, is maintained within the QMS. The likely dissatisfaction
score for the entries in Complaint Register shall be as per Part A.
The level of stakeholder satisfaction is computed based on the number of
complaints and the total value of dissatisfaction score.
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12.
13.
14.
JCA, in light of the above (during the period) interprets the Stakeholder
Satisfaction Factor.
This interpretation is forwarded to the MRM through MR for discussion and
action as necessary.
This Stakeholder Satisfaction Factor is plotted, displayed and monitored by
the MR
Continuous Improvement
15.
16.
17.
18.
19.
20.
21.
22.
The various performance aspects are identified in light of the likely
mistakes/shortcomings during operation. These performance aspects are also
listed and tabled as part B of the Deficiency Value Table.
The information relating to the Accuracy (by way of number of days taken
beyond limits) is available in the ICS.
With the networked environment, MR summons the details relating to the
above either from the ICS database or from other Registers maintained for this
purpose.
Guided by the Deficiency Value Table (Part B) MR arrives at the section wise
performance factor.
This section wise Performance Factor is plotted, displayed and monitored by
the MR
In order to encourage focus on improvement in individual contributions to the
overall organisational performance all members (except DCA and above) are
evaluated by the respective supervisor(s). For such evaluations the Individual
Monitoring Guidelines Table (given in QM 10.1.01) is used as a reference
benchmark.
The above evaluation is done every six months and due recognition is
accorded.
–This office aims at minimum 10% improvement each year towards
stakeholders satisfaction.
AAAD
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QUALITY MANAGEMENT SYSTEM
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1.
2.
3.
4.
QUALITY MANAGEMENT SYSTEM
General
The organisation, Aid Accounts and Audit Division (AAAD) of the Ministry
of Finance, Government of India, (referred as AAAD) has established a
Quality Management system for its functioning in line with the international
standard ISO 9001: 2000.
The QMS is established for the operations covered by the scope statement
(QM 3.1) and the QMS is aimed for continuously improving effectiveness.
The organisation, AAAD, has identified the various operational processes
throughout the organisation. These processes are briefly introduced in
‘Process Flow’ (QM 2.6) and described in the ‘Procedure Manual’ (Section
2).
An over view of the AAAD operation showing the other stakeholders
interacting with AAAD is illustrated below:
AAAD
Donor
PMU/PF-I
RBI
MOF&CA
State Govt.
Project
Authorities
Parliament
NIC
AAAD
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5.
6.
7.
8.
9.
10.
11.
An outline of the process inside the AAAD and the main flow of events is illustrated below:
Master Updating
(ICS)
Receipt of
Agreement
Correspondence
and closing
Disbursement
Claim
Processing
Data & Statistics
PQ & other
support
Repayment
Pre-agreement
support
The facilities and resources available at AAAD are matching with the
requirements.
The operational processes are regularly monitored, measured and analysed.
Subsequently, necessary corrective actions are planned and implemented.
These processes are managed and controlled as guided by the QMS which is
in line with ISO 9001: 2000.
Under the operations of AAAD, there is no “outsourcing” carried out for any
of the functions or activities. Certain specialised supports like software
development, consultancy support etc., are, however, hired from outside.
__The control over these activities is carried out through various Agreements
signed with firms/consultants.
Documentation
The QMS, as outlined above, is functionally guided and controlled by the
following documentation.
SNo
Quality System
Document
Covering
Approving
authority
Controlling
Authority
1
Quality Manual
•
Description of the QMS Principles
•
Leading the QMS
•
Quality Policy
•
Scope of QMS
•
Documented ( ISO Mandatory)
M R
(on behalf of
CAAA )
M R
AAAD
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SNo
Quality System
Document
Covering
Approving
authority
Controlling
Authority
Procedures
2
Procedure
Manual
• Overview, Role and structure of
AAAD
• Operating Procedures
• Activity descriptions
• Process contents of activities
•
Operational Records Keeping
M R
M R
12.
13.
14.
15.
16.
17.
18.
The Quality Manual presents the scope of coverage of the QMS (see QM 3.1)
The Quality Manual contains the QMS procedures (as mandatory
requirements of the QMS).
The operation description (see subsections QM 2.3 and QM 2.6) describes the
processes and interaction between them.
Scope and Exclusions
The scope of the QMS (QM 3.1) indicates the functional role of AAAD
included in the coverage of the QMS.
The functional activities and those clauses of standardised QMS which
are excluded from the QMS are described below.
The Office functions of the Export Promotion Audit (EPA) and the PAO are
EXCLUDED since these functions are not directly connected to the main role
of AAAD.
The following requirements of the international standard are excluded in the
QMS established in AAAD as justified here under:
Design & development (clause 7.3)
(1)
The operation of AAAD is mainly keeping the accounts of External
Aid as stipulated in the respective agreements. Therefore, AAAD does
not have any scope for Design and Development of any product or
infrastructure.
AAAD
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19.
Purchasing (clause 7.4)
(2)
In light of the scope of QMS, AAAD does not purchase any input
regularly which becomes part of output directly or indirectly. Only
when special services hired as one time input they are done on merit.
Otherwise there is no purchasing involved in the operation.
Validation of processes (clause 7.5.2)
(3)
Since the Account keeping is a proven process over the years, there is
no need or meaning in process validation except for some realignment
of responsibilities for updating the accounts. Therefore, process
validation is not addressed.
Customer property (clause 7.5.4)
(4)
In the AAAD operations, no customer property in any form is likely to
be under the custody of AAAD. Hence, this is not addressed and
excluded from the QMS.
Control of monitoring devices (clause 7.6)
(5)
Since there is no physical product involved, monitoring and measuring
devices are also not relevant and hence not addressed.
Documents Control
The documents required for the operation are controlled and governed by a
documented procedure. (QM 9.1) This procedure ensures that
(1)
The documents are reviewed for correctness and adequacy before
approval.
(2)
Only approved documents are released for use.
(3)
The review and approval takes place even when changes / amendments
happen.
(4)
The user can easily identify the current revision status.
(5)
Relevant versions of documents are available at points of use.
(6)
Documents are uniquely identified and remain legible enough for use.
(7)
The documents of external origin relevant to the operations are
identified and distribution controlled.
(8)
Withdrawn documents are distinctly identified, when retained for
reference.
(9)
__ Reviewed and revised.
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20.
21.
Records Control
Those documents that transform into records capable of demonstrating the
effective functioning of QMS are known as “Quality Records”. These
Quality Records are legible enough to be used for any purpose.
A documented procedure (QM 9.2) is established wherein Quality Records
are
(1) clearly identified
(2) stored and protected as needed
(3) easily retrievable for reference
(4) disposed off after specified retention time
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1.
2.
3.
4.
5.
MANAGEMENT RESPONSIBILITY
Management Commitment
At AAAD, top management is committed to the QMS and ensures that
(1)
The members of the organisation are well informed of the expectations
through various training, workshop, posters etc.,
(2)
The members are aware of the relevant statutory and regulatory
requirements including that of fund movement and foreign currency
movements.
(3)
The established Quality Policy is well understood,
(4)
A set of measurable parameters identified as quality objectives ,
(5)
Management reviews are conducted as stipulated, and
(6)
Necessary resources are provided for effective implementation of the
QMS.
Customer Focus
At AAAD functioning, there are no commercial profits that are aimed. As a
functionary establishment of Government of India (GOI), AAAD has certain
operational obligations to be conducted with the other parties and agencies.
These agencies and associates, inclusive of GOI, are all recognised as
“Stakeholders” in AAAD. Therefore, when AAAD is aiming at customer
satisfaction, it is this set of stakeholders whose expectations are of prime
concern for AAAD.
In light of the above, AAAD ensures that AAAD meets the entire stakeholders
requirements including the statutory and regulatory ones.
The level of satisfaction of these stakeholders is also measured with aim to
improve the same.
Quality Policy
The CAAA, as the head of the organisation has declared and formally issued a
Quality policy which is:
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6.
7.
8.
9.
10.
11.
(1)
Matching with the organisational purpose
(2)
Well focused towards commitment, compliance and continuous
improvement,
(3)
The basis for establishing the set of Quality Objectives,
(4)
Well committed and understood within the organisational members
(5)
Reviewed for continuing suitability at reasonable intervals.
The quality policy is presented herein (QM 3.2)
Planning
Quality objectives are identified in line with the spirit and intent of the Quality
Policy (see QM 3.3 and QM 3.4). The objectives, which are measurable are
suitably backward integrated and are computed from all functional levels
through stipulated methods.
The QMS is planned and implemented so that the intended purpose is
achieved and the quality objectives are also met.
While administering changes / modifications in the QMS, it is ensured that the
spirit and intent of the QMS, as a whole, is not violated even slightly or
temporarily.
