Contracts Internal Audit

• Conducted on

  Date

• Prepared by

• Location
  Address

• What Site is this Audit Applicable to??

  Select San Diego Australia Orlando New Zealand RiOT Ashburn RiOT Vocality RiOT Deltenna GATR

  • San Diego
  • Australia
  • Orlando
  • New Zealand
  • RiOT Ashburn
  • RiOT Vocality
  • RiOT Deltenna
  • GATR

• List the Audit Attendees

INTERNAL AUDIT - OBJECTIVE, SCOPE AND CRITERIA

• Audit Reference Number

• Audit Process/Project Title

• Location Reference
  Address

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

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).

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

• Is MAN027 current with processes

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

8.2.1 Customer Communication

• How is information relating to products and services communicated with customers

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

• 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?

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

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

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

8.2.2 Determining Requirements for Products and Services

• In determining requirements, are applicable statutory and regulatory requirements defined?

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

• How are requirements defined and documented

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

• Is this an AS9100 applicable audit

  Yes

  No

  N/A

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

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

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.

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

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

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

• How are differences in requirements resolved?

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

• Are records of contract review maintained

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

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

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

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

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

8.2.4 Changes to Requirements for Products and Services

• How are changes to requirements recorded and communicated to relevant personnel?

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#

9.1 Monitoring, Measurements, Analysis and Evaluation

• What metrics are reviewed by Management? Is the process in control?

  Select Compliant Noteworthy Effort Opportunity For Improvement Observation Minor Non-Conformance Major Non-Conformance

  • Compliant
  • Noteworthy Effort
  • Opportunity For Improvement
  • Observation
  • Minor Non-Conformance
  • Major Non-Conformance

• Provide further information

• Is this to be sent to QIM

  Yes

  No

  N/A

• Enter QIM#

• Is this an OCFT

  Yes

  No

  N/A

• Enter the OCFT#