Project Procedure 1.0 PURPOSE 2.0 SCOPE 3.0 REFERENCES 4.0 DEFINITIONS. No.: P /21/2012 PAGE 1 OF 8 INTERNAL QUALITY AUDITS

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1 Project Procedure INTERNAL QUALITY AUDITS 09/21/2012 PAGE 1 OF PURPOSE The purpose of this procedure is to establish the requirements for a comprehensive system of planned and documented internal quality audits to verify the effectiveness of the Quality Program. 2.0 SCOPE The scope of this procedure is applicable when conducting quality audits on Pike projects, Pike functional areas (i.e., Procurement), and Pike Vendors and Suppliers. 3.0 REFERENCES 3.1 Pike Quality Assurance Manual 3.2 Project Procedure P 1 6, Nonconformance and Stop Work Reporting 3.3 Project Procedure P 1 19, Reading for Understanding 3.4 ISO 9001: 2008, Quality Management Systems Requirements 4.0 DEFINITIONS 4.1 Audit: A planned, independent, and documented assessment to determine whether agreed upon requirements are being met. 4.2 Audit Team: A group comprised of a Lead Auditor, Auditors, and/or Technical Support/Specialist. 4.3 Auditor: An assigned individual who performs any part of an audit; Lead Auditors and auditors in training are included. Technical specialists and management representatives can also be considered auditors. 4.4 Finding: A documented statement of fact concerning a noncompliance or deviation from established requirements. 4.5 Lead Auditor: An individual who is formally qualified to organize and direct audits, report audit findings, and evaluate corrective action.

2 PAGE 2 OF Observation: A statement of fact regarding the potential for a noncompliance which could lead to a more serious problem if not identified and/or corrected, but which does not constitute a lack of compliance with established requirements. 4.7 Opportunity For Improvement (OFI): A recommendation for improvement. An OFI is not based upon requirements, but is focused upon process improvement opportunities. 4.8 Proficiency: A documented statement concerning a state of advanced knowledge and/or technical skill in a system, function, or technique. 4.9 Technical Specialist: A person assigned to the Audit Team due to the specialized or technical aspects of the areas to be audited. Technical Specialists are selected based on their knowledge, special abilities, specialized technical training, and/or prior experience in the technical aspect of the area to be audited. 5.0 RESPONSIBILITIES 5.1 PROJECT MANAGEMENT DIRECTOR The Project Management Director is responsible for ensuring that an audit program is established and that sufficient personnel are qualified and available to implement the program. 5.2 LEAD AUDITOR The Lead Auditor is responsible for selecting Audit Team members, managing the audit, and making final decisions regarding the conduct of the audit and any Finding Reports. Specific responsibilities include preparing the Audit Plan, representing the Audit Team with the Auditee s management, and submitting the audit report. 6.0 PROCEDURE 6.1 AUDIT PLANNING The Lead Auditor shall complete an Audit Plan, which identifies the following: Audit Number Audited Organization and Location Audit Purpose and Scope Audit Team Audit Basis (Reference Documents) Audit Schedule Follow up Items

3 PAGE 3 OF AUDIT PREPARATION The Lead Auditor shall ensure that preparations for the audit are complete. The Audit Team may include auditors, auditors in training, and technical specialists. The Lead Auditor will assure that if other Audit Team members are selected, they will be prepared prior to performance of the audit. Relevant information may include the following: Audit Plan Applicable policies, procedures, standards, and instructions Code regulations Prior audit reports for information and review The Lead Auditor shall ensure that the Audit Team is familiar with the audited organization and key individuals. The Lead Auditor is responsible for ensuring that audit checklists sufficiently cover the scope of the audit. New or existing checklists may be used. Existing checklists may be modified to meet the needs of the audit scope. Auditors and technical specialists may support the development of audit checklists. 6.3 AUDIT NOTIFICATION The Lead Auditor shall provide advanced written notification to the organization to be audited, notifying them of the audit schedule. 6.4 AUDIT PERFORMANCE Pre Audit Meeting The Lead Auditor shall conduct a brief pre audit meeting with management or supervisory personnel of the organization to be audited. The Lead Auditor should accomplish the following goals during the pre audit meeting: Confirm the audit scope and purpose Introduce the Audit Team Meet escorts and contacts Discuss the audit sequence Establish a tentative time for the post audit meeting Establish channels of communication

