Preliminary Information

INTERNAL AUDIT - OBJECTIVE, SCOPE AND CRITERIA

Audit Reference Number

Audit Process/Project Title

Location Reference
Definition of the Audit Objective

The audit objectives state what is to be accomplished during this individual audit For example: An objective health-check of current activities against Cubic’s planned procedures. For example: A check that planned processes comply with ISO 9001, and identify opportunities for improvement

Definition of the Audit Scope

Define the extent and boundaries of the internal audit, along with a description of the physical location, organizational unit(s), project, contract, activities, and processes, as well as the time period covered. Include any specific areas identified by Senior Management.

Definition of the Criteria to be Used

Identification of the Cubic policies, procedures, and instructions as well as applicable provisions of the ISO standard(s), requirements from the customer, or legal and regulatory requirements against which the evidence gathered in the audit will be compared to determine conformance.

ISO References

List all applicable ISO standards (incl. version) and clauses in scope of this audit (For example: ISO 9001:2015 Clause 7.5)

Management System Processes and/or Documents

List all applicable Management System Processes and/or Documents

Other Pertinent Information

Artifacts can be found on the Internal Audit SharePoint Site

Audit

8.2 Contract Management
What process documentation describes the process of contract management? (Note: Cubic QMS document PF-004 unless otherwise spelled out in MAN-002).

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Is MAN027 current with processes

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8.2.1 Customer Communication
How is information relating to products and services communicated with customers

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Provide examples of how inquiries are communicated, and how contract changes are made from those inquiries.

Is the scope of the work to be performed and period of performance clearly stated in the contract?

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How is the customer notified of expected delay? Are reasons noted along with a revised delivery date?

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8.2.2 Determining Requirements for Products and Services
In determining requirements, are applicable statutory and regulatory requirements defined?

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How are requirements defined and documented

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Is this an AS9100 applicable audit

How are recommendations to mitigate or alleviate risks handled and documented.

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8.2.3 Review of Requirements for Products and Services
How does the organization review the requirements related to the product prior to commitment to the customer? Provide an example.

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How are quality requirments captured and flowed down to other segments of the organization? E.g. Engineering, Manufacturing, Purchasing.

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How are differences in requirements resolved?

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Are records of contract review maintained

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Has the Program Manager agreed to the contract? How is this documented?

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Provide evidence that the Closeout Checklist (C065) has been completed for a sample of contracts.

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8.2.4 Changes to Requirements for Products and Services
How are changes to requirements recorded and communicated to relevant personnel?

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9.1 Monitoring, Measurements, Analysis and Evaluation
What metrics are reviewed by Management? Is the process in control?

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Please note that this checklist is a hypothetical example and provides basic information only. It is not intended to take the place of, among other things, workplace, health and safety advice; medical advice, diagnosis, or treatment; or other applicable laws. You should also seek your own professional advice to determine if the use of such checklist is permissible in your workplace or jurisdiction.