Responsibility, Authority and communication
The AAAD administration functions with the specific organisational hierarchy
and authority levels are stipulated clearly under the GOI notifications. The
broad functional responsibilities and authorities are as per the GOI gazette
notifications. The overall organisational status under the Ministry of Finance
and the arrangement within AAAD are both illustrated in Section 2
(Introduction) of this Manual. However, with the QMS established, the
operational processes are redefined. The roles and responsibilities within the
gazette notifications are compiled in table (see 10.3.02)
The CAAA nominates a Management Representative (MR) from within the
organisation who is additionally responsible for
(1)
Planning and implementing the QMS
(2)
Appraising the top management regularly,
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12.
13.
14.
15.
16.
17.
(3)
Promoting awareness within the organisation regarding stakeholders’
expectations.
The spirit and objective of the QMS is well communicated within the
organisation. The progress, achievements and the trend analysis results are
publicised within the organisation.
Management Review
The QMS is reviewed at specified intervals through Management Review
Meetings (MRM) for continuing suitability and effectiveness. The review
covers the scope for improvement in QMS and the need for change in Quality
policy/objectives at reasonable long periods.
The MRM is governed by the documented procedure (see QM 9.7) and the
outcome treated as quality records.
The MRM review considers the following inputs,
(1)
Audit reports,
(2)
Stakeholders feedback / complaint
(3)
Operational process characteristics
(4)
Preventive action /corrective action status
(5)
Outcome of previous MRMs
(6)
QMS changes and implications
(7)
Suggestions for improvements
With these input points compiled suitably as needed at the time of meeting, the
MRM is held aiming at clear decisions and the output of the MRM is compiled
in the form of minutes.
The output of MRM , in the form of minutes positively includes :
(1)
Decisions taken in MRM along with targets dates and responsibilities
(2)
QMS improvement points
(3)
Operational process improvements
(4)
Any resource needs identified.
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RESOURCE MANAGEMENT
Provision of Resources
The AAAD top management ensures that the following resources are
provided:
(1)
Resources that are needed to effectively implement and continuously
improve the QMS
(2)
Resources that enhance the stakeholders satisfaction by meeting the
requirements.
The various support resources available in AAAD are described in the
Procedure Manual.
Human Resources
Those AAAD members whose functional roles bear a direct impact on the
stakeholders’ satisfaction are identified as “Q–Cadre” positions (listed in
10.3.13).
By virtue of the nature of operation, these members are reasonably at the
higher level of the organisation and are educated enough to meet the
operational responsibilities and obligations.
The quality focus of the members are monitored and recognised as outlined in
QM 3.4 of this Manual.
As a division the MOF, these positions as well as other positions of the office
are administered by the Establishment and Administration wing of the
Ministry of Finance. Therefore, the exhaustive data relating to the Human
resources under AAAD are available only with the Ministry.
However, the basic information relating to education, experience and training
(since joining AAAD) are compiled at the Administration Section (under Co-
ordination) of AAAD, as and when necessary.
The training needs are regularly identified, planned and provided.
The functional role and effectiveness of the actions are evaluated and
implications of the job roles vis-à-vis stakeholders satisfaction and quality
objectives are clearly publicised within the organisation by MR.
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__Once new incumbent report to this office, a brief on the work handled by
this office and also effecting product quality while performing work is handed
over to him/her. Quarterly training is also being arranged on Quality
Management System and ICS related work( ref File
NoAAAD/EDP/HWSW/ADB-TA/2004). The new incumbents are also
provided hands on training by the reliever for a week before being asked to
work.
Infrastructure
The AAAD office maintains necessary basic infrastructure and resources as
needed for its operation as well as the QMS.
The overview of resources and the salient features of the resources are
outlined at appropriate places in section 2 of this manual as needed. These
infrastructure provide
(1)
Adequate buildings and utilities
(2)
Necessary hardware mainly in the form of computers and software as
necessary
(3)
Supporting services as necessary.
Work Environment
The operation of AAAD is mainly office based activities of maintaining Aid
Accounts and hence suitable working atmosphere is provided in the form of
(1)
Computerised central network
(2)
Centralised air conditioning
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PRODUCT REALISATION
Planning of Product Realisation
1.
The organisation, AAAD had planned the operational processes to realise the
delivery of service obligations of External Aid accounts keeping. The
planning and the consequent arrangement are in line with the organisational
responsibilities and the QMS objectives.
2.
Since there is no physical product involved, the planning covers the operations
of Aid Accounts as covered in the Scope of QMS. As essential set of outcome
of the planning process the following are determined.
(1)
Quality objectives
(2)
Specific operational process sequences
(3)
Inter linkages and section wise control
(4)
Documents related to the process
(5)
Software and online requirements
(6)
Various checks, checklists and guidelines
(7)
Records to be generated (both in soft as well as printed form) to
demonstrate evidence of operational compliance as well as adherence
to QMS.
Customer-related Process
3.
In the AAAD operations scenario, under the scope of QMS, there is no
commercial activity directly involving any customer. However, AAAD
actually is a part of and represents Government of India for the process of
accounts keeping for the External Aid. As a result, AAAD provides services
meeting the expectations of a set of “Stake Holders” who have some
association with AAAD. These stake holders are:
(1)
Fund Sources/Agencies.
(2)
Fund users/Projects.
(3)
RBI.
(4)
State Governments.
(5)
Ministry of Finance(GOI) and the other Ministries.
(6)
Nationalised Banks.
(7)
Parliament.
4.
In light of the above (customer) stake holders scenario, AAAD has
determined,
(1)
The requirements and expectations of each of the stakeholders.
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(2)
The formal terms of each Aid are available in the concerned Aid
Agreement. The updation of the agreement details in the computerised
system (ICS) is done following procedure “Master Updation Process”
(3)
The implied and expected requirements from AAAD by way of
correspondence/communication are also compiled.
(4)
Any statutory, regulatory or international requirements are also
addressed.
(5)
Any special/additional requirements are also identified on a case-to-
case basis.
Review Requirements
5.
With the defined scope of operation (see QM 3.1) the Sovereign External Aid
accounts are maintained as provided in the terms and conditions of the
agreement. Since AAAD is responsible only to maintain the aid accounts, the
agreement and its terms are controlled and finalised between GOI(and the
beneficiaries) and the donor agency.
6.
However, the MOF may refer the draft agreement to AAAD for suggestions/
improvements/modifications, when certain new type of agreement is proposed.
In such cases AAAD does a thorough Review.
7.
This review is conducted prior to the formal recommendation for approval of
the proposal.
8.
This review positively addresses any new requirements expected of AAAD
and prepares to meet them by ensuring capability.
9.
The review is done under record and the details of review and the consequent
suggestions are filed in proposal file, which is treated as Quality Records.
10.
In the working of AAAD, the terms of agreement are the governing points and
the agreements are always in the documented form.
11.
When the agreements are formally signed AAAD also gets a copy from the
MOF which is used to update the Master in ICS.
12.
Since the operation of AAAD is ICS based, updating the ICS Master takes
care of all the updations at the working levels.
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Customer Communication
13.
The organisation (AAAD) ensures that the stakeholders are communicated
enough to ensure smooth flow of operational processes. This communication
relating to main (critical) milestones of the processes are standardised by way
of stipulated formats.
14.
In addition, AAAD interacts with all the stakeholders using the modes of
communication such as telephone, fax, e-mail and the internet.
15.
This communication covers
(1)
Any matter relating to AAAD’s operation
(2)
Agreements and amendments thereof
(3)
Parliament questions relating to External Aid
(4)
Any complaint or feedback from any of the stakeholders.
16.
The documented procedure “Corrective Action” (QM 9.5) provides for formal
recording of the stakeholders’ complaint/feed back.
Design & Development
17.
Since the process of Aid Account keeping responsibility is entrusted to
AAAD, there is no physical product which is designed at AAAD. Even the set
of services and the accounting procedures are also predetermined by virtue of
the agreement terms.
18.
In view of the above, this requirement of the standardised QMS is not relevant
to AAAD and hence excluded from the established QMS.
Purchasing
19.
In view of the scope of operation of the QMS there is no purchase done at
AAAD, which may have a bearing on the qualitative performance of AAAD.
20.
The input to AAAD is mainly data or information or formal communication
from the one of the stakeholders and the output is also similar.
21.
Some office support material like stationary etc, are also not directly
purchased by AAAD, but processed by a centralised Government agency on
__the basis of request sent by this office.
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Product and Service Provision.
22.
At AAAD, service is provided to the stakeholders by way of processing and
maintaining the aid accounts.
23.
These services are provided through controlled condition supported by the
Integrated Computerised System called ICS.
24.
The controlled condition include
(1)
Unambiguous description of the terms involved
(2)
Work instruction / check list / guidelines as necessary
(3)
Appropriate target levels / parameters (including some time targets)
(4)
Certain periodic and special reporting,
(5)
Periodical Preparation of annual Aid Accounts and financial status.