4 PAGE 4 OF Audit Elements Audits shall be performed by document reviews, personnel interviews, and direct observations of activities. The audit checklist (see form QF 1 22 B in Section 7.0), or equivalent form, will be used to document these activities during the audit. The Lead Auditor and involved Audit Team Members shall discuss potential findings as identified with individuals being audited so that any finding(s) reported are accurate and clearly understood Post Audit Meeting The Lead Auditor shall (at the conclusion of the audit) conduct a post audit meeting with cognizant management or supervisory personnel of the organization or activity audited, to present the audit findings, review observations, and discuss comments. 6.5 AUDIT REPORTING Upon completion of the audit, the Lead Auditor shall prepare an audit report within 30 calendar days. The Lead Auditor shall submit the report under cover of a letter or memorandum to the responsible manager of the audited organization. The letter or memorandum must include the following: Sender and recipient information Title of memo or letter Date of the memo Date(s) of the audit Brief summary of audit activities and results Due dates (if any) Distribution information Report Content The Audit Report shall provide the following information, at a minimum: Audit number Audited organization Location Purpose and scope of audit Audit basis (main reference documents)

5 PAGE 5 OF 8 Audit Team (indicating Lead Auditor) Audit date(s) Persons contacted Activities observed Audit results, including findings, opportunities for improvement, and proficiencies Opportunities for Improvements (OFIs) and Proficiencies OFI items (as defined above in Section 4.0, Definitions) shall be included in the text of the Audit Report under a heading that clearly identifies these items individually Audit Finding Reports Audit Reports shall document any findings identified as a result of the audit on a Quality Audit Findings Report (QAFR) (see form QF 1 22 D in Section 8.0) or equivalent form. Findings shall identify the following: Audited organization (Project name and number for internal audits) Unique identifier based upon audit identifier and individual extension Audit dates Requirements and references Description of as found conditions Auditor s name Response due date 6.6 AUDIT FOLLOW UP The Lead Auditor shall track Audit Findings until the corrective actions are complete. Responsible Managers must develop and approve a written corrective action response to each finding issued. Approval may be indicated by signature or e mail cover page for electronic submittals Audit Finding Response An Audit Finding requires the Manager of the audited organization to submit a written response within 30 days of receipt. The response must include the following: The basic cause(s) that lead to the condition reported in the finding

6 PAGE 6 OF 8 The steps that have been or will be taken to correct the condition reported in the finding The steps that have been or will be taken to preclude recurrence (if appropriate) The dates when indicated action was or will be complete Responsible Manager approval of response Response Extensions The audited organization shall monitor the status of the audit response. If more than 30 days is required for completion as originally indicated on a QAFR response, a request for extension and revised due date shall be submitted to the Lead Auditor. The Lead Auditor shall evaluate the request and make a formal response to the requesting organization Overdue Responses When responses are overdue, the Lead Auditor will notify the responsible organization by telephone or e mail that responses are overdue. A letter or memorandum will be issued to the organization if an immediate response in not received. A memorandum or letter indicating a new response due date shall be documented Evaluation of Responses The Lead Auditor, upon receipt of responses to audit findings, will coordinate with the Audit Team members for the evaluation of responses. Unacceptable audit responses will be documented and distributed to the responsible organization with the reason for rejection. A revised response will be solicited to include a new response due date. The final audit response shall be acceptable to the Lead Auditor Audit Finding Corrective Actions Corrective and preventive actions shall be completed as defined in the audit response. Upon completion, the audited organization shall notify the Lead Auditor and submit any objective evidence of completed actions Corrective Action Extensions The audited organization shall monitor the status of audit corrective actions. If more time is required for completion than originally indicated on a QAFR response, a request for extension and revised due date shall be submitted to the Lead Auditor. The Lead Auditor shall evaluate the request and make a formal response to the requesting organization.

