Management System Audit Checklist

ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 2 Edition No. 1 Draft Section 1 Audit Reference Number:................................... Auditee Firm:................................................. Audit Date:.................................................... Audit Senior Auditor:........................................ ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 2 Edition No. 1 Draft Section 1 MANAGEMENT SYSTEM AUDIT CHECK LISTS FOR SECOND PARTY CERTIFICATION OF (TRADITIONAL) CONTRACTORS FORWARD Construction industry reform initiatives agreed in partnership by government and private industry includes business management certification for particular levels and types of endeavour. Documents: • ACTD611 (CIP) ‘Business Management System Arrangements For Construction Industry Suppliers’ and, • ACTD007 (CIP) ‘Business Management System Audit Arrangements For Construction Industry Suppliers’ outline the ACT Government’s business management requirements for building /construction industry related projects and provide advice on auditing arrangements with the Government’s panel of accredited Senior Auditors. Audit checklists have been developed to provide a basis from which to consistently assess contractors, trade and sub-contractors business management systems for certification. Checklists also provide an aid to contractors, trade and sub-contractors in self-assessment and development of their business management systems. Primarily however, this checklist is intended as an auditing tool for accredited senior auditors and auditors. Check lists do not include a full set of questions and cover only those key items and system elements necessary for Preliminary and Substantial levels of audit compliance, based upon the ISO9000 series of AS/NZS Standards, plus incorporating principles of AS4801 and ISO14001. Preliminary and Substantial certification requires compliance with all the respectively listed Preliminary and Substantial system elements. Substantial certification involves objective evidence of implementation as well as documentation, apart from those Substantial system elements marked ‘documented only’. Comments and suggestions on improvements to this and related checklists should be addressed to: The Manager Construction Industry Policy ACT Department of Treasury PO Box 818 DICKSON ACT 2602 OR Facsimile number: 02 6207 5574. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 1 Edition No. 1 Draft Section 2 AUDIT REPORT SUMMARY SHEET FOR (TRADITIONAL) CONTRACTORS AUDIT TEAM1 Audit Firm’ Name:.................................................................................................... Audit Firm’s Senior Auditor:..................................................................................... *Set of questions completed by -Name:..................................................................... -Role:...................................................................... -Signature & Date.................................................... AUDITEE Auditee Firm’s Name & ACN:.................................................................................. Auditee Firm’s Address:............................................................................................ Auditee Firm represented by -Name (1):................................................................... -Name (2):................................................................... -Name (3):................................................................... Audit Reference Number: ........................................ Checklist *Set Identifier: ........................................ Audit Date(s): .......................................... ...................................... Audit Scope: ....................................................................................................................................... ............................................................................................................................ SUMMARY OF SYSTEM ELEMENTS AUDITED AND RECORDED IN THIS CHECKLIST *SET OF QUESTIONS System Element Trade/Sub-Contractor Head Contractor ♦Audited Pass Fail Commentary Management Responsibility √ √ Quality System (#documented only) (#)√ Contract Review √ √ Document & Data Control √ √ Purchasing √ √ Control Of Customer Supplied Product (#documented only) (#)√ (#)√ Process Control √ √ Inspection & Testing √ √ Control Of IM&TE (#documented only) (#)√ (#)√ Control Of Non-conforming Product √ √ Corrective & Preventive Action (#documented only) (#)√ √ Control Of Quality Records (#documented only) (#)√ √ Internal Quality Audits √ Training √ √ ♦Responses to questions on system elements from other ‘sets’ of questions are not to be recorded in this ‘set’ of questions. 1 Responsibility for operation of this document’s current edition /revision is that of the user. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 9 Edition No. 1 Draft Section 3 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head, Trade & Head Contractors Commentary D C B A 4.1 MANAGEMENT RESPONSIBILITY Sub-Contractors Only 4.1.1 Quality Policy 1A -Document Does the firm have it’s quality intentions documented in a policy statement or equivalent? √ 1B -Implement Show evidence to demonstrate that the quality policy statement is understood at all levels of the firm, including new employees and contract staff. √ 2A -Document Does the quality policy statement or equivalent define the firm’s product(s) and the scope of the quality management system? √ 2B -Implement Show how the policy statement or equivalent is relevant to the firm’s goals and the expectations and needs of its customers. √ 3A -Document Does the policy statement or equivalent and /or the procedures and practices recognize such matters as safety and the legitimate needs of the community and the environment with regard to the impact of construction projects? √ 3B -Implement Provide evidence of how top management of the firm plays a role in the development, implementation and maintenance of the quality management system -particularly with regard to community and environmental needs. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 9 Edition No. 1 Draft Section 3 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.1 MANAGEMENT RESPONSIBILITY Sub-Contractors Only 4.1.2 Organization 4.1.2.1 Responsibility & Authority 4A -Document Has the firm defined and documented responsibilities, authorities and inter-relationships, which pertain to non-project personnel, for the management of quality processes? √ 4B -Implement Show evidence to demonstrate that key non-project personnel understand their responsibilities, authorities and inter-relationships. Note. This question is aimed at identifying the active interfaces between top management and project staff. √ 5A -Document Does the firm define and document, for the project team, the responsibilities, authorities and inter-relation of all its personnel who have influence on the completed work and thereby meet the client requirements? √ 5B -Implement Show how the firm identifies the personnel who control and maintain quality management of a project. Demonstrate that these project personnel understand their responsibilities, authorities and inter-relationships. √ 6A -Document Does the firm have documented the personnel authorized to; • resolve product (project) non-conformances, • prevent product (project) non-conformances -by if necessary stopping work, and • verify the disposition of product (project) non-conformances. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 9 Edition No. 1 Draft Section 3 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.1 MANAGEMENT RESPONSIBILITY Sub-Contractors Only 4.1.2 Organization 4.1.2.1 Responsibility & Authority 6B -Implement Show evidence of corrective and preventative action on product (project) non-conformances, inclusive of referral for management review action. √ 7A -Document Does the firm have documented the personnel authorized to identify, record and notify system non-conformances √ 7B -Implement Show evidence of corrective and preventative action on system non-conformances, inclusive of referral for management review action. √ 4.1.2.2 Resources 8A -Document Has the firm documented arrangements that identify personnel resources? √ 8B -Implement Show evidence of; • staff profiles that include existing qualifications, development training undertaken and forecast and work history /past performance, and • duty statements that include management and /or operation of quality system(s) and /or project quality plan(s), inclusive of verification and validation activities. Note. Acceptable qualifications show at question 16. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 9 Edition No. 1 Draft Section 3 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.1 MANAGEMENT RESPONSIBILITY Sub-Contractors Only 4.1.2 Organization 4.1.2.3 Management Representative 9A -Document Has the firm an identified position in its own management structure for, irrespective of other duties; • ensuring establishment and maintenance of its quality system, and • reporting on the performance of and proposed improvements to the quality system, to top management? √ 9B -Implement Show evidence of the quality manager’s activities. √ 10A -Document Is the quality manager appropriately trained and /or experienced in respect of managing the quality system coupled with technical expertise in the core activities of the firm? √ 10B -Implement Show evidence of credentials. 11A -Document Has the firm an organizational structure to provide for the quality manager’s autonomy and freedom from other functions? √ 11B -Implement Show evidence of autonomy in organizational arrangements and that this has been communicated to and understood by all other of the firm’s personnel. √ 4.1.3 Management Review 12A -Document Is the management review process of the firm documented? √ 12B -Implement Show evidence of management review policy and procedures, inclusive of defined cyclic intervals for review. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 9 Edition No. 1 Draft Section 3 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.1 MANAGEMENT RESPONSIBILITY Sub-Contractors Only 4.1.3 Management Review 13A -Document Are the subject matters to be reviewed documented? √ 13B -Implement Show evidence of agenda, minutes of review meetings √ 14A -Document Are there documented arrangements to ensure the results of management reviews are implemented? √ 14B -Implement Show evidence of; • changes to document revision status, and • implementation of preventative actions stemming from registered non-conformances. √ General 15A -Document Do the documented agenda and minutes of review meetings address the inter-relationships of AS4810 and ISO14001 with the ISO9000 series of Standards? √ 15B -Implement Show evidence that the principles of AS4801 and ISO14001 are linked to or form an integral part of the firm’s management and review of ISO9000 series principles. Note that the purpose of this question is to promote the need for a fully integrated business management system. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 6 of 9 Edition No. 1 Draft Section 3 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.1 MANAGEMENT RESPONSIBILITY Sub-Contractors Only General 16A -Document Has the firm staff records that identify permanent full time salaried technical professionals who are practicing in disciplines that are consistent with the contractor role sought? √ 16B -Implement Show evidence to demonstrate academic qualifications and technical professional development activities with an appropriate licensing body or registered institute, association or union. Note. Auditors are prohibited from giving a pass mark to this question where the following matters cannot be satisfied. (Cross reference with question 8.). • $10.0M+. Full degrees are in evidence (science degrees can supplement full architectural, landscape architectural or engineering degrees). • $3.0M+. Full degrees or science degrees plus ‘A’ Class builder’s license for building works (or ‘B’ Class builder’s license for landscape works). • $3.0M. Certificates or diplomas plus ‘B’ Class builder’s license for building and landscape works (or ‘A’ Class builder’s license for non-residential building works). • $1.5M. Certificates or diplomas plus ‘B’ Class builder’s license for building works (or ‘C’ Class builder’s license for landscape works). • $1.0M. Certificates or diplomas plus ‘B’ Class builder’s license for building works and a ‘C’ Class builder’s license for landscape work. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 7 of 9 Edition No. 1 Draft Section 3 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.1 MANAGEMENT RESPONSIBILITY Sub-Contractors Only General • $0.5M. Certificates or diplomas plus ‘B’ Class builder’s license for building works and (optional) ‘C’ Class builder’s license for landscape works. • Nil to $0.250M. Certificate or diploma for building /landscape works plus ‘C’ Class builder’s license for building works. For civil works operators certificates plus 1-2 years experience. Addenda • Membership (any type) of an institution or association -by itself -cannot be substituted for full degree qualifications. • A business management degree is desirable but can only supplement degree status in the relevant discipline. • $3.0M+ and above the nominated professional institute, association or union must verify the applicant is involved in an on going development programme. . Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 8 of 9 Edition No. 1 Draft Section 3 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.1 MANAGEMENT RESPONSIBILITY Sub-Contractors Only General 17A -Document Has the firm documented procedures for surveillance auditing of suppliers as well as the resources to undertake such audits? √ 17B -Implement Show evidence of audit check lists or equivalent plus the credentials of qualified, registered and certified quality, occupational health safety & rehabilitation and environmental management senior auditors and auditors. Note. Auditors are to append copy of credentials into their audit report to Construction Industry Policy. A lack of Quality Society Of Australia (or IATCA/IRCA) academic qualifications for quality internal auditor shall constitute a fail for this question. √ 18A -Document Has the firm documented procedures for reporting on project performance to clients? √ 18B -Implement Show evidence to demonstrate regular comprehensive monitoring of work in progress is undertaken, which is subject to management review. Additionally, that top management provides regular executive summaries of work in progress performance to clients. Note. Auditors are prohibited from giving a pass mark to this question where the above matters are not satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 9 of 9 Edition No. 1 Draft Section 3 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.1 MANAGEMENT RESPONSIBILITY Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H6/T5 