(6)
__This is done through auditing/checking.
Validation of Process/Service Provision
25.
The service provided by AAAD is governed by the terms and conditions of the
agreement and hence there is no scope of process validation. In view of this,
this subsection is excluded from the QMS.
Identification and Tractability
26.
The AAAD operations deal with a number of aid accounts each one of which
is uniquely identified. Every processing is also uniquely identified by way of
claim number, disbursement date, project authority etc.,
27.
Since the ICS is the centralised support for AAAD operation, the activities
carried out at AAAD are recorded in the ICS indicating the vital tractability of
information.
Customer Property
28.
Under the specified scope of operation of AAAD there is no customer (or
stakeholder) property of any kind coming under the custody of AAAD.
Therefore, this part is not addressed and excluded from QMS.
29.
__Documents/Files/Any records received from stakeholders/others are
centrally controlled in R&I Section of AAAD by diarising and further passing
on to the concerned section.
Preservation of Product
30.
In AAAD operation, there is no product involved. However, the account’s
status and the financial figures related to that are all very critical to the AAAD
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operation. Therefore, the preservation is meaningful to the extent of
maintaining and safeguarding the account status details.
31.
As above, the ICS data as updated are backed up systematically and is readily
available. The operational requirements leading to correct backup medium are
described in the Procedure Manual.
Control of M&M Devices
32.
In light of the AAAD’s scope of operation no device is needed or used for
monitoring and measuring any parameter during operation.
33.
Therefore, this requirement is not addressed and excluded from the QMS.
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MEASUREMENT, ANALYSIS AND IMPROVEMENT
1.
At AAAD monitoring and measurement are done in the following areas for
planning and achieving improvement.
(1)
Monitoring conformity of QMS
(2)
Monitoring and measuring improvement in effectiveness of QMS.
2.
This measurement clearly indicates the measurement methods and the random
sampling scheme whenever used.
3.
Since there is no physical product involved in AAAD operation, there is no
product conformity to be monitored or measured.
Measurement of Stakeholder Satisfaction
4.
The stakeholders of AAAD have varied expectations from AAAD. The level
and degree of satisfaction of these stakeholders are monitored by direct
interaction with them by the top management. This is done through formal
and informal correspondence.
5.
Since the Top Management (DCAs and above) are directly involved in
handling these correspondence the information relating to the possible
stakeholder dissatisfaction is perceived at this level. Any such event is
registered in the Complaint Register (FMT 003) maintained with the MR
Subsequently, such entries are evaluated to find out the stakeholder
satisfaction as an important outcome of the AAAD operation.
6.
The descriptions and details of these computations are presented in Section 3.3
and 3.4 of this Manual.
Internal Audit
7.
To evaluate the effective implementation of QMS a feature called “Internal
Audit” is incorporated within.
8.
The vital sequence of activities of this feature is scheduling of the IA annually,
planning and holding the IA as scheduled, reporting the IA findings,
committing and completing corrective action, monitoring effectiveness of
corrective action and referring the outcome to the Management Review.
9.
The QMS established in AAAD maintains an Internal Audit Process governed
by a documented procedure titled “Internal Audit” (QM 9.3)
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10.
The procedure covers the responsibilities for various Internal Audit related
activities.
11.
The purpose of Internal Audit is mainly to verify
(1)
Operational arrangements are inline with the international standard
ISO 9001 : 2000;
(2)
Conformance to the QMS standard and
(3)
Effective implementation of the QMS.
12.
Based on the importance of complexities and previous results, audit program
is planned and scheduled.
13.
The procedure prescribes the audit frequency requirements, scope of coverage
and methods whenever relevant. The QMS planned prescribes a set of criteria
for auditors. The MR ensures that he maintains an auditor base consisting of
sufficiently trained auditors.
14.
The audit findings are reported formally in audit reports, which are treated as
Quality Records.
15.
The auditee area in-charge (Section Head) is responsible for identifying and
carrying suitable corrective actions within reasonable time. Necessary analysis
and investigations are initiated as appropriate.
16.
Whenever necessary, a follow-up or verification audit is also planned prior to
formally CLOSING the audit finding.
Monitoring and Measurement of Process
17.
The QMS functioning is monitored by way of possible deficiencies occurring
and the likely dissatisfaction of the stakeholders.
18.
In addition, the time period recording of various important processes are
automatically being recorded in the ICS. These time-period recording are
aimed to study the achievement of planned results and suitable corrective
measures initiated whenever felt needed.
19.
These features are used to monitor and measure the QMS achievements as
Quality Objectives as explained elsewhere.
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Monitoring / Measurement of Product
20.
The product output of AAAD is in the form of service of various type to all
stake holders. Therefore, the measurement is for certain service factors or
some “processing time” are measured at appropriate stages of the process
chain.
21.
The processing is centralised through a computerised system called ICS,
which maintain the records of the processing. The criteria are built partially
into ICS and partially in the form of checklists.
22.
At ICS the authority who passes/approves the content of the accounting
process is indicated and recorded, and these records are treated as quality
records.
23.
The service delivery is done only when the planned arrangements and
stipulated checks are satisfactorily completed.
24.
The individual members are evaluated for reliability and recognised
accordingly. The performance of sections is compiled through Performance
factors. The details of these evaluations are presented in QM 3.4 of this
Manual.
Control of Non-conforming Product
25.
In the operational process of AAAD non-conforming product can be in the
form of any “Claim” or any other “document” not fulfilling the requirements.
These are termed as “Rejected” and treated as prescribed in the documented
procedure Non Conformity Control (QM 9.4)
26.
These “rejected” items are suitably marked, identified and controlled avoiding
unintended passing/forwarding of the same.
27.
These items are handled by considering
(1)
Through stipulated checklists / guidelines
(2)
Possibilities of direct co-ordination to eliminate the non-conformities
(3)
At specified authority levels through suitable tolerance / concessions.
28.
The operation process is mainly ONLINE in a computerised environment and
the “Rejected” ones are recorded and these records are treated as Quality
Records.
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29.
In the AAAD operation, such items can not be corrected or modified at AAAD
end. They are either “Rejected” or treated as “Rejected” or passed under due
concession by duly stipulated authority level only. Therefore, re-verification
is not relevant and hence not done.
30.
Draft forms of correspondence are also treated as non-conformance till they
are formally approved by the concerned officer through the act of signing on
them.
31.
Since the process does not involve physical product, post-delivery non-
conformance is not relevant.
Analysis of Data
32.
For monitoring, controlling and improving the QMS a clear set of data are
collected and analysed. These are as prescribed in “Quality Objectives” (QM
3.4) and these data relate to
(1)
Stakeholders’ satisfaction levels.
(2)
Operational processing time duration.
(3)
“Claim” conformance trends.
Improvement
33.
Continual Improvement is the focus point for AAAD operations. The driving
force and guiding points of the AAAD are the Quality Policy, Quality
Objectives, Audit Results, Management Reviews.
Corrective Action
34.
AAAD, through the operational processes takes action to eliminate the causes
of non-conformities in order to avoid recurrence. Suitable corrective actions,
matching the non-conformities encountered, are initiated and effectiveness
ensured.
35.
The QMS maintain a documented procedure (QM 9. 5) wherein
(1)
Non-conformities are reviewed
(2)
Customer complaints are registered, reviewed and attended
(3)
Non-conformities are analysed for root causes
(4)
Recurrences are avoided
(5)
Specific corrective actions are decided
(6)
Records of corrective actions are maintained
(7)
Corrective actions are reviewed for effectiveness.
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Preventive Action
36.
In addition, the QMS provides scope for initiating preventive action even
when a “Potential” scope of non-conformance is noticed. The documented
procedure (QM 9.6) is maintained wherein
(1)
Any “potential” non-conformity raises the alarm for necessary action
(2)
A complete analysis is undertaken
(3)
Suitable action is identified and implemented
(4)
Results of actions are recorded and treated as Quality Records
(5)
Preventive actions are reviewed for effectiveness
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DOCUMENT CONTROL
Purpose:
1.
To outline the system elements ensuring appropriate control of documents
under the QMS.
Scope
2.
This procedure covers
(1)
Quality system documents, (QSD) as described herein. (known as
Type A)
(2)
Operational documents, (OPD) as specified herein. (known as Type B)
(3)
External origin documents (EOD ) related to operation (known as
Type C )
Responsibility
3.
The MR is overall responsible
General Description
4.
The documentation scenario (as illustrated in QM 10.3.8) is briefly listed
below.
5.
The Quality System documents (QSD) (Type A) are the Quality Manual and
the Procedure Manual. (See QM 4)
6.
The operational documents (OPD) (Type B) such as Regulatory Manuals,
Ministry Guidelines, Notifications, Loan/Aid agreements etc., are controlled
slightly differently, as described herein.