7 PAGE 7 OF Overdue Corrective Action When corrective actions are overdue, the Lead Auditor will notify the responsible organization by telephone or e mail that responses are overdue. A letter or memorandum will be issued to the organization if an immediate response is not received. A memorandum or letter documenting a new due date will be issued Corrective Action Tracking, Verification, and Closure The Lead Auditor will coordinate with the Audit Team members for the verification of corrective actions. The Lead Auditor shall ensure that corrective action implementation is verified and shall document the results of verification. Verification may be performed by evaluation of objective evidence, inspection, or other methods. Corrective actions that are determined to be unacceptable will be documented and the reason will be provided to the responsible organization. Findings will be closed when the Lead Auditor determines that corrective actions have been verified as complete. 6.7 AUDIT CLOSE OUT Upon close out of all Audit Findings, the Lead Auditor will notify the audited organization by memorandum or letter that all actions are complete, that corrective actions have been approved, and that the audit is closed. 6.8 RECORDS Records generated as a result of this procedure shall be retained in a project or central filing system. 7.0 ATTACHMENTS 7.1 Quality Audit Flow Chart 7.2 Checklist for ISO 9001 Guidelines 8.0 FORMS 8.1 Quality Form QF 1 22 A, Audit Plan 8.2 Quality Form QF 1 22 B, Audit Checklist 8.3 Quality Form QF 1 22 C, Audit Report 8.4 Quality Form QF 1 22 D, Quality Audit Findings Report

8 PAGE 8 OF REVISIONS AND APPROVALS Revision Level Revision Date Revision Description Department Head (Approver) 0 01/15/2010 Original Issue Brian R. Hay 1 07/27/2011 Updated logo and company name N/A 2 09/21/2012 General updating and editing Brian R. Hay

9 ATTACHMENT 7.1 QUALITY AUDIT FLOW CHART PAGE 1 OF 1

10 PAGE 1 OF 17 ISO 9001 Section 4.1 General Requirements A Quality Management System (QMS) has been established, documented, implemented, maintained, and continually improved? Does the QMS include the following: Identification of the processes needed for the QMS? Determination of the sequence and interaction of these processes? Determined criteria and methods required ensuring the effective operation and control of these processes? The availability of information necessary to support the operation and monitoring of these processes? Methods to measure monitor and analyze these processes? Implemented action necessary to achieve planned results and continual improvement? Are outsourced processes that may affect product or service conformity identified and documented? ISO 9001 Section General Documentation Requirements Does the QMS documentation include documented procedures and records required ensuring effective operation and control of its processes? Is the extent of the QMS documentation appropriate to the following: Size and type of the organization? Complexity and interaction of the processes? Competence of personnel? Does the quality system documentation include the following: A documented quality policy and quality objectives? A quality manual? Documented procedures required by ISO 9001:2008? Documents required by the organization? Quality records required by ISO 9001:2008?

11 PAGE 2 OF 17 ISO 9001 Section Quality Manual Has a quality manual been established that includes the following: Scope of quality system, including details and justifications for exclusions? Procedures or references to procedures? Sequence and interaction of QMS processes or reference to them? ISO 9001 Section Control of Documents Are documents required for the QMS controlled? Is there a documented procedure for the following: The approval of documents for adequacy prior to issue? The review, updating (as necessary), and reapproval of documents? The identification of the current revision status of documents? Ensuring that relevant versions of applicable documents are available at points of use? For ensuring that documents remain legible, readily identifiable, and retrievable? For ensuring that documents of external origin are identified and their distribution is controlled? Preventing the unintended use of obsolete documents, and to apply suitable identification to them if they are retained for any purpose? ISO 9001 Section Control of Quality Records Are quality records for resources and system planning available? Do these records provide evidence of conformance to requirements and of effective operation of the QMS?

12 PAGE 3 OF 17 ISO 9001 Section 5.1 Management Commitment How has upper management demonstrated commitment to the development and improvement of the QMS? Communicating to the organization the importance of meeting Client, as well as regulatory and legal requirements? Establishing the quality policy? Ensuring that quality objectives are established? Conducting management reviews? Ensuring the availability of resources? ISO 9001 Section 5.2 Client Focus Does upper management ensure that Client requirements are determined and fulfilled with the aim of achieving Client satisfaction? ISO 9001 Section 5.3 Quality Policy Has upper management ensured that the quality policy: Is appropriate to the purpose of the organization? Includes a commitment to meeting requirements and to continual improvement? Provides a framework for establishing and reviewing quality objectives? Is communicated and understood within the organization? Is reviewed for continuing suitability? ISO 9001 Section Planning Quality Objectives What are the quality objectives that have been established at relevant functions and levels within the organization? Are the quality objectives measurable and consistent with the quality policy? Do quality objectives include those needed to meet requirements for product/service?

