Cubic Defence Australia - Annual - November 2013 Checklist

Press the "Section" button below and scroll down to select the required audit

Miscellaneous

• Are WIN's from previous Internal Audit completed

  Yes

  No

  N/A

• Please provide details

• Are WIN's from previous External Audit completed

  Yes

  No

  N/A

• Please provide details

• Are there any outstanding WINs from Customer feedback

  Yes

  No

  N/A

• Please provide details

Miscellaneous

• Are WIN's from previous Internal Audit completed

  Yes

  No

  N/A

• Please provide details

• Are WIN's from previous External Audit completed

  Yes

  No

  N/A

• Please provide details

• Are there any outstanding WINs from Customer feedback

  Yes

  No

  N/A

• Please provide details

Miscellaneous

• Are WIN's from previous Internal Audit completed

  Yes

  No

  N/A

• Please provide details

• Are WIN's from previous External Audit completed

  Yes

  No

  N/A

• Please provide details

• Are there any outstanding WINs from Customer feedback

  Yes

  No

  N/A

• Please provide details

Miscellaneous

• Are WIN's from previous Internal Audit completed

  Yes

  No

  N/A

• Please provide details

• Are WIN's from previous External Audit completed

  Yes

  No

  N/A

• Please provide details

• Are there any outstanding WINs from Customer feedback

  Yes

  No

  N/A

• Please provide details

July Audit

Miscellaneous

• Are WIN's from previous Internal Audit completed

  Yes

  No

  N/A

• Please provide details

• Are WIN's from previous External Audit completed

  Yes

  No

  N/A

• Please provide details

• Are there any outstanding WINs from Customer feedback

  Yes

  No

  N/A

• Please provide details

5.5 Responsibility, Authority and Communication

• Does the HR Manager hold Duty Statements for all personnel defined in the CDAus Organisation Chart

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Is the Duty Statement register up to date

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

6.2.1 Human Resources - General

• Does CTS maintain Payroll, Grievance Process, Work Cover Process, Vendor and Voucher approval, Account Reconcilliation and Receipting?

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• How is a person assessed to ensure they are competent to perform their duties.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Are records being maintained for all personnel that indicate qualifications, skill level and training plans.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Are the following QMS documents current and in use:

  No Response Required

• Employee Qualifications and Training (F_HR_024)

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Duty Statements (F_HR_026)

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Training Request (F_HR_030)

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• CTC LIS Sub-Contactor Induction (PR_OPS_002)

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

6.4 Work Environment

• Are site specific briefings conducted to ensure personnel are appropriately prepared, inducted and understand the safety requirements associated with their workplace.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

August Audit

• Add signature

  Sign

September Audit

Miscellaneous

• Are WIN's from previous Internal Audit completed

  Yes

  No

  N/A

• Please provide details

• Are WIN's from previous External Audit completed

  Yes

  No

  N/A

• Please provide details

• Are there any outstanding WINs from Customer feedback

  Yes

  No

  N/A

• Please provide details

6.2.2. Human Resources - Competence, Training and Awareness

• Are qualifications for each position documented in the site specific Job Descriptions

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Are Managers preparing training plans for their staff annually.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Does CDAus maintain training records for each employee.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Are Duty statements reviewed annually?

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Is the F_HR_030 suitable to requirements and being utilised.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Do all employees have biographies.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Is there evidence available to show that all employees have been through the induction/orientation process?

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

7.4.2. Purchasing - Purchasing Information

• Is the General Manager the only person that can approve Purchase Orders above $10,000

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Have all suppliers undergone evaluation upon completion of services provided to CDAus.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Are CDAus personnel cognisant of CDA Work Instruction W240 when purchasing hardware items?

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Practical Check - Do a walk through of the purchasing procedure with a manager to ensure that actions match that of the written procedure.

  No Response Required

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Are stock-takes of Government purchased consumables carried out with the results of the stocktake forwarded to the customer

  No Response Required

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Are Government purchased consumables stored separate from CDAus consumables?

  No Response Required

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

8.2.2. Measurement, Analysis and Improvement - Internal Audit

• Have the software licenses been checked for currency within the last twelve months

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Add signature

  Sign

October Audit

Miscellaneous

• Are WIN's from previous Internal Audit completed

  Yes

  No

  N/A

• Please provide details

• Are WIN's from previous External Audit completed

  Yes

  No

  N/A

• Please provide details

• Are there any outstanding WINs from Customer feedback

  Yes

  No

  N/A

• Please provide details

5.5.3. Responsibility, Authority and Communication - Internal Communications

• Is the effectiveness of the QMS communicated to CDAus employees?