7.
The Documents supplied by stakeholders wherein AAAD has some usage but
no authority to alter/correct the contents, such as international currency
regulations, Standards, Manuals etc. are known as External Origin Documents
(EODs) (Type C). The control method for EODs is outlined herein.
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Definitions
Authority
(1)
The approving authority is the position (person) that approves the
contents of the documents.
(2)
The controlling authority is responsible for correct distribution of the
documents to the user.
(3)
The authorities for QSD are tabled in the Q S DOCUMENTATION
(QM 4). Wherever, not explicitly mentioned, MR is the authority.
Header
(4)
The QSD (except Forms/Formats) are used with a header, which
appears on every page. The header is the same as of this very page. In
case of Procedure Manual the header is slightly different and self-
explaining.
Cover Sheet
(5)
Like header, in the case of operational documents and EODs, suitably
designed Cover Sheets are used, wherever a unique identification is
needed, giving the identification, title and the custodian.
Document No.
(6)
Each document (Type A) is numbered as per numbering scheme
outlined in S.No.15 below. The Document Number is also referred to
as “Reference Number”.
Issue/Revision
(7)
When QSD undergoes a change/ modification in part or portion, it is
referred to as revision. When the QSD as a whole is released for use, it
is known as Issue.
Revision Record
(8)
Within each issue, the revisions are updated on one of the front sheets
__known as “ Revision Record” (FMT 001) of Quality Manual
indicating the validity. Any revision in Procedural Manual are updated
by taking necessary approval from higher authority in Noting sheet..
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.1
Issue No. : 0
DOCUMENT CONTROL
Rev. No. :0
Page 3 of 6
Signature
Approved by
Management Representative Date : 15/9/2004
Page No.
(9)
Each QSD is a page numbered section/item wise for practical
convenience, giving the total number of pages also in that section/item.
Controlled Copy
(10) All QSD (except Form / Formats) are controlled as Controlled Copy
by fixing “CONTROLLED” RUBBER Stamp in GREEN colour in
all pages. The forms/formats are, however, controlled through the
rubber stamp below across the face of the form / format, placed tilted.
The sign and date of approval provide the validity of the form/formats.
The M R’s copy is always treated as the copy for reference for any
final decision.
A P P R O V E D
Date
Sign
Uncontrolled Copy
(11) All other copies of QSDs (i.e., not meeting the above definition) are
called Uncontrolled Copies.
Date
(12)
The ‘date’ on the documents header indicates the date, on which the
document is released whether as an Issue or Revision, whichever is
later.
Side Mark
(13)
In QSD, whenever a Revision is done, to ease spotting of the changes
made a vertical line, made in the margin is known as side mark.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.1
Issue No. : 0
DOCUMENT CONTROL
Rev. No. :0
Page 4 of 6
Signature
Approved by
Management Representative Date : 15/9/2004
OBSOLETE:
(14)
Documents withdrawn from active use are known as “OBSOLETE”.
They are marked by a rubber stamp “OBSOLETE ” in red, placed
prominently on the face of the document.
Updation
(15) The process of replacing the amended document with the revised
documents is known as Updation.
Distribution
(16) The formal table describing the distribution of QSD ( Type A ) is
known as the Distribution list and is presented in this Manual
(QM 1.4)
Document Numbering Scheme (QSD ) ( Type A )
QM for Quality Manual
Section / Subsection No.
Serial ( Ref. ) No.
for Forms / Formats
*
*
FMT for Forms / Formats
8.
For Procedure Manual the activity number and the Process Number
are used to identify the particular part of the document
Example : Process 03.01 indicates Process no. 1 of Activity no. 03 in
Procedure Manual
Example : QM 3.2 indicates second subsection of the third section of Quality
Manual, FMT 008 indicates the eighth format.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.1
Issue No. : 0
DOCUMENT CONTROL
Rev. No. :0
Page 5 of 6
Signature
Approved by
Management Representative Date : 15/9/2004
Procedure : QSD (Type A)
9.
Every QSD is reviewed prior to formal approval for release. The approving
authority is responsible for this.
10.
__ Review of Quality system documentation will be done after every three
year and a revised version would be released .
11.
The distribution list is approved by the approving authority.
12.
The MR is responsible for distributing the QSD documents as per the list, if
not specified otherwise.
13.
Only the `Controlled’ copies are updated.
14.
The concerned HOS are responsible to ensure only controlled and valid copies
are used at places of work.
15.
The user is responsible for the upkeep and use of the documents (QSD). The
approved user is responsible for QSD updation at respective places.
16.
The `OBSOLETE’ copies, when withdrawn, are destroyed except one copy
marked `OBSOLETE’. All such obsolete copies are maintained with the MR
17.
The MR maintains a Register known as QSD Master Register (FMT 002)
to record the revision/distribution status of QSD to verify the validity of any
QSD at anytime.
18.
During operations, change requests on QSD are forwarded to MR formally or
informally. He initiates necessary action, after considering all possible
repercussions.
19.
No controlled copy of document is causally amended by overwriting or cutting
or other wise to be treated as valid.
Procedure: Operational Documents (Type B)
20.
The Control System for the operational documents are not formally defined.
However, the following are ensured
(1)
The initiator/originator of such document ensures clarity, legibility,
authority and date of release in addition to other relevant requirements.
(2)
Every document is suitably titled and refers to the correct linkage
details, as necessary.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.1
Issue No. : 0
DOCUMENT CONTROL
Rev. No. :0
Page 6 of 6
Signature
Approved by
Management Representative Date : 15/9/2004
Procedure: External Origin Documents (Type C)
21.
For External Origin Documents (EODs), the marked custodian maintains a
consolidated list along with a Master list with the MR The possible
Categorisation of the EOD is presented in Table listed in QM 10.3.12 in this
Manual.
22.
The Custodian is responsible for ensuring updation of the EOD, as appropriate
through necessary monitoring and interactions with the source of EOD.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.2
Issue No. : 0
RECORD CONTROL
Rev. No. : 0
Page 1 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
RECORD CONTROL
Purpose
1.
To describe the controls and responsibilities established under the QMS for
record management.
Scope
2.
This procedure covers all records identified as an essential part of QMS and
listed in the table below.
Responsibility
3.
The Management Representative is overall responsible.
General Description
4.
Those records generated as part of QMS for demonstration of conformity at
various stages and of effective operation are covered under this procedure.
5.
Such records are listed below and are referred to as “QMS Records”.
QMS Record
Format
No.
Control
Media (for
storage)
Life period
(in years)
Remarks
Complaints Register FMT 003 M R
Register
3
See note 1
Alarm Note Register FMT 004 M R
Register
3
Internal Audit Report
FMT 005 M R
File
3
Minutes of MRM
FMT 006 M R
File
3
Alarm Note
FMT 007 M R
File
3
Training Record
-
Section Head
(Admn)
File
3
All training since
joining AAAD
Agreements
-
Section Head File
3 *
Note:
1.The Life period indicates only the Passive Life when the QMS Record is
bundled and stored after the “Active” life. When the QMS Record is used on a
day to day basis it is known as Active Life. After the year closing (or account
closing) the QMS record is bundled and stored. The “*” mark indicates that this
passive life of the record starts only when the concerned Aid Account or case is
closed.
2.All other operation related records are in the form of electronic data and are
available as part of ICS as and when needed.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.2
Issue No. : 0
RECORD CONTROL
Rev. No. : 0
Page 2 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
3.__ However retention period for each of the record relating to individual
loan and grants will be 1 year after the closure of the loan/grant as the case
may be.
Procedure
6.
Each of the QMS Record is suitably collected and stored in appropriate media
such as file cover, bunch, Register floppy etc.
7.
All the QMS records are identified by the Mark of “Q” either in printed or
rubber stamped impression on the right hand top corner of the “QMS Record’
or its storage media or both. This is the General identification and in addition
to the respective unique format no. if any.
8.
Each QMS record is associated with a controlling authority (CA) who is
responsible for monitoring and improving legibility and retrievability. The
CA is independently responsible for devising and maintaining a storage
system for the respective QMS records.
9.
QMS records are gathered and bundled suitably at the close of every financial
year (31
st
March). This is done during the 1
st
half of April every year under
the direct supervision of Management Representative.
10.
Prior to such bundling, these QMS records are referred to as “ACTIVE”
records. Guided by the “Life period” each bundle bears visible markings
giving all necessary information including the target date for ‘disposition’.
11.
For the purposes of disposition, each QMS records is marked with a ‘Life
period’. The indicated life period starts after the bundling indicated in step 4.
12.
The Management Representative organises disposition of QMS records once
in a year after ensuring correctness and verifying all details.
13.
For the purpose of QMS operation many of the day to day activities carried
out in ICS are also involved. The online records relating to the ICS are
governed by the regulations and authorisation provided for this purpose as
described and controlled by the Procedure Manual.
14.
Any “temporary removal” of record from its normal location, for any purpose,
is done only after placing marker sheet/card describing the complete details of
the removal. Short reference during current operation, however, is not
temporary removal.
15.
The respective CA is responsible for the safety and protection of the QMS
records during the “Active period”. However, Management Representative is
overall responsible for the QMS records control.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.2
Issue No. : 0
RECORD CONTROL
Rev. No. : 0
Page 3 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.3
Issue No. : 0
INTERNAL AUDIT
Rev. No. : 0
Page 1 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
INTERNAL AUDIT
Purpose
1.
To describe the procedure and sequence of activities relating to the Internal
Audit, evaluating continuing suitability and effectiveness of the QMS and
__system conformance.
Scope
2.
All areas falling under the QMS.
Responsibility
3.
The Management Representative.
General
4.
The MR is the key functionary apprising the top management of the level of
success of the QMS.
5.
The Internal Audit and the MRM are two important tools for such appraisal, in
addition to any other personnel/direct observations.
6.
Arranging appropriate resources, the MR initiates and maintains an Internal
Auditor Base, considering the competence requirements.
Procedure
7.
The MR considers the importance and complexity of the various areas of
operation vis-à-vis the Quality Objectives and proposes a tentative timetable
for Internal Audit at various places.
8.
In addition, the MR amends the timetable, if necessary considering the results
of the previous Audit.
9.
The Internal Audits are conducted as per the timetable.
10.
The Internal Audit is planned suitably as above, but ensures that each area is
audited at least once in 3 months.
11.
The marked Internal Auditors clearly indicate the scope, the method and the
audit criteria while starting the audit and adhere to.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.3
Issue No. : 0
INTERNAL AUDIT
Rev. No. : 0
Page 2 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
12.
The MR is responsible for identifying auditors independent of the area being
audited.
13.
The MR also ensures that the Audit process is aimed at satisfactory level of
objectivity and the auditors perform impartially and with total commitment to
the QMS.
14.
The audit findings, the committed corrective actions are all reported in
Internal Audit Report (FMT 05).
15.
The auditee area in-charge is responsible for identifying the corrective action
and for commitment thereto. He ensures timely and effective completion of
the identified action.
16.
The MR is overall responsible for monitoring the progress of the corrective
action closely, directly or through the auditor and for CLOSING the Audit
Report.
17.
The MR also plans and conducts follow up verification activities whenever
needed and maintains additional Audit Reports, if generated.
18.
The CLOSED Audit Reports only are filed.
19.
The MR also compiles the Internal Audit status and the corrective action,
action pending status and refers to the MRM for necessary decisions relating
to QMS.
20.
Arising out of the results of the Internal Audit, if the MR or the MRM desires
any analysis towards deciding corrective/preventive action, the MR initiates a
Alarm Note (FMT 007) governed by the procedure relating to Corrective
Action (see Section QM 9.5) or procedure for Preventive action (see Section
QM 9.6)
Documents/Records
(1)
Internal Audit Timetable
(2)
Internal Audit Report
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.4
Issue No. : 0
NON-CONFORMITY CONTROL
Rev. No. : 0
Page 1 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
NON-CONFORMITY CONTROL
Purpose
1.
To describe the sequence and responsibility relating to the control of non-
conformities occurring during the course of regular operations.
Scope
2.
All types of operational non-conformities in the form of un-approved draft
correspondence or documents / records.
Responsibility
3.
Management Representative
General Description
4.
In the AAAD operations covered by the scope of QMS (sec. QM 3.1) no
product of physical nature is involved.
5.
The non-conformities are likely to be encountered only in the form of
documents not fit for further passage/despatch/processing.
6.
These non-conformities may be in form of some incoming papers (such as
claims etc.,) or outgoing correspondence (such as letters, sanctions etc)
7.
The incoming items not meeting the requirements are held or rejected for
processing and are known as “HOLD” items.
8.
Those outgoing correspondence or reports or results not finally approved are
known as “DRAFTS”.
Procedure
9.
Whenever any “HOLD” item is identified, the concerned member of the
section fixes the rubber stamp reading HOLD on the first page.
10.
Subsequently, the same may be reviewed and either “approved” or “rejected”
following appropriate procedure.
11.
Hold items are generally treated as provided in the checklists maintained for
such purposes.
12.
But, due to operational urgency and case conditions, the section head, at times,
waives the requirements and approves deviations.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.4
Issue No. : 0
NON-CONFORMITY CONTROL
Rev. No. : 0
Page 2 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
13.
Whenever, a HOLD item is deviated only the concerned approving authority
decides on that.
14.
Such deviated approvals are recorded on the face of the HOLD items as
prescribed in the related procedures. (For example: If a hold claim is deviated
and approved, the concerned process flow covers that)
15.
In case of “DRAFTS”, the correspondence generated for transmission is
finally approved by the signing authority. Till such (final) signing it is treated
as DRAFT.
16.
Generally, all the preparatory works are destroyed when the final signing is
done, there by eliminating non-conformities. (Drafts)
17.
But, however, in some cases due to the importance of the matter / contents
such items are retained for reference. Such “DRAFTS” are anyway
maintained unsigned (or initialled with suitable remarks and thereby
controlled.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.5
Issue No. : 0
CORRECTIVE ACTION
Rev. No. : 0
Page 1 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
CORRECTIVE ACTION
Purpose
1.
To describe the sequence of activities that identify the need for corrective
action and responsibilities relating to effective implementation of the same,
under QMS
Scope
2.
All consequential actions under the QMS arising out of external complaints
and “Alarm Note”. This procedure, however, does not cover corrective
actions that are carried out based on Audit findings.
General Description
3.
The functioning of AAAD is such that the external agencies notice the
operational mistakes and point out through correspondence. Irrespective of
whether they are complaining in nature or not, the operational mistakes are
treated as ‘Complaints’.
Procedure: Complaints Handling
4.
All complaints (irrespective of the media, nature or source) are registered in
the “Complaint Register” (FMT 003) under the custody of the MR.
5.
Even oral complaints are also formalised by writing a “Complaint Sheet” by
the person receiving the complaint.
6.
After the entry, the complaint is forwarded to the CAAA for grading.
Grade A - Very serious and urgent
Grade B - Major
Grade C – Minor
7.
When the complaint is registered (with a number) and graded, the JCA ensures
a formal acknowledgement to the complaints.
8.
For all the Grade A cases and for other selected cases an “Alarm Note” is
generated by the Jt. CAAA.
9.
When the complaint is satisfactorily handled the Joint CAAA completes the
register entries and “Close” the complaint by stamping “Closed” both on the
complaint and in the register.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.5
Issue No. : 0
CORRECTIVE ACTION
Rev. No. : 0
Page 2 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
10.
The “Alarm Note” is separately handled and closed as described below.
Procedure: Alarm Note
11.
Alarm Note is an instrument formally initiating review and investigation of
any non-conformity or complaint fit enough for thorough study.
12.
An “Alarm Note” is raised by anyone and is put up for approval by a Deputy
controller or above.
13.
The approving authority ensures the initial entry in the “Alarm Note Register”
and fixes the reference number to the “Alarm Note”.
14.
The register is normally under the custody of the MR.
15.
The approving authority also identifies the investigation officer for the case
while approving.
16.
The investigation officer marked is provided with all data and support needed.
17.
The result of the analysis and the possible corrective action is recommended
by at least, a deputy controller.
18.
The proposed action is approved by Jt. CAAA or CAAA.
19.
Subsequently, the concerned person/section ensures the corrective / preventive
action.
20.
After monitoring as necessary, if satisfied on the effectiveness of the action
the investigation officer may propose “Closure” of Alarm Note”.
21.
Then, after considering all possible angles, the “Alarm Note” is closed by
stamping “Closed” with due remarks and signatures.
22.
The records of results of the corrective action are clearly briefed or referenced
either as remarks on the Alarm Note or as separate additional attachments.
23.
The “Alarm Note” is closed by the MR / JCAAA / CAAA.
24.
The register entries are also closed.
25.
The Jt.CAAA / MR is responsible for preparing a summary of “Alarm Note”
status for discussion in MRM.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.6
Issue No. : 0
PREVENTATIVE ACTION
Rev. No. : 0
Page 1 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
PREVENTATIVE ACTION
Purpose
1.
To describe the sequence of activities that identify the need for Preventive
actions and responsibilities relating to effective implementation of the
same, under QMS
Scope
2.
All areas under the QMS where any potential non-conformity is visualised or
noticed.
General Description
3.
When complaints occur, they are treated as prescribed in the documented
Procedure “Corrective Action” (QM 9.5)
4.
If any possible mishap or mistake or even scope of misunderstanding of
accounting interpretation is noticed, it is considered as a potential non-
conformity.