13 PAGE 4 OF 17 ISO 9001 Section Quality Management System Planning How has upper management ensured the following: The processes of the QMS are carried out to meet the requirements? Is the output of quality planning documented and how? Are changes conducted in a controlled manner and is the integrity of the QMS maintained during changes? How and what method is used when planning changes that may affect the QMS? ISO 9001 Section Responsibility and Authority How are the functions and their interrelations within the organization, including responsibilities and authorities, defined and communicated? How is responsibility and authority defined? ISO 9001 Section Internal Communication What communication channels have been established within the organization relating to QMS effectiveness? ISO 9001 Section 5.6 General Management Review Does upper management review the QMS, at planned intervals, to ensure its continuing suitability, adequacy, and effectiveness? What is the interval? Does the review evaluate the need for changes to the QMS, including quality policy and quality objectives? How are opportunities for improvement and changes needed within the quality system evaluated and documented?

14 PAGE 5 OF 17 ISO 9001 Section Review Input Do inputs to management review include current performance and improvement opportunities related to the following: Results of audits? Client feedback? Process performance and product conformance? Status of preventive and corrective actions? Follow up actions from earlier management reviews? Planned changes that could affect the QMS? Recommendations for improvement? ISO 9001 Section Review Output Do outputs to management review include current performance and improvement opportunities related to the following: Improvement of the effectiveness of the QMS and its processes? Improvement of product or service related to Client requirements? Resource needs? ISO 9001 Section 6.1 Provision of Resources How have resources needed to implement and improve QMS processes been provided? Are there adequate resources available to implement and maintain the QMS and to continually improve its effectiveness? Are resources available to ensure that Client satisfaction is enhanced? Are there defined responsibilities and authorities of all personnel who can affect quality? ISO 9001 Section 6.2 Competence, Awareness, and Training Are personnel assigned responsibilities in the QMS qualified and deemed competent based on skills, experience, and education and training requirements?

15 PAGE 6 OF 17 How has the organization the following: Determined the necessary competency for personnel? Provided training to satisfy competency needs? Evaluated the effectiveness of actions taken? Ensured that its personnel are aware of their part in the QMS? Maintained appropriate records of education, training, skills, and experience? ISO 9001 Section 6.3 Infrastructure Is the infrastructure of the organization such that the following is accurate: Buildings, workspace, and associated utilities are determined, provided, and maintained? Process equipment, hardware, and software are determined, provided, and maintained? Supporting services such as transportation or communication are determined, provided, and maintained? ISO 9001 Section 6.4 Work Environment Does the organization identify and manage the human and physical factors of the work environment needed to achieve conformity of product/service? ISO 9001 Section 7.1 Planning of Product (Service) Realization Is planning of the realization processes consistent with the other requirements of the organization s QMS? Are realization processes documented in a form suitable for the organization s method of service deliver and/or operation? In planning product realization, has the organization determined the following: That quality objectives and requirements for the product/service? The need to establish processes and documents, and provide resources specific to the product/service?

16 PAGE 7 OF 17 That verification, validation, monitoring, inspection and test activities, and the criteria for product/service acceptability? The records that are necessary to provide evidence of conformity of the processes and resulting product/service fulfill Client requirements? ISO 9001 Section Determination of Requirements Related to the Product/Service Has the organization determined Client requirements including the following: Product/service delivery requirements specified by the Client? Product/service delivery requirements not specified by the Client, but necessary for intended or specified use? Obligations related to the product, including regulatory and legal requirements? Additional requirements determined by the organization? ISO 9001 Section Review of Requirements Related to the Product (Service) Does the organization review the identified requirements together with additional requirements determined by the organization prior to acceptance? Is this review conducted prior to the commitment to supply a product to the Client? Does the review ensure that the following is accurate: Product/service delivery requirements are defined? Where the Client provides no documented statement of requirement, the Client requirements are confirmed before acceptance? Contract or order requirements differing from those previously expressed are resolved? The organization has the ability to meet defined requirements? Are the results of the review, actions, and subsequent follow up actions recorded (see Quality Forms QF 1 22 C and QF 1 22 D)? Where product/service requirements are changed, does the organization ensure that relevant documentation is amended? How are verbal orders handled, addressed, and documented? Does the organization ensure that relevant personnel are made aware of the changed requirement?