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Are all personnel commencing with CDAus educated on the existence of the QMS throughout the induction process.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

7.4.3. Purchasing - Verification of Purchased Product

• Do CDAus personnel inspect purchased products against the purchase order to verify count, kind and condition.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Do competent staff provide written advice of authorisation checks being carried out.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

8.2.3. Monitoring and Measurement - Monitoring and Measurement of Processes

• Does CDAus monitor and measure key processes to ensure continuing ability to satisfy the intended purpose of the procedure and meet customer requirements.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

November Audit

Miscellaneous

• Are WIN's from previous Internal Audit completed

  Yes

  No

  N/A

• Please provide details

• Are WIN's from previous External Audit completed

  Yes

  No

  N/A

• Please provide details

• Are there any outstanding WINs from Customer feedback

  Yes

  No

• Please provide details

4.2.3. Control of Documents

• Is Quality assurance tested throughout document production

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Does the Document Management Procedure (PR_QA_002) accurately describe the current practices within CDAus.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• TASK. Sample 5 x documents randomly from the Document Control Index to ensure that the Document Control Index matches the current status of those documents within the QMS. Increase the size of the sample if are errors found.
  
  Are the sample documents and the Document Control Index up to date?

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

5.6.1. Management Review General

• Does the Quality Management Review Committee meet at least quarterly reviewing the performance of the QMS.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

5.6.2. Management Review - Review Input

• Does the QMSRC discuss and report on the following items:

• Action items from previous meetings

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Results of audits

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Status of Work improvement notices

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Customer feedback

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Process performance

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Changes that could affect the QMS

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Recommendations for improvement

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

5.6.3. Management Review - Review Output

• Are records being maintained of the Quality Management Review Committee meetings
  

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

6.3.1 - 6.3.4. Geographic Locations

• Do the locations identified at 6.3 accurately reflect the current CDAus Organisation/facilities.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

8.2.4. Monitoring and Measurement of Product

• Does CDAus measure the product or service provided to the customer against the customers specification/contract.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Is that measurement of conformity with the acceptance criteria, contract or standard documented and maintained as historical data (ie. filed)

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Add signature

  Sign

Quality Manager

Miscellaneous

• Are WIN's from previous Internal Audit completed

  Yes

  No

  N/A

• Please provide details

• Are WIN's from previous External Audit completed

  Yes

  No

  N/A

• Please provide details

• Are there any outstanding WINs from Customer feedback

  Yes

  No

  N/A

• Please provide details

4.2.2. Documentation Requirements - Quality Manual

• Do CDAus personnel have ready access to the Quality Manual

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Is the CDAus Scope accurately described at 4.2.2 of the Quality Manual.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

5.4.2. Management Responsibility - Planning - Quality Management System

• Are CDAus Goals and Objectives reviewed and Documented regularly.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Do you wish to enter comments

  Yes

  No

• Are acheivements against Quality Indicators documented in CDAus Reporting processes.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Do you wish to enter comments

  Yes

  No

• Please enter details

• Have the different Cubic Defence Australia sites developed measurable internal objectives to support the strategic Quality Objectives.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible off the completion of the WIN

• Do you wish to enter comments

  Yes

  No

• Please enter details

• Are the Quality Policy, Quality Objectives, Internal/External audit results and Management Review Meeting minutes reviewed regularly to facilitate Continual Improvement.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible off the completion of the WIN

• Do you wish to enter comments

  Yes

  No

• Please enter details

• Are completed WINs reviewed for ongoing effectiveness

  Yes

  No

  N/A

• Enter WIN # and Manager responsible off the completion of the WIN

• Do you wish to enter comments

  Yes

  No

• Please enter details

5.5 Responsibility, Authority and Communication

• Are the Organisation Charts described at 5.5 of the Quality Manual an accurate representation of the company hierarchy, authority and structure.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

5.5.2. Quality Systems Manager (Management Representative)

• Does the Quality Manager have an up to date Duty Statement and does it accurately reflect the current duties and responsibilities

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Does the Quality Manager report on the performance of the QMS to CDAus Management

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Does the Quality Manager promote awareness of the QMS throughout the CDAus Organsiation.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

6.3. Infrastructure

• Does the current list of facilities in the Quality Manual accurately describe the current Cubic Defence Australia infrastructure assets.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Is the Asset and Equipment Register (F_AF_024) maintained and up to date.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

8.1. Measurement, Analysis and Improvement - General

• Does CDAus maintain a documented Continuous Improvement procedure to define, plan and implement the measurement and monitoring activities needed to assure conformity and achieve improvement.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible off the completion of the WIN

• Do you wish to enter comments

  Yes

  No

• Please enter details

8.2.1. Measurement, Analysis and Improvement - Monitoring and Measurement - Customer Satisfaction

• Does CDAus monitor information on Customer perception to assess whether customer requirements are being or have been achieved.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible off the completion of the WIN

• Do you wish to enter comments

  Yes

  No

• Please enter details

8.2.2. Measurement, Analysis and Improvement - Internal Audit

• Does CDAus have sufficient appropriately trained personnel to carry out Internal Audits

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Is the progress of the Internal Audit Schedule reviewed at quarterly QMSRC meetings

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Does the Quality Manager provide the GM with a monthly report on Internal Audit activity as per the Internal Audit procedure.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Are formal minutes being maintained for QMSRC meetings.

  Yes

  No

  N/A

• Enter WIN # and Manager responsible of the completion of the WIN

• Enter short description of suggested rectification of issue

• Add signature

  Sign