Procedure:
5.
All members of AAAD are responsible to identify any possible non-
conformity likely to occur during the course of regular operation.
6.
When any possible non-conformity is noticed, the member informs the
immediate superior.
7.
The possible root cause and circumstances leading to the situation is well
analysed.
8.
Subsequently, based on the potential seriousness an Alarm Note is raised as
prescribed in Corrective Action Procedure. (QM 9.5)
9.
The MR who identifies the investigation officer entrusts the responsibility of
identifying, planning and implementing suitable preventive action to the
suitable person.
10.
The preventive action is monitored and verified for effectiveness.
11.
When the effectiveness is satisfactorily realised, MR closes the Alarm note
and the Register entries as provided.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.6
Issue No. : 0
PREVENTATIVE ACTION
Rev. No. : 0
Page 2 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
12.
The MR summarises the Preventive Actions in every MRM and proposes
suitable Award Plan for encouraging member participation.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.7
Issue No. : 0
MANAGEMENT REVIEW
Rev. No. : 0
Page 1 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
MANAGEMENT REVIEW
Purpose
1.
To describe the sequence and responsibilities relating to the Management
Review of the QMS
Scope
2.
All areas under the coverage of QMS.
Responsibility
3.
Management Representative
General Description
4.
The management review is carried out by way of a formal meeting in the
senior set of managers.
5.
The MRM (Management Review Meeting) is held under the chairmanship of
CAAA at least once in 3 months ( i.e. subsequent MRM is held within 90 days
of each MRM)
6.
The MR is the convenor of the MRM and the permanent member of the
management review include CAAA, JCA and the three DCAs
7.
In addition the MR summons any other members as necessary.
8.
The MRM are serially numbered for reference convenience.
9.
The MR announces the MRM with the details of the agenda points.
10.
The Input to the MRM are the data (or summary) relating to the following:
(1)
Audit results
(2)
Complaints and feedback
(3)
Performance data
(4)
Corrective action status
(5)
Preventive action status
(6)
Pendancy from previous MRMs
(7)
Changes relating to QMS
(8)
Any scope for improvement
11.
The MRM output is in the form of “Minutes of MRM” (FMT 006) compiled
by the MR and circulated (or distributed) to all those concerned.
AAAD
QUALITY MANUAL
Doc. No. : Q M 9.7
Issue No. : 0
MANAGEMENT REVIEW
Rev. No. : 0
Page 2 of 2
Signature
Approved by
Management Representative Date : 15/09/2004
12.
The minutes indicate the following:
(1)
The decisions against each point discussed.
(2)
The action and the member responsible for the action.
(3)
The target dates, if any, decided in MRM.
13.
The output of MRM positively cover
(1)
Improving QMS and its effectiveness
(2)
Improving operational process with specific reference to stakeholders
expectations.
(3)
Any resource needs and the related decision there to.
14.
The “Minutes of MRM” (FMT 006) is treated as Quality Record.
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.1.01
Issue No. : 0
COMPETENCE MONITORING GUIDELINES
Rev. No. : 0
Page 1 of 1
Signature
Approved by
Management Representative Date : 15/09/2004
COMPETENCE MONITORING GUIDELINES
1.
For each of the section, there is a certain specific knowledge level required.
This is decided and listed by the Section Heads. These are generally:
(1)
The name of the Funding agencies.
(2)
Their international standing.
(3)
The language generally used
(4)
The currency and its floating status.
(5)
Festivals/holidays of the country concerned.
2.
The Section Head generally monitors,
(1)
The overall reliability of the member.
(2)
Work efficiency and accuracy.
(3)
Discipline, attitude and absenteeism.
(4)
Focus towards QMS.
General points like dealing with multi-lingual correspondence, style of written
communication, clarity in communication, knowledge about other sections
operations, etc., are also monitored.
3. Individual Monitoring Guidelines Table :
S.No. Aspect to be
evaluated
Considerations
Max.
Possible
Score
( % )
Remarks
1.
Promptness
Response time, Availability, Commitment towards
work
20
2.
Accuracy in
work
Errors and repetitions, Complaints against,
negligence
20
3.
Efficiency
Grasping capacity, labour, Focus towards outcome,
Quantum of work handled, Compliance level
30
4.
Awareness of
implications
Knowledge of repercussions, Customer focus,
Casual approach,
10
5.
Functional
Knowledge
Subject knowledge, Information readiness,
Knowledge updation, Related current affairs
20
Total
100
This Table is
only as a
benchmark
reference to
broadly guide
the evaluator
who considers
these in light
of
the
activities
during the
period under
consideration
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.1.02
Issue No. : 0
DEFECIENCY VALUE TABLE
Rev. No. : 1
Signature
Approved by
Management Representative
Page 1 of 2
Date : 29/03/2006
DEFECIENCY VALUE TABLE
(PART A)
Event description
Stakeholde
r
satisfactio
n
perception
( % )
Possible
Dissatisfa
ction
( % )
Remarks
1 No deficiency
(100)
Dissatisfaction of Funding Agencies towards Disbursements
2 Audit recovery not adjusted
( 5)
3 Claim when R.F. is available
( 5)
4 Claims without information of approval of contract( 5)
5 Claims over and above the contract value
( 5)
6 Ineligible expenditure claim
( 10)
Note-2
Dissatisfaction of Funding Agencies towards Debt Service Payments
7 Insufficient payee’s bankers detail
( 10)
Prompt debt
service
8 Insufficient payee’s accounts detail.
( 10)
9 Slippage in debt servicing (delayed/early/non
payment)
(10)
Note-2
Note-2
Dissatisfaction of Funding Agencies towards Reporting
10 Delay / Error in international debt reporting (10)
Note-2
Note-2
Dissatisfaction of Project Implementing Agencies
11 Delay in processing claims
(6)
( Note 1 )
12 Improper communication at the closure stage of the
agreement
(6)
13 Delay in sending Demand Notice
(6)
14 Wrong rejection of claims.
(6)
15 Non-receipt of reimbursement. ( by project ) (6)
Note-2
Note-2
Note 1:
Normally ICS records the number of days of the activities. Seven days
are generally allowed.
Note 2:
All necessary information and data are summoned by MR once in 6
months. The satisfaction / dissatisfaction (in percent) is evaluated by
the MR (assisted by a committee, if needed) considering on a case-to-
case basis
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.1.02
Issue No. : 0
DEFECIENCY VALUE TABLE
Rev. No. : 1
Signature
Approved by
Management Representative
Page 2 of 2
Date : 29/03/2006
DEFECIENCY VALUE TABLE
(PART B)
PERFORMANCE FACTOR PARAMETERS TABLE
S.
No.
Parameters
Max Loss
Performance
score lost
( from a possible
100 percent )
(see note 3 below )
1
Agreement received and not activated
(5)
2
Claims received and not processed within 7 days (5)
3
Replenishment application not filed for three months or special
account not having sufficient funds
(5)
4
Disallowance from funding agency on account of ineligible
expenditure, lack of supporting etc.,
(5)
5
Delay in ACA recommendation after receipt of disbursement (5)
6
Delay in sending Demand Notice to Importers
(5)
7
Slippage in debt servicing in terms of non - payment, early
payment or delayed payments
(10)
8
Time taken and accuracy in preparation of External Assistance
Budget
(10)
9
Time taken and accuracy in preparation of External Assistance
Brochure
(10)
10
Time taken and accuracy in answering Parliament Queries (10)
11
Time taken and accuracy of data compilation for International
debt Reporting
(5)
12
Time taken and accuracy of online web
(5)
13
Pre agreement Comments
(5)
14
Delay in data entry of disbursement
(5)
15.
Delay in transfer of Advance(8449) to respective Heads of Accounts
(5)
16.
Delay in distribution/despatch of dak
(5)
(Note-2 above )
Note3 :
These performance loss is considered for section / individual based
on the clarity of the case.
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.2.02
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MASTER REGISTER FOR DOCUMENT RELEASE
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REVISION RECORD
The following is the compilation of amendments done in0
QUALITY MANUAL
Issue No. :
0
Document Reference
Updation
S. No.
Title
Doc. No.
Page
No.
Rev.
No.
Brief on
Amendments
Sign
Date
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QUALITY MANUAL
Doc. No. : Q M 10.2.02
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MASTER REGISTER FOR DOCUMENT RELEASE
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Sno. Date
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No.
Reason
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Remarks
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.2.03
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COMPLAINT REGISTER
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COMPLAINT REGISTER
Sno. Date
Source /
Complainant
Reference
Details
Subject
Brief
Description
Grade *
Action
Brief
Closure
Remarks
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.2.04
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ALARM NOTE REGISTER
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ALARM NOTE REGISTER
Sno
Date
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Reference
Details
Description Investigation
officer
Analysis
Brief
Closure Remarks
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.2.05
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INTERNAL AUDIT REPORT
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INTERNAL AUDIT REPORT
Auditor
Auditee
Audit area
Date(s) of
audit
AUDIT No.