17 PAGE 8 OF 17 How are Client requirements reviewed before services are provided? How are the results of the review of agreements and any follow up actions recorded? ISO 9001 Section Client Communication How does the organization identify and implement arrangements for communication with Clients relating to the following: Product information? Enquiries, contracts, or order handling, including amendments? Client feedback, including Client complaints? ISO 9001 Sections and Design and Development Planning and Design and Development Inputs What is the Design and Development planning methodology described in the Design procedure? How are the Design and Development stages planned and organized? Who is responsible to review, verify, and validate each Design and Development stage? How are the interfaces between different groups involved in Design identified and managed? Are Design and Development inputs relating to product requirements defined and documented? Do these inputs include the following: Functional and performance requirements? Applicable statutory and regulatory requirements? Where applicable, information derived from previous similar designs? Other requirements essential for Design and Development? ISO 9001 Section Design and Development Outputs Are the outputs of the Design and/or Development process documented in a manner that enables verification against the Design and/or Development inputs?

18 PAGE 9 OF 17 Does Design and/or Development output perform the following: Meet the Design and/or Development input requirements? Provide appropriate information for production and service operations? Contain or reference product acceptance criteria? Define the characteristics of the product that are essential to its safe and proper use? Are Design and/or Development output documents approved prior to release? Documentation of Design outputs is maintained and easily accessible? A review of Design outputs, change notices, Client complaints, and internal audit reports indicate consistent adherence to organizational standards for Design output plans, etc.? ISO 9001 Section Design and Development Review Are systematic reviews of Design and/or Development conducted at suitable stages? Do these reviews perform the following: Evaluate the ability to fulfill requirements? Identify problems and propose follow up actions? Do participants in such reviews include representatives of functions concerned with the Design and/or Development stage(s) being reviewed? Are the results of the reviews and subsequent follow up actions recorded? At what stages of the Design are plans or other Design documented? Where are records of Design Reviews maintained? ISO 9001 Section Design and/or Development Verification Is Design and/or Development verification performed to ensure the output meets the Design and/or Development inputs? Are the results of the verification and subsequent follow up actions recorded?

19 PAGE 10 OF 17 ISO 9001 Section Design and/or Development Validation Is Design and/or Development validation performed to confirm that the resulting product is capable of meeting the requirements for the intended use? Wherever applicable, is validation completed prior to the delivery or implementation of the product? If full validation is impractical prior to delivery or implementation, is partial validation performed to the extent applicable? Are the results of the validation and subsequent follow up actions recorded? ISO 9001 Section Control of Design and Development Changes Are Design and/or Development changes identified, documented, and controlled? Does this process include evaluation of the effect of the changes on constituent parts and delivered products? Are changes verified and validated, as appropriate, and approved before implementation? Are the results of the review of changes and subsequent follow up actions documented? ISO 9001 Section Purchasing Process Does the organization control its purchasing processes to ensure purchased product conforms to requirements? Is the type and extent of control dependent upon the effect of subsequent realization processes and their output? Does the organization evaluate and select Suppliers based on their ability to supply product in accordance with the organization s requirements? Are criteria for selection and periodic evaluation defined? Are the results of evaluations and subsequent follow up actions recorded?

20 PAGE 11 OF 17 ISO 9001 Section Purchasing Information Do purchasing documents contain information describing the product to be purchased? Do these documents include, where appropriate, the following: Requirements for approval or qualification of product, procedures, processes, equipment, and personnel? QMS requirements? Is the adequacy of specified requirements contained in the purchasing documents and reviewed prior to their release? When purchasing good/services, does the Purchaser provide Subcontractors/Suppliers with precise details of the order to ensure item/services are purchased correctly in the first place? Note: Sample purchase requisitions to determine the above. ISO 9001 Section Verification of Purchased Product Have activities necessary for the verification of purchased product been identified and implemented? ISO 9001 Section Control of Production and Service Provision Does the organization control service operations through the following: The availability of information that specifies the characteristics of the product? Where necessary, the availability of work instructions? The use and maintenance of suitable equipment for production and service operations? The availability and use of measuring and monitoring devices? The implementation of monitoring activities? The implementation of defined processes for release, delivery, and applicable post delivery activities?

