Quality Assurance Program for Capital Improvement Projects - Dart

DART Quality Assurance ProgramEXHIBIT 4AUDIT PROCESS1) The auditor shall notify the auditee, in writing, a minimum of five days prior to theaudit in order to ensure that key personnel are available. Provide a copy of the auditchecklist items.2) Prior to conducting the audit, the auditor holds an opening meeting with the auditee toprovide for introductions, clarify audit scope and objectives, arrange logistics, answerquestions, and review items on the audit checklist (Exhibit 5).3) During conduct of the audit, the auditee provides the auditor with access to allappropriate documents and personnel necessary to achieve the audit objectives. Theaudit includes, but is not limited to:a) Review of documentation for compliance with approved quality procedures;b) Interviews with individuals performing work activities, to ascertainunderstanding of quality requirements; andc) Review of operations associated with the audit item, to include witnessingselected operations to determine adherence to written procedures.4) After the audit, the auditor holds a post-audit meeting with the auditee to:a) Confirm audit findings/observationsb) Resolve misunderstandingsc) Provide the auditee with an opportunity to present additional information priorto fmalization of the audit report, andd) Establish corrective action commitment from the auditee5) The auditor issues a formal audit report summarizing the scope of the audit,observations, and findings, which is transmitted to the auditee. Deficiencies thatrequire corrective action are documented in an Audit Finding Report (Exhibit 6),according to the instructions in Exhibit 6A. Audit reports include sufficient detail toaid the auditee in determining cause and magnitude of the deficiency. The auditorcopies the DART Quality Assurance Manager on audit reports and responses.6) Upon receiving the audit report, the auditee responds in writing within ten workingdays. Audit responses describe what caused the deficiency, what corrective actionsare being taken, who is responsible for corrective action, and when corrective actionwill be implemented. The auditor, in consultation with D ART'S Quality AssuranceManager, either approves or rejects audit responses. (NOTE: Corrective actions arereviewed for effectiveness during follow-up audits). Rejected audit responses areresubmitted by the auditee within ten working days.7) An Audit Status Log reflecting the audit number and significant dates will be kept bythe auditor (Exhibit 6B).8) If the contractor does not respond to the Audit Finding Report as required, theContracting Officer's Representative may issue a Corrective Action Report.9) The auditor notifies management of the audited function, and the DART QualityAssurance Manager upon closure of open items.January 2005 - 27 - DART QAP Rev. 06