(Ref):
Page
No. :
Corrective Action
Closure
Sno Audit findings Category Reference
Brief Description
Target
Date
Remarks
Sign
Remarks:
Auditee
Remarks:
Auditor
Closing Remarks:
Management Representative
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.2.06
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MINUTES OF MRM
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MINUTES OF MRM
Date:
MRM NO. :
Chairman
Attended by
Absentees
Venue
Next meeting
proposed on:
S.No. Subject
Details of minutes
Action by
Target
Date
Remarks
Management Representative
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.2.07
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ALARM NOTE
Rev. No. : 0
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ALARM NOTE
Alarm Source
Raised by
Subject matter
Other
Reference
( if any )
Date
Alarm Note No :
Details of issue requiring investigation
Action by
Target date
Approved by
Investigation / analysis summary
Proposed
Corrective /
Preventive actions
Support /
Reference
Attachments, if any
Details of action undertaken
Results observed
Closing remarks :
Jt.CAAA
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.01
Issue No. : 0
ORGANISATIONAL HEIRARCHY
Rev. No. : 0
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ORGANISATIONAL HEIRARCHY
AAAD AS GOI DIVISION
GOI
Other
Ministries
Ministry of
Finance
Finance
Secretary
Additional Secretary
(External Finance)
Other Additional
Secretaries/ Special
Secretaries
Other Divisions of
External Finance
Aid Accounts and
Audit Division
WITHIN AAAD
Controller
(CAAA)
Joint Controller
(JCA)
Senior Accounts Officers/ Accounts Officers
(Section Heads)
Task Holders
(Junior Accounts Officers, Assistants, Auditors, Upper Divisional Clerks,
Account Clerks, Lower Divisional Clerks, etc.))
Deputy Controller
(DCA)
Deputy Controller
(DCA)
Deputy Controller
(DCA)
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.02
Issue No. : 0
OPERATIONAL RESPONSIBILITY/AUTHORITY
Rev. No. : 0
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OPERATIONAL RESPONSIBILITY/AUTHORITY
Key
Position
Responsibilities
Authorities
CAAA
•
•
•
•
•
•
•
Overall Responsibilities of AAAD
Operational System Planning
QMS Policy and Principles
Final Authority ( GOI Gazette )
Quality Policy of AAAD
Overall Operational Decisions
Awards / Reprimands
JCA
•
•
•
•
•
•
•
•
•
Operational Control / Monitoring
Administration. ( R & I )
Liaison with other wings
External co-ordination ( consultants etc., )
Overall control of EDP
Internal Audit
Manpower Deployment
Alarm Note decisions
Representing CAAA
DCA 1 Operation and control of Debt service, E P Audit
• Operational Authorities ( for
the sections )
DCA 2
•
•
Operation and control of Co-ordination, EDP, PAO
Operational Authorities ( for
the sections )
DCA3
•
•
Operation and control of Disbursement, HR functions,
O&M functions
Operational Authorities ( for
the sections )
M. R.
•
•
•
•
•
•
QMS Planning and Conduct
Management Review and Improvement
External ( QMS ) Liaison
Internal Communication
QMS Training
QMS Decisions
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.03
Issue No. : 0
SALIENT FEATURES OF ICS
Rev. No. : 0
Page 1 of 1
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SALIENT FEATURES OF ICS
1.
The Integrated Computerised System (ICS) is the centralised accounting
system functioning at AAAD through the LAN existing in AAAD. The
background and description of ICS is presented elsewhere. (see. QM 2.7)
2.
The salient features of ICS are discussed below.
On line Accounting
(1)
All the documents and processes concerning aid flows are uniquely
numbered and the accounting is done on line through various
processing cycles.
Authorisation
(2)
The ICS is loaded on a server at AAAD and is accessed by the users
through the LAN. The various input to ICS are approved through
specified levels of authorisation. These authorisations are through
specified controlled passwords.
Front-end Correction
(3)
Any data entered incorrectly can be corrected through appropriate
rectification/adjustment entries and the process is known as Front-end
correction. This is limited to certain identified fields only.
Back-end Correction
(4)
Avoiding Front-end corrections, access is available to the database
through the system administrations for monitoring and emergency
purposes. Corrections to data base directly through this window is
known as Back end correction.
CS – DRMS Compatible
(5)
The CS-DRMS package is mainly used by AAAD to compile and
generate different reports relating to debt portfolio analysis. When ICS
was developed and implemented, in order to avoid duplication of data
entry efforts, all the data available in ICS can be transferred to CS-
DRMS through a routine developed for this purpose.
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.03
Issue No. : 0
SALIENT FEATURES OF ICS
Rev. No. : 0
Page 2 of 1
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Screens and Reports
(6)
Since each account is uniquely numbered, the accounting is direct and
convenient. This is carried out through selective set of screens from
more than 150 possible options and a wide variety of reports from
more than 300 possible options can be generated.
On-line Updating
(7)
The ICS being on-line, any updation in ICS will provide updated
information to the web site users.
Reminders to users
(8)
In order to remind action for initiating repayment etc., suitable
warnings called ALERTs are automatically popped up thereby
ensuring timely actions.
Standardised Correspondence
(9)
As a part of the accounting process, at selected events suitable ready
made correspondence are prompted so that the concerned party is
formally informed as needed.
Reconciliation
(10) The final closing of various transactions happens only when the
transaction is completed by the banks/funding agencies. When the
corresponding closing takes place the accounting is suitably matched.
Any unmatched accounting are listed out for reconciliation.
Registers and Statement
(11) The data in ICS is maintained (or available) in the form of various
operational registers in line with the operating process cycles, such as
Claim Monitoring Registers, Withdrawal Application Report,
Disbursement Register, Payment Advice Register etc.
Master Updation
(12) The ICS function is based on the Master generated for each aid
account. The Master is updated through due authorisation.
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.03
Issue No. : 0
SALIENT FEATURES OF ICS
Rev. No. : 0
Page 3 of 1
Signature
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Back-up
(13) The ICS is functioning from the EDP. The data in ICS is very
important and is backed up following specific guidelines as described
in the Procedure Manual.
Supplementary Function (CAS)
1.
The actual fund release is done at PF-I of the MOF based on the
recommendation from AAAD. Therefore, a supplementary part of
computerised software Central Assistance System (CAS) under
supplementary function is installed at the PF-I where the ACA fund release
document is identified and used to post in the ICS for completing the cycle.
Updating CS-DRMS database
2.
CS-DRMS package implemented at AAAD is primarily used for carrying out
the portfolio analysis and reporting external debts to international monitoring
agencies. Both the computerised system implemented at AAAD require entry
of transaction into their respective databases (i.e. CDB for ICS and DRMS for
CS-DRMS). To avoid duplication of work a separate module has been
developed in ICS that automatically transfers the information maintained by
CDB to CS-DRMS package.
Website Module
3.
The information relating to the activities performed by AAAD is periodically
published on the AAAD’s website, which requires periodic updation as the
information maintained in ICS changes with each transaction. In order to
avoid manual process in updating the website, a separate module has been
developed in ICS. This module automatically summaries the external
assistance information and generates the HTML pages required for updating
the website. Depending on the nature and criticality of the information, the
periodicity of updation is decided.
Hardware Infrastructure
4.
The computing infrastructure at AAAD consists of servers and desktops
connected through Local Area Network (LAN). Two servers have been
installed. One server is exclusively used for CS-DRMS (Unix, Informix) and
the other for ICS (Windows-NT, SQL Server). All the desktops are window-
based and are equipped with the office automation tools (MS Office).
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.04
Issue No. : 0
TYPICAL SCREEN TEMPLATES OF ICS
Rev. No. : 0
Page 1 of 1
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SCREEN TEMPLATES OF ICS
Report/Register
Information
Remarks
Claim monitoring register
Claim application details for
selected periods
Summary also
available
Withdrawal application report Details of withdrawal applications
generated through ICS and related
approvals
Claim status
Shows complete backup of
individual claims from receipt to
ACA release.
Report on rejected claims
Rejected claim details on various
parameters.