21 PAGE 12 OF 17 ISO 9001 Section Validation of Processes for Production and Service Provision Does the organization validate any production and service processes where the resulting output cannot be verified by subsequent measurement or monitoring? Are any processes included where deficiencies may become apparent only after the product is in use or the service has been delivered? Does validation demonstrate the ability of the processes to achieve planned results? Do defined arrangements for validation include, as applicable, the following: Qualification of processes? Qualification of equipment and personnel? Use of defined methodologies and procedures? Requirements for records? Re validation? ISO 9001 Section Identification and Traceability Is product identified by suitable means throughout production and service operations where appropriate? Is the status of the product with respect to measurement and monitoring requirements clearly identified? Where traceability is a requirement, is the unique identification of product controlled and recorded? ISO 9001 Section Client Property How does the organization exercise care with Client property while it is under the organization s control or being used by the organization? How is Client property provided for use or incorporation in product: Identified? Verified? Protected? Maintained?

22 PAGE 13 OF 17 If any Client property is lost, damaged, or otherwise found to be unsuitable for use, is it recorded and reported to the Client? ISO 9001 Section Preservation of Product Is product preserved to ensure that conformity with Client requirements is maintained during internal processing and delivery to the intended destination? Does this include identification, handling, packaging, storage, and protection? Do these controls also apply to the constituent parts of a product? ISO 9001 Section 7.6 Control of Measuring and Monitoring Devices How does the organization identify the measurements to be made and the measuring and monitoring devices required to assure conformity of product to specified requirements? Are measuring and monitoring devices used and controlled to ensure that measurement capability is consistent with the measurement requirements? Where applicable, are measuring and monitoring devices, as follows: Calibrated and adjusted periodically or prior to use, against devices traceable to International or national standards? Where no such standards exist, is the basis used for calibration recorded? Safeguarded from adjustments that would invalidate the calibration? Protected from damage and deterioration during handling, maintenance, and storage? Have the results of their calibration been recorded? Have the validity of previous results reassessed if they are subsequently found out of calibration and corrective action taken? Note: Investigate methods in which measurement and monitoring devices are controlled to ensure fitness for use (i.e., identification of calibration status, traceability of device to calibration record, method in which frequency of calibration is determined).

23 PAGE 14 OF 17 Is software used for measuring and monitoring of specified requirements validated prior to use? ISO 9001 Section Client Satisfaction Are measurement and monitoring activities needed to assure conformity and achieve improvement been identified and included in the product quality plan? Does this process include the determination of the need for, and use of, applicable methodologies including statistical techniques? ISO 9001 Section Internal Audit Are periodic internal quality audits conducted to determine whether the QMS has been effectively implemented and maintained? Are internal quality audits planned, including consideration of the status and importance of the activities and areas to be audited, as well as the results of previous audits? Are the audit scope, frequency, and methodologies defined? Are audits conducted by personnel other than those who performed the activity being audited? Are there documented procedures that include the responsibilities and requirements for conducting audits, ensuring their independence, recording results, and reporting to management? Have personnel conducting internal audits been trained? Are records of internal auditor training maintained and available? Does management take timely corrective action on deficiencies found during the audit? Do follow up actions include the verification of the implementation of corrective action and the reporting of verification results? ISO 9001 Section Measuring and Monitoring of Processes Are product realization processes measured and monitored by suitable methods to ensure Client requirements are met?

24 PAGE 15 OF 17 Do these methods confirm the continuing ability of each process to satisfy its intended purpose? ISO 9001 Section Measuring and Monitoring of Product (Service) Are product characteristics measured and monitored to verify that requirements for the product are met? Is this carried out at appropriate stages of the product realization process? Is evidence of conformity with the acceptance criteria documented? ISO 9001 Section 8.3 Control of Nonconformity Is the product, if it does not conform to requirements, clearly identified and controlled to prevent unintended use or delivery? Are these activities defined in a documented procedure? Is nonconforming product corrected and subjected to re verification after correction to demonstrate conformity? When nonconforming product is detected after delivery or use has started, is appropriate action taken regarding the consequences of the nonconformity? ISO 9001 Section 8.4 Analysis of Data How is appropriate data collected and analyzed to determine the suitability and effectiveness of the QMS and to identify improvements that can be made? Does this include data generated by measuring and monitoring activities and other relevant sources? How is this data analyzed to provide information on the following: Client satisfaction and/or dissatisfaction? Conformance to Client requirements? Characteristics of processes, product, and their trends? Suppliers?