less total C’s *PASS or FAIL C H3/T3 D Nil Total number of Management Responsibility questions (H)ead = 28 /(T)rade = 14 Head Contractors – General at Page 5 onward sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil Total number of Management Responsibility questions = 8 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 2 Edition No. 1 Draft Section 4 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.2 QUALITY SYSTEM Sub-Contractors Only 4.2.1 General 1 -Document Does the firm have documented processes to plan and undertake its assigned services on time and within budget, including identifying and mobilizing required competent human recourses and technology? Show examples of these processes. √ 4.2.2 Quality System Procedures 2 -Document Are the documented processes available to operating personnel, thereby enabling services provided to consistently meet the client requirements? Show the process for transfer of design to the construction team (or of design to an external sub-contractor). √ 3 -Document Does the firm have a company quality manual or equivalent document which address the management responsibilities and the requirements of all appropriate quality system elements? Provide documented evidence inclusive of links to the firm’s core activities. √ 4.2.3 Quality Planning 4 -Document Has the firm procedures that address acquisition of permits and similar requirements to adequately carry out the roles /functions as identified in your quality policy? Show procedural evidence how the firm deals with the gaining of permits from regulatory bodies . √ 5 -Document Has the firm a quality management system with a clear hierarchy of documentation, a means of identification of the documents, a mechanism for their review and approval and identification of authority for use? Show evidence of project quality plans approvals. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 2 Edition No. 1 Draft Section 4 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.2 QUALITY SYSTEM Sub-Contractors Only 6 -Document Has the firm processes that result in the compilation of a project quality plan which sets out the project specific quality practices, resources and sequence of activities relevant to the services to be provided? Show evidence of (design – if appropriate to the firm) and construction verification /validation including disposition of nonconforrmitie and quality records. √ General 7 -Document Has the firm quality records procedures that cater for clients’ quality records? Show evidence of this that segregates individual clients’ quality records. √ Scoring sub-total for this Page Head Contractors (Excluding Trade & Sub-Contractors) sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B 4 less total C’s *PASS or FAIL C 2 D 0 (*Delete as required) Total number of Quality System questions = 6 Head Contractors – General at Page 2 sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 2 Edition No. 1 Draft Section 4 Total number of Quality System questions = 1 ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 5 Edition No. 1 Draft Section 5 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.3 CONTRACT REVIEW Sub-Contractors Only 4.3.1 General 1A -Document Has the firm documented procedures for contract review? √ 1B -Implement Show evidence to demonstrate how tender requirements are measured for adequacy and sufficiency of information, for later preparation of response to a tender. √ 4.3.2 Review 2A -Document Has the firm procedures that cover in the reviewing of a tender invitation, to submit a response, as to whether the firm has capacity and expertise to undertake the intended engagement? √ 2B -Implement Show evidence to identify resources, which are allocated to projects ( for client /superintendent /head contractor approval). √ 3A -Document Has the firm procedures which include an internal review of proposals, prior submission to the client /superintendent /head contractor? √ 3B -Implement Show evidence of internal contract reviews that reconcile the tender invitation and response to the tender invitation. √ 4A -Document Has the firm procedures for checking of a tender invitation, to incorporate or identify any amendments or subsequent necessary changes (addenda) between it and a tendered response? √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 5 Edition No. 1 Draft Section 5 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.3 CONTRACT REVIEW Sub-Contractors Only 4.3.2 Review 4B -Implement Show evidence to demonstrate review of a tender invitation, before agreeing to accept award of the engagement. Evidence to include, but not be restricted to, specification changes, other addenda (and resulting changes to already agreed sub-contractors – where this is appropriate to the firm’s circumstances). √ 5A -Document Has the firm any defined practice for handing over the engagement documentation, from management, to the contract (supervision) team? (Formalized transfer may be relevant only to large organizations). √ 5B -Implement Show evidence that the firm’s defined practice covers client specific and statutory obligations, such as those listed below, and that all implications are clearly understood (signed off). • Occupational, health, safety and rehabilitation • Building Code Of Australia • Planning approvals • Services’ requirements • Environmental protections • Conservation (heritage) considerations • ACT Government modified (to, for example, AS2124) requirements. √ 6A -Document Has the firm procedures for the review and approval of briefs to sub-consultants /sub-contractors that ensure full compliance with the client /superintendent engagement (contract) conditions or requirements? √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 5 Edition No. 1 Draft Section 5 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.3 CONTRACT REVIEW Sub-Contractors Only 4.3.2 Review 6B -Implement Show evidence of transfer to and acceptance by subconsuultant /sub-contractors of sub-briefs, receipt of responses from sub-consultants /sub-contractors and review of these responses for compliance with their instructions regarding the client /superintendent contract conditions or requirements. √ 4.3.3 Amendment To A Contract 7A -Document Has the firm procedures that address how client /superintendent /head contractor supplementary data (instructions) and /or variations to the contract conditions or requirements are addressed? √ 7B -Implement Show evidence of how new and /or enhanced client /superintendent /head contractor requirements are incorporated into the contract conditions or requirements and how this is reconciled with the client /superintendent /head contractor. √ 4.3.4 Records √ 8A -Document Has the firm documented procedures for keeping records of contract reviews? √ 8B -Implement Show evidence of contract records for a number of projects. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 5 Edition No. 1 Draft Section 5 AS /NZS 9001 Clauses & PRELIMINARY & UBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.3 CONTRACT REVIEW Sub-Contractors Only General 9A -Document Has the firm documented procedures to ensure it’s understanding of clients ‘conceptual’ needs, that is, those needs not formally defined in writing? √ 9B -Implement Show evidence to demonstrate that verbal or pictorial needs are formalized in writing (to clarify contract conditions and requirements) and that this formal briefing material is agreed (signed off) by the client /superintendent. Note. Auditors are prohibited from giving a pass mark to this question where the above matters are not satisfied. √ 10A -Document Has the firm documented procedures that ensure client and superintendent agreements /approvals are sought at (critical) hold points through delivery processes? √ 10B -Implement Show evidence of clients /superintendents agreeing to project quality plans that identifies their endorsement of contract reviews at critical hold points. Note. The purpose of this question is to ensure the contractor obtains a client or superintendent’s endorsement for each (separable) portion (or subcontrracte portion) of work before proceeding to the next phase of work, where this may be necessary in multi-faceted projects. Note. Auditors are prohibited from giving a pass mark to this question where the above matters are not satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 5 Edition No. 1 Draft Section 5 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.3 CONTRACT REVIEW Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H6/T6 less total C’s *PASS or FAIL C H3/T3 D Nil (*Delete as required) Total number of Contract Review questions (H)ead = 16 /(T)rade = 12 Head Contractors – General at Page 4 sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Contract Review questions = 4 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 7 Edition No. 1 Draft Section 6 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.5 DOCUMENT & DATA CONTROL Sub-Contractors Only 4.5.1 General (paper and electronic mediums) 1A -Document Has the firm a formalized document /data control system that is a reflection of its quality system (inclusive of its policies, procedures and practices)? √ 1B -Implement Show evidence of this system that can ensure clients the firm is constantly monitoring publications and advices that can have a consequential affect on clients stated requirements. √ 2A -Document Does the formalized document /data control system have a process (master list /registers or equivalent) for advising to staff, contract employees and associates of changes to previously approved procedures and practices that can have a consequential affect on clients stated requirements? √ 2B -Implement Show evidence of document /data change advice processes inclusive of how actual changes to documents /data are made and how advices are relayed to interested parties (and receipted by interested parties). The follow up process for ensuring (electronic) data advices are not corrupted in transmission or by viruses is also to be demonstrated. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 7 Edition No. 1 Draft Section 6 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.5 DOCUMENT & DATA CONTROL Sub-Contractors Only 4.5.1 General (paper and electronic mediums) 3A -Document Do the firm’s document and data control system provide for unique referencing of system and project material? √ 3B -Implement Show evidence to demonstrate that the firm’s unique referencing arrangements covers the registration of both internally and externally generated material, inclusive of provision for changes, revisions, amendments, page /sheet and date identification -appropriate to the business of the firm. √ 4A -Document Do the firm’s procedures include provision for ‘management review’ input to changes (to the firm’s processes) generated by changes to externally generated documents? √ 4B -Implement Show evidence that the ‘management review’ process, through recorded agenda actions, is actively involved in document /data changes stemming from externally generated documents /data. √ 4.5.2 Document & Data Approval & Issue 5A -Document Do the firm’s documented procedures cover the review and approval of both internally and externally generated documents /data? √ 5B -Implement Show evidence of the process for reviews and approvals of changes to both internal and external documents /data that identifies these changes are made by authorized personnel. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 7 Edition No. 1 Draft Section 6 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.5 DOCUMENT & DATA CONTROL Sub-Contractors Only 4.5.2 Document & Data Approval & Issue 6A -Document Has the firm documented procedures that cater for; • availability of documents /data at site locations, and • notification arrangements for processing of document /data changes at site locations inclusive of a receipt advice (to the originator) that: • changes have been incorporated, • changes have been advised to and signed off, as being sighted, by interested personnel, • superseded documents have been disposed, and • superseded documents that could have legal implications are retained for statutory or designated periods? √ 6B -Implement Show evidence that demonstrates the availability of continuously current documentation /data, at site locations, that has been reviewed and approved for use by authorized personnel. Evidence is also to be demonstrated of; • currency against individual document’s master copy of authorized changes, • identification of superseded material (within a document), • removal and disposal of superseded material, and • retention of superseded material as quality records (for example – contract documents /drawings). √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 7 Edition No. 1 Draft Section 6 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.5 DOCUMENT & DATA CONTROL Sub-Contractors Only 4.5.2 Document & Data Approval & Issue 6B -Implement (continued) Note 1. Site locations are inclusive of those for off-site service providers, sub-contractors and similar entities who input specialist advice and /or materials. Note 2. Documents /data is inclusive of letter correspondence, facsimile transmissions, photocopied sketches /drawings, electronic transfers (either by disc, linked network or similar means and ‘works as executed drawings’ 4.5.3 Document & Data Changes 7A -Document Has the firm documented procedures catering for the review and approval of internal documents /data by the personnel who originated said documents /data? √ 7B -Implement Show evidence to demonstrate internal system and project documents /data changes are both authorized for use by the personnel (or position) who performed the earlier issues. √ 8A -Document Has the firm documented procedures catering for the issue into use at site locations of external documents? √ 8B -Implement Show evidence to demonstrate that the contents of externally generated documents; • are incorporated into system and project documents /data, and • that external documents are regularly reviewed for currency inclusive of subscriptions to update services. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 7 Edition No. 1 Draft Section 6 AS /NZS 9001 Clauses & PRELIMINARY & UBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.5 DOCUMENT & DATA CONTROL Sub-Contractors Only 4.5.1 General (paper and electronic mediums) 9A -Document Has the firm controlled documents that are suitable and are used for the engagement of consultants, and subcontraactors √ 9B -Implement Show evidence to demonstrate the existence and current usage of documents that address the following matters. Note. Auditors are prohibited from giving a pass mark to this question where the following matters cannot be satisfied. • Standard terms of engagement, both short and long form. • Model briefs for different disciplines (for example, architectural and engineering). • Basic specifications for use in contract documentation. • Model or standard conditions and preliminary clauses for trade and sub-contractor commissions. • Quality assurance:-• clauses, and • quality plans for use in different contractual arrangements. • Schedules of fee /scales for professional services. • A document /data control system that is sufficiently sophisticated to cater for different client needs. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 6 of 7 Edition No. 1 Draft Section 6 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.5 DOCUMENT & DATA CONTROL Sub-Contractors Only 4.5.1 General (paper and electronic mediums) 9B -Implement (continued) • An electronic project accounting system that can concurrently and separately manage project moneys of different clients inclusive of trust accounts. The system is to be suitable for monitoring; • securities, • retentions, • orders and progress claims, • liquidated damages, • prescribed payments tax, • project authorizations and expenditures, separable portions and releases of securities (cash and performance undertakings) 10A -Document Has the firm documented procedures for monitoring non-financial aspects of project delivery. √ 10B -Implement Show evidence to demonstrate the existence and current usage of an electronic system for the management of project cost forecasting and time scheduling monitoring that is sufficiently sophisticated to isolate:-• original costs /time, • cost variations, and • time slippage inclusive of present day scheduling. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 7 of 7 Edition No. 1 Draft Section 6 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.5 DOCUMENT & DATA CONTROL Sub-Contractors Only Head. Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H3/T3 less total C’s *PASS or FAIL C 1 D 0 (*Delete as required) Total number of Document & Data Control questions (H)ead = 16 /(T)rade = 16 Head Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Document & Data Control questions = 4 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 7 Edition No. 1 Draft Section 7 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.6 PURCHASING Sub-Contractors Only 4.6.1 General 1A -Document Has the firm documented procedures for the planning and undertaking of the purchasing of products and /or services? √ 1B -Implement Show evidence of procedures for the keeping and use of records on supplier performance, review of purchasing documents and verification of purchased products. √ 4.6.2 Evaluation Of sub-Contractors 2A -Document Has the firm preferred listings of suppliers, such as subcontraactors consultants and sub-consultants? √ 2B -Implement Show evidence to demonstrate that suppliers are evaluated and selected on the basis of their capability to meet the various forms of engagement. √ 3A -Document Has the firm documented processes for defining the type and extent of controls (based on earlier evaluation) to be exercised over sub-suppliers and are these controls identified in performance measures that record the impact of these sub-suppliers work on the final outcome? √ 3B -Implement Show evidence that identifies the types of control applicable to differing groupings /disciplines of suppliers, including monitoring, surveillance and recording of their performance (related to these controls). √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 7 Edition No. 1 Draft Section 7 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.6 PURCHASING Sub-Contractors Only 4.6.2 Evaluation Of sub-Contractors 4A -Document Has the firm capacity and expertise to assess and audit suppliers? √ 4B -Implement Show; • recorded evidence to demonstrate controls, monitoring, surveillance and performance of suppliers is undertaken, and • qualifications to confirm that assessments of suppliers quality assurance system /operations are undertaken by (at a minimum) academically qualified internal /external auditors. √ 4.6.3 Purchasing Data 5A -Document Has the firm documents /documented procedures for ensuring that purchase orders /agreements /terms of engagement that adequately define the products /services invited /ordered? √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 7 Edition No. 1 Draft Section 7 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.6 PURCHASING Sub-Contractors Only 4.6.3 Purchasing Data 5B -Implement Show documented evidence of documents /procedures for the purchasing of products /services, such as; • purchase orders, • project briefs, • expressions of interest, • contract documentation including basic specifications, and • agreements used as the basis for project specific contracts. Note. The auditor is to be satisfied that generic terms of engagement address the range of matters usually encountered in the delivery of capital and related works (inclusive of quality assurance clauses) -and therefore afford a level of protection expected by a client . √ 6A -Document Has the firm documented procedures for the review and approval of purchase orders /agreements /terms of engagement? √ 6B -Implement Show evidence to demonstrate that arrangements for review and approval of purchase orders /agreements /terms of engagement are utilized; • before issue of documents, • on receipt of documents, and • on advice of changes to documents to ensure adequacy of specified requirements. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 7 Edition No. 1 Draft Section 7 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.6 PURCHASING Sub-Contractors Only 4.6.4 Verification Of Purchased Product 4.6.4.1 Supplier Verification At sub-Contractor’s Premises 7A -Document Has the firm documented procedures for undertaking verification activities to ensure purchased items conform to specified requirements -at sub-suppliers premises? √ 7B -Implement Show evidence to demonstrate utilization of the verification procedure /process at sub-suppliers premises. √ 4.6.4.2 Customer Verification of sub-Contracted Product 8A -Document Has the firm documented procedures that address a customers specified prerogative to verify, at a sub-suppliers premises, the conformity of a sub-supplied item to the specified requirements? √ 8B -Implement Show evidence to demonstrate utilization of this customer’s specified prerogative, that accord with documented procedures and do not supplant subsuppplier verification processes. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 7 Edition No. 1 Draft Section 7 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.6 PURCHASING Sub-Contractors Only General 9A -Document Has the firm documented procedures addressing the formal evaluation of suppliers (consultants, subcontrractor and similar) that provide written recommendations and /or advice to clients? √ 9B -Implement Show evidence to demonstrate use of the firm’s formal assessment system that; • records assessments against previously agreed assessment criteria (for specific engagements), • records on-going assessments at previously agreed critical hold points in the delivery process, and • is used to interact with clients in agreeing the continuing use of suppliers (with or without additional risk management controls). Note. This question is aimed at ensuring formal communications with clients on suppliers and is not to be confused with earlier questions on everyday subsuppplie assessments for which there is no direct interface with clients. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 6 of 7 Edition No. 1 Draft Section 7 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.6 PURCHASING Sub-Contractors Only General 10A -Document Has the firm documented procedures for ensuring briefing material, contractual documentation and similar inclusive of technical input (for suppliers) are formally agreed in writing with clients? √ 10B -Implement Show evidence to demonstrate the firm formally seeks approval of the client for all supplier terms of engagement, contractual documentation and similar, unless formal dispensations or delegations in writing have been given. Note. Ideally, firms should maintain delegation schedules for individual clients. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ 11A -Document Has the firm documented procedures for client verification and validation of it’s own activities carried out on behalf of clients? √ 11B -Implement Show evidence to demonstrate that clients are invited to assess the firm’s performance during the delivery process (verification) and after completion of the delivery process (validation). Assessments are to include measures to rate the firm on selection criteria originally used to select the firm. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 7 of 7 Edition No. 1 Draft Section 7 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.6 PURCHASING Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H9/T5 less total C’s *PASS or FAIL C H4/T2 D H0/T1 (*Delete as required) Total number of Purchasing questions (H)ead = 16 /(T)rade = 7 Head Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Purchasing questions = 6 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 3 Edition No. 1 Draft Section 8 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.7 CONTROL OF CUSTOMER-SUPPLIED PRODUCT Sub-Contractors Only 4.7 General 1 -Document Has the firm documented procedures to apply where a client provides products for incorporation into a project? Show evidence of these procedures. Note. Products for incorporation may include, but not be restricted to, monuments, plant, traffic control hardware, transplanted landscape items, furniture fittings et cetera. Note. Auditors must be satisfied that processes exist for: • verification by the customer (client) that introduced products are suitable for use, and • non-conformities detected by a contractor are recorded and reported to the customer (client). √ 2 -Document Do the firm’s procedures cater for re-installation of, in new or refurbished works, salvaged products or products identified for re-use? Show evidence that these procedures address: • verification of condition, • re-conditioning processes, • storage, and • maintenance whilst in storage. √ 3 -Document Do the firm’s procedures include unique identification and control processes for customer (client) supplied products delivered on-site? Show procedural evidence of the identification and control system process. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 3 Edition No. 1 Draft Section 8 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.7 CONTROL OF CUSTOMER-SUPPLIED PRODUCT Sub-Contractors Only 4.7 General 4 -Document Do the firm’s procedures detail actions for products lost, damaged or otherwise unfit for use? Show procedural evidence that includes a process for the segregation and identification of ‘unfit’ products. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ 5 -Document Do the firm’s documented procedures cater for incorporating customer (client) supplied products into sub-contractor works? Show procedural evidence requiring sub-contractors to verify the condition of such products and ensure for their adequate recording, storage and maintenance. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 3 Edition No. 1 Draft Section 8 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.7 CONTROL OF CUSTOMER-SUPPLIED PRODUCT Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H2/T2 less total C’s *PASS or FAIL C 0 D 0 (*Delete as required) Total number of Control Of Customer-Supplied Product questions (H)ead = 4/(T)rade = 4 Head Contractors – Question 5 sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Control Of Customer-Supplied Product questions = 1 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 3 Edition No. 1 Draft Section 8 ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 5 Edition No. 1 Draft Section 9 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.9 PROCESS CONTROL Sub-Contractors Only 4.9 General 1A -Document Has the firm procedures for planning the utilization of resources and identifying suitable processes – in preparing for and undertaking contract engagements? √ 1B -Implement Show evidence of the process for assigning tasks and disseminating work instructions /method statements that highlight suitable control of critical activities. √ 2A -Document Has the firm procedures for ensuring the project team assigned to undertake the contracted work has adequate and appropriate knowledge /experience of the firm’s (quality) management system? √ 2B -Implement Show evidence to demonstrate that the necessary documentation to undertake assigned tasks is at appropriate points of use. √ 3A -Document Has the firm procedures to ensure process equipment items are ‘in test’ /correctly maintained /safe to use – before their use in the contract engagement? √ 3B -Implement Show evidence of ‘in test’ certifications /safe working load data /maintenance schedule ‘sign offs’ – for plant and equipment items. √ 4A -Document Has the firm procedures to ensure personnel involved in carrying out assigned work are appropriately trained /experienced for relevant tasks? √ 4B -Implement Show evidence of the process undertaken to assess personnel to particular tasks. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 5 Edition No. 1 Draft Section 9 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.9 PROCESS CONTROL Sub-Contractors Only 4.9 General 5A -Document Do the firm’s procedures include processes to facilitate planning interaction with other project stakeholders? √ 5B -Implement Show evidence to demonstrate that project planning covers interaction applicable to listed (or similar) activities. • Project programme. • Purchasing (of consultants, sub-contractors and other specialists). • The superintendent. • Document and drawing availability. • Construction processes. • Management plans for quality, occupational health safety & rehabilitation and the environment. • Commissioning (as necessary). • Internal resources √ 6A -Document Do the firm’s procedures cover planning and control of it’s programme of documented submissions? √ 6B -Implement Show evidence of the review and approval process for both the individual submissions and the overall project plan. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 5 Edition No. 1 Draft Section 9 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.9 PROCESS CONTROL Sub-Contractors Only 4.9 General 7A -Document Do the firm’s procedures for undertaking the contract engagement include processes for managing changes /variations, such as: • changes initiated by the client or end user, • superintendent instructions, and • latent or other site conditions. √ 7B -Implement Show evidence to demonstrate project personnel are familiar with these processes. √ 8A – Document Do the firm’s procedures cater for monitoring the effective performance of consultants, sub-contractors and other specialists, as well the firm’s own activities? √ 8B – Implement Show evidence of planning for verification of work processes to ensure that the completed work will satisfy contract requirements. √ 9A – Document Do the firm’s procedures for verification address characteristics and criteria to determine conformance (for each phase of work)? √ 9B – Implement Show evidence of (quality) management witness point activities duly signed off as well as hold point verification duly signed off – that demonstrate compliance at each phase of work. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 5 Edition No. 1 Draft Section 9 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.9 PROCESS CONTROL Sub-Contractors Only 4.9 General 10A – Document Do the firm’s procedures contain processes for ensuring personnel undertaking verification have the necessary competencies (and licenses /industry tickets)? √ 10B -Implement Show evidence to demonstrate personnel verifying particular processes are qualified to perform this function. Note. Auditors are to cross check qualifications of verifying officials against signed off quality records, paying particular attention to special processes (such as x-rays of structural /pressure welded joints and similar safety critical activities) and inspection and test records. √ 11A – Document Do the firm’s procedures identify which work processes (such as x-rays of structural /pressure welded joints) that require application of ‘special’ process control? √ 11B -Implement Show evidence to demonstrate ‘special’ process control is only undertaken by: • qualified license holders /operators • qualified verifying officials who continuously monitor critical operations (particularly where inspection and testing cannot be fully undertaken until the product enters service). Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 5 Edition No. 1 Draft Section 9 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.9 PROCESS CONTROL Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H4/T5 less total C’s *PASS or FAIL C H2/T3 D 0 (*Delete as required) Total number of Process Control questions (H)ead = 8 /(T)rade = 8 Head Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B 6 *PASS or FAIL C 3 D Nil (*Delete as required) Total number of Process Control questions = 14 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 6 Edition No. 1 Draft Section 10 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.10 INSPECTION & TESTING Sub-Contractors Only 4.10.1 General 1A -Document Has the firm procedures for planning inspection and test activities to verify compliance with specified requirements? √ 1B -Implement Show evidence to demonstrate required inspection, testing and relevant records are detailed in (generic project) quality plans derived from appropriate procedures. √ 2A -Document Do the firm’s procedures ensure that inspection and test plans can incorporate client nominated requirements? √ 2B -Implement Show evidence to demonstrate that preparation of inspection and test plans incorporates: • specific inspection /test activities and the sequence in which they are to be undertaken, • procedures /methods /work instructions to be used for each inspection /test activity together with relevant acceptance requirements (inclusive of appropriate inspection, measuring and test equipment – IM&TE) for each activity (both inside and outside the firm). • identification of personnel with authority to initiate inspections /tests and personnel responsible for undertaking the inspections /tests. • records to be generated in respect of each inspection /test activity (both inside and outside the firm). √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 6 Edition No. 1 Draft Section 10 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.10 INSPECTION & TESTING Sub-Contractors Only 4.10.1 General 3A – Document Do the firm’s procedures identify statutory and regulatory inspection /test activities? √ 3B -Implement Show evidence to demonstrate the process for identifying relevant (and currently amended) statutory and regulatory inspection /test activities and the incorporation of these requirements into quality management plans. √ 4 A-Document Has the firm procedures that ensure appropriate inspection /test instructions (relating to processes) are available when needed to undertake each inspection /test activity? √ 4B– Implement Show evidence of implemented project quality plans that have incorporated instructions at hold and witness points for inspection /test activities. √ 5A -Document Has the firm procedures that address changes to previously agreed schedules of inspection /test activities? 5B -Implement Show evidence of appropriate personnel: • inserting changes to system procedures and project quality plans, and • obtaining ‘sign-offs’ of advices from field (onsiite operatives responsible for implementing the changes. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 6 Edition No. 1 Draft Section 10 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.10 INSPECTION & TESTING Sub-Contractors Only 4.10.1 General 6A -Document Has the firm procedures that address the identification of personnel competent to manage and undertake inspection /test activities? √ 6B -Implement Show evidence of signed-off inspection /test activities that identify legitimate authority or competency and that verify compliance with inspection and test plans (ITPs). Note. Auditors note that legitimate authority or competency can extend to that of external consultants /specialists and to government authorities (such as WorkCover) for the issue of compliance certificates. √ 4.10.2 Receiving, Inspection & Testing (4.10.2.1 to 4.10.2.3) 7A -Document Has the firm procedures for planning and undertaking inspections /tests of incoming products. √ B7 -Implement Show evidence of inspection /testing of incoming products, that is in accordance with ITPs, before incorporation into the works. √ 8A -Document Has the firm procedures for segregation of incoming products which do not conform to specified requirements” √ 8B -Implement Show evidence of segregation methods inclusive of visual identification codes. Show evidence that codes are known to on-site personnel. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 6 Edition No. 1 Draft Section 10 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.10 INSPECTION & TESTING Sub-Contractors Only 4.10.2 Receiving, Inspection & Testing (4.10.2.1 to 4.10.2.3) 9A -Document Has the firm procedures for ‘positive recall’ of nonconfoormin products. √ 9B -Implement Show evidence of ‘positive recall’ provisions for products that require release into work being constructed – either because inspection /test results will not be known for some time (concrete placement) or because inclusion (and possible later re-work) of a suspect product is accepted to minimize delay to ongooin construction. √ 4.10.3 In-process Inspection & Testing 10A -Document Has the firm procedures for in-process inspection /test. √ 10B -Implement Show evidence that demonstrates inspections /tests are undertaken before the next phase of work is commenced – in accordance with approved ITPs. Note. Evidence is to include provision for hold or witness point attendance of the superintendent /principal, external specialist or government authority. √ 4.10.4 Final Inspection & Testing 11A -Document Has the firm procedures that ensure satisfactory verification /validation /completion of all inspection /test activities prior to client (or contractor) acceptance. √ 11B -Implement Show evidence that procedural and quality management plan (ITP) nominated inspections /tests: • have been satisfactorily undertaken, • conformance with characteristics and requirements of each inspection /test undertaken are available in the form of records, and • records are complete. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 6 Edition No. 1 Draft Section 10 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.10 INSPECTION & TESTING Sub-Contractors Only 4.10.5 Inspection & Test Records 12A -Document Has the firm procedures for the maintenance and storage of ‘receiving’, ‘in-process’ and ‘final inspection’ inspection /test records? √ 12B -Implement Show evidence that inspection /test records form part of the firm’s ‘quality records’ (also as required by particular contracts) and that these records are accessible, retrievable and filed in a safe environment to prevent damage and deterioration. √ General 13A -Document Has the firm procedures for providing clients (or end users) copy of all inspection /test results – progressively or at contract completion? √ 13B -Implement Show evidence of clients signing for receipt of inspection /test records – in particular those records nominated by a client and those needed by a client (end user) to prove initial ‘in test’ compliance of equipment and plant items. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 6 of 6 Edition No. 1 Draft Section 10 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.10 INSPECTION & TESTING Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H11/T9 less total C’s *PASS or FAIL C H5/T3 D 0 (*Delete as required) Total number of Inspection & Testing questions (H)ead = 24 /(T)rade = 20 Head Contractors – Question 13 sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Inspection & Testing questions = 1 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 3 Edition No. 1 Draft Section 11 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.11 CONTROL OF INSPECTION, MEASURING & TEST EQUIPMENT (IM&TE) Sub-Contractors Only 4.11.1 General 1 -Document Has the firm procedures for selecting appropriate IT&ME to be used for particular inspection /test activities? Show procedural evidence that address: • accuracy and precision, • tolerances, • environmental operating parameters of IT&ME used in the firm’s building /construction activities. √ 2 -Document Has the firm procedures for controlling the: • identification, • calibration /test status -against certified equipment (or alternative standards), • physical condition, • servicing, of IT&ME owned, leased or hired by the firm? Show procedural evidence of processes used to determine the status for use of IT&ME items. Note. Control here includes the checking of calibration status on return of IT&ME items from on-site operations. √ 3 – Document Has the firm procedures for checking /verifying calibration settings before putting IM&TE to use? Show procedural evidence of processes used – inclusive of those in use for IT&ME that show or indicate unacceptable tolerances (taking into account environmental factors). √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 3 Edition No. 1 Draft Section 11 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.11 CONTROL OF INSPECTION, MEASURING & TEST EQUIPMENT (IM&TE) Sub-Contractors Only 4.11.1 General 4 – Document Has the firm procedures proving the calibration status of computer software IT&ME? Show procedural evidence of processes. √ 5 – Document Has the firm procedures to ensure consultants, specialists and sub-contractors adhere to these procedures /processes? Show procedural /(generic) project quality plan evidence of inter-relations with outside suppliers /stakeholders. √ 4.11.2 Control Procedure 6 – Document Has the firm procedures for the maintenance of calibration records? Show procedural evidence of how calibration records are maintained. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 3 Edition No. 1 Draft Section 11 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.11 CONTROL OF INSPECTION, MEASURING & TEST EQUIPMENT (IM&TE) Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H3/T2 less total C’s *PASS or FAIL C H1/T1 D 0 (*Delete as required) Total number of Control Of IM&TE questions = (H)ead = 6 /(T)rade =5 Head Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Control Of IM&TE questions = 0 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 4 Edition No. 1 Draft Section 12 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.13 CONTROL OF NON-CONFORMING PRODUCT Sub-Contractors Only 4.13.1 General 1A -Document Has the firm procedures for the functional identification, documentation, evaluation, segregation (or separation) and disposition of non-conforming products or outputs from activities such as; • designs, documents, plans, specifications, • briefs, estimates, reports, drawings, sketches, • data (inclusive of digital data)? √ 1B -Implement Show evidence to demonstrate as to how and by whom these functions are notified, recorded and resolved to the satisfaction of clients. √ 2A -Document Has the firm ‘control of non-conforming product’ procedures that interact with the functional entity /personnel who examine non-conformances and provide solutions so as to avoid their recurrence? √ 2B -Implement Show evidence to demonstrate these interactions are utilized (including ‘nil’ returns, that is, products verified as complying with specified requirements). √ 4.13.2 Review & Disposition Of non-Conforming Product 3A -Document Has the firm an authorized functional entity or personnel who have the authority to take appropriate disposition action in time to avoid adversely affecting the product, so that it does not fail to meet specified requirements √ 3B -Implement Show evidence to demonstrate that all staff /employees are aware of the authority invested in these functionaries, whereby they can order, for example; rewoork repair or rejection. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 4 Edition No. 1 Draft Section 12 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.13 CONTROL OF NON-CONFORMING PRODUCT Sub-Contractors Only 4.13.2 Review & Disposition Of non-Conforming Product 4A -Document Has the firm procedures that address interaction with clients for their approval of proposed disposition actions relating to concessions /waivers from specified requirements? √ 4B -Implement Show evidence of interaction arrangements inclusive of arrangements for clients /superintendents formal approvals -that address time delays and related matters. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ 5A -Document Has the firm procedures for verifying re-worked or repaired products, subsequent to initial verification failure? √ 5B -Implement Show evidence to demonstrate that re-worked or repaired products are subject to the verification process. √ 6A -Document How does the firm – as a head contractor -administer sub-supplier arrangements for the disposition of product non-conformances? √ 6B -Implement Show evidence to demonstrate arrangements whereby sub-suppliers record and report non-conformances to the superintendent /head contractor (inclusive of process for concession /waiver) and evidence to show the firm has included in project quality plans provision for random /periodic audit of sub-supplier nonconfoormanc disposition records. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 4 Edition No. 1 Draft Section 12 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.13 CONTROL OF NON-CONFORMING PRODUCT Sub-Contractors Only 4.13.2 Review & Disposition Of non-Conforming Product 7A -Document Has the firm procedures that specify the recording of all non-conformances which; • may result in the finished product having one or more characteristics different from those specified, • result in time delays to a project , and /or • are ineligible for disposition action without due delay? √ 7B -Implement Show evidence to demonstrate recent and