Summary also
available
Utilization report
Loan / source wise
Summary also
available
Disbursement register
Disbursement Status / details for
the selected period
Statement, Summary
available
Donor payment advice register Donor wise payment advice
details
Govt foreign transaction
register
GFT Status / details
Summary also
available
Donor debt service
Demand advice report
Demand advice details and
summary
Repayment initiation register
Details of Repayment action
Statement, Summary
available
Repayment falling due
Caution note
Bank Statement
Account statement with specific
no of transactions
Bank wise exception Report
Debt Servicing Details
Details of Debt servicing
agreement wise
Summary also
Detailed DSPS Statements
DSPS details for reconciliation
Pending Sanction Advice
Sanction advice reminding
Commitment Charges Report Case wise commitment charges
paid / payable
Special Account Advice
register
All SA advises details
Revolving Fund Register
Utilization of revolving funds
Summary
R F not generated List
For any period
Special Account Balance
Statement
Account statement of special
account
Challan Deposit Register
Deposit Challan details
Rupee Deposit Register
Adjustment details relating to
rupee deposit
Suspense Register
Outstanding principal dues from the
importer
Suspense outstanding
summary
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.04
Issue No. : 0
TYPICAL SCREEN TEMPLATES OF ICS
Rev. No. : 0
Page 2 of 1
Signature
Approved by
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Report/Register
Information
Remarks
Demand Summary
Demand Details
Demand / Adjustment Register Adjustments history
Importer Ledger
Net Rupee amount due from the
importer
Outstanding Challan
Challans remaining unadjusted
Utilization Reports
LA / LI / AP / SC
Loan Summary
History of loan account
Loan Ledger
History of loan account with
details of transactions
Debt Outstanding
Classified
Summary
Claims in Pipeline
Withdrawal application awaiting
disbursement
RBI Scroll
Scroll details from RBI, New
Delhi
Repayment of Principle
Budget
Details for Repayment budgeted
Donor wise net Flow
For period specified
Donor wise Loan Counts
Loan details donor-wise
Documents count summary
BOP Monitoring Report
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.05
Issue No. : 0
WEBSITE OF AAAD
Rev. No. : 0
Page 1 of 1
Signature
Approved by
Management Representative Date : 15/09/2004
WEBSITE OF AAAD
1.
The AAAD web site is hosted through NIC.
2.
The web site (www.finmin.nic.in/caaa) is aimed to ultimately to serve as an instant
on-line information source relating to “Aid Accounts.”
3.
It is intended to update the web site on a daily basis so that the viewer is away
only by a period of less than 24 hours.
4.
The web site is aimed to provide following initially
(1)
Brochure - A general overview of AAAD providing consolidated
compilation based on different parameters as well as on multi-state
loans.
(2)
Loan / Grant summary as needed
(3)
Claim Status
(4)
Disbursement Status
5.
The web site is aimed to provide ultimately :
(1)
The repayment status
(2)
Loan status
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.06
Issue No. : 0
QMS PROCESS OVERVIEW
Rev. No. : 0
Page 1 of 1
Signature
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QMS PROCESS OVERVIEW
QUALITY MANAGEMENT SYSTEM
Quality Manual
Procedure Manual
AAAD OPERATIONAL PROCESS
GENERAL
AID ACCOUNTING
DATA / REPORTS
INTERNAL AUDIT
MANAGEMENT REVIEW
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.07
Issue No. : 0
OPERATIONAL INTERRELATIONSHIP OVERVIEW
Rev. No. : 0
Page 1 of 1
Signature
Approved by
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OPERATIONAL INTERRELATIONSHIP OVERVIEW
1.
The Fund source (external) and the user (projects) are the ones between whom
the commercial transactions take place. But, since the GOI is either directly or
indirectly involved in the external aid/loans/grants it is responsible to maintain
the accounts and monitor the repayments.
2.
Thus, as a representative of GOI, the AAAD caters to the above function
being a part and answerable to the MOF.
3.
The actual money authorisation is formally released by PMU/ PF-I department
of MOF. The role of AAAD is limited to the accounting and monitoring
function.
4.
On the basis of the formal authorisation, RBI releases the funds to the
respective State Governments. The State treasuries in turn release the funds to
the project authorities.
5.
When the repayment falls due, with or without advice from the funding
agencies, AAAD is responsible to initiate the repayment process.
6.
This is, mainly carried out through the nationalised banks as per the agreement
terms through the RBI.
7.
The currency of transactions is as per the aid agreements.
8.
In addition, a special account is also maintained with RBI for managing some
specific aid, particularly that of World Bank and ADB.
9.
The above outlined operational transactions are illustrated below
AAAD
Doc. No. : Q M 10.3.07
QUALITY MANUAL
Issue No. : 0
OPERATIONAL INTERRELATIONSHIP OVERVIEW
Rev. No. : 0
Page 2 of 1
Signature
Approved by
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AAAD
Nationalised
Banks
Other
Ministries
Funding
Agency
Project
Authorities
RBI
AAAD
Spl a/c
Claims
Claim
Status
Claim
Applications
Disbursement
Details
Disbursement
Funds
Repayment
Advice
Intimation of
Repayment
Intimation of
Repayment
Fund Release
Repayment
10.
Occasionally, AAAD interacts with other ministries, Parliament, NIC and
other agencies for various other purposes.
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.08
Issue No. : 0
DOCUMENT SCENARIO
Rev. No. : 0
Page 1 of 1
Signature
Approved by
Management Representative Date : 15/09/2004
DOCUMENT SCENARIO
Documents under QMS
Quality Systems Documents
Type A
Quality Manual
•Quality Policy
•Quality Objectives
•QMS Description
•Tables/guidelines
•Documented procedures
•QMS forms/formats
Procedure Manual
•Operational Processes
•Accounting Procedures
•Templates
•Activity sequence
Operational Documents
Type B
•Other Manuals
•Agreements
•Donor guidelines
•Direct regulations
•Correspondences
External Origin Documents
Type C
•Standards
•Regulations
•Ministry notifications
•Text books
•Reference material
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.09
Issue No. : 0
RECORDS SCENARIO
Rev. No. : 0
Page 1 of 1
Signature
Approved by
Management Representative Date : 15/09/2004
RECORDS SCENARIO
AAAD Records
Formal Records
QMS Records
Other formal
records**
Informal Records**
Records in hard copy*
On-line records *
* These are records governed by Record Control Procedure (QM 9.2)
** These are records maintained by various sections in many files and kept with each section
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.10
Issue No. : 0
STAKEHOLDERS SCENARIO
Rev. No. : 0
Page 1 of 1
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Approved by
Management Representative Date : 15/09/2004
STAKEHOLDERS SCENARIO
AAAD
Donor
PMU/PF-I
RBI
MOF&CA
State Govt.
Project
Authorities
Parliament
NIC
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.11
Issue No. : 0
QUALITY PLAN OVERVIEW
Rev. No. : 0
Page 1 of 1
Signature
Approved by
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QUALITY PLAN OVERVIEW
As warranted by the
Standard
As required by the
Operation
Presented
In the form of
Presented
in
Remarks
Quality Policy
Quality Objectives
QMS Description
( ISO 9001 )
Statements and
descriptions
Documented QMS
Procedures
Formatted
Descriptions
Tables / Guidelines
(for QMS )
Table / descriptions
Forms / Formats
( For QMS )
Samples ( approved )
Annexures ( as needed )
Quality
Manual
Organisation Overview Description
Activities
Description of
operational
activities
Operational Process
Flows
Process Flow
diagrams
Annexures ( as needed ) Tables and
Summary
Procedure
Manual
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.12
Issue No. : 0
LIST OF EXTERNAL ORIGIN DOCUMENTS
Rev. No. : 0
Page 1 of 1
Signature
Approved by
Management Representative Date : 15/09/2004
LIST OF EXTERNAL ORIGIN DOCUMENTS
Sl No. Title Description
No. of
copies
Source
Media
Custodian Remarks
1.
ISO 9001: 2000 Series Standard 1 set
BIS
Hard
MR
2.
Handbook on Disbursement
1
WB / ADB Hard copy DCA / AO
3.
Loan Regulation Hand book
1
WB / ADB Hard copy Concerned
DCA
4.
Compaq Computer Manual
32 sets
Compaq
Hard
AO(EDP)
5.
HP Printer Manual
7
HP
Booklet
AO ( EDP ) Inkjet (5 ),
Laserjet (2)
6.
Server Manual
3
-
Hard form AO ( EDP )
7.
Scanner Manual
2
-
Hard form AO ( EDP )
AAAD
QUALITY MANUAL
Doc. No. : Q M 10.3.13
Issue No. : 0
LIST OF Q-CADRE POSITIONS
Rev. No. : 0
Page 1 of 1
Signature
Approved by
Management Representative Date : 15/09/2004
LIST OF Q-CADRE POSITIONS
S.No.
Designation
Functional Role
Remarks
1.
CAAA
Overall Responsibility for the Division
2.
JCA
Operational Control and Decisions
3.
DCA
Activity wise control and co-ordination
4.
Sr. AO
Holding sections / Additional charges
5.
A O
Holding sections / Additional charges
6.
J A O
Audit function and specified charges
7.
Auditors/
Audit function and specified charges
8.
Accounts Clerk Audit function and specified charges
All these positions
have functioning
roles which may
lead to noticeable
Stakeholder
satisfaction /
dissatisfaction.