25 PAGE 16 OF 17 ISO 9001 Section Continual Improvement Are processes necessary for the continual Improvement of the QMS planned and managed? How is continual improvement of the QMS facilitated through the use of the following: Quality policy? Quality objectives? Audit results? Analysis of data? Corrective and preventive action? Management review? ISO 9001 Section Corrective Action How is corrective action taken to eliminate the cause of nonconformities to prevent recurrence? How is corrective action appropriate to the impact of the problems encountered? Is there a documented procedure for corrective action that defines requirements for the following: Identifying nonconformities (including Client complaints)? Determining the causes of nonconformity? Evaluating the need for actions to ensure that nonconformities do not recur? Determining and implementing the corrective action needed? Recording results of action taken? Reviewing corrective action taken? ISO 9001 Section Preventive Action Does the organization identify preventive action to eliminate the causes of potential nonconformities to prevent occurrence? Are preventive actions taken appropriate to the impact of the potential problems?

26 PAGE 17 OF 17 Is there a documented procedure for preventive action that defines requirements for the following: Identifying potential nonconformities and their causes? Determining and ensuring the implementation of preventive action needed? Recording results of action taken? Reviewing preventive action taken? Do the procedures ensure relevant information on actions taken is submitted for management review?

27 FORM 8.1 PAGE 1 OF 1 AUDIT PLAN Audit Number: Contract Number: Audit Scope: Audited Organization: Location: Lead Auditor: Auditor: Auditor: Audit Personnel Audit Schedule Audit Dates: Pre Audit Conference: Time: Auditor: Auditor: Reference Documents: Post Audit Conference: Time: Follow up Items: Special Concerns/Items: Name: Audit Team Assignments Assignment: Lead Auditor: Audit Plan Approved By (Sign and Date) Date: Quality Form QF 1 22 A, Rev. 2 Last Revised: 06/05/2012 Project Number: Project Procedure P 1 22 Page 1 of 1

28 FORM 8.2 PAGE 1 OF 1 AUDIT CHECKLIST Organization/Project/ Department Audited: Audit Date(s): Auditor(s): Audit ID: Project Number (if applicable): Item Number Line of Inquiry Status (see Key) Summary of Observations/Objective Evidence Reviewed/Audit Notes Status Key: A = Acceptable, U = Unacceptable, NA = Not Applicable, F = Finding, O = Observation Quality Form QF 1 22 B, Rev. 2 Last Revised: 06/05/2012 Project Procedure P 1 22

29 FORM 8.3 PAGE 1 OF 1 AUDIT REPORT Audit Number: Organization: Audit Dates: Location: Audit Purpose and Scope: Requirement and Reference Documents: Audit Team: Personnel Contacted Pre Audit During Post Audit Audit Summary: Lead Auditor: Signature: Date: Quality Form QF 1 22 C, Rev. 2 Last Revised: 06/05/2012 Project Number: Project Procedure P 1 22 Page 1 of 1

30 FORM 8.4 PAGE 1 OF 1 QUALITY AUDIT FINDINGS REPORT Organization/Project/Department Audited: Audit Number: Date: QAFR Number: Person Contacted: Project Name/Number: Finding (include specific requirement violated): Auditor: Cause Which Lead to the Condition Reported: Response Due Date: Corrective Action Taken/Proposed to Correct Deficiency: Corrective Action Taken to Preclude Recurrence: Responsible Manager (Signature and Date): Date When Corrective Action Will Be : Corrective Action Taken By (Signature and Date): Corrective Action Evaluation: Evaluator: Date: Verification of Implementation: Verified By: Date: Quality Form QF 1 22 D, Rev. 2 Last Revised: 06/05/2012 Project Number: Project Procedure P 1 22 Page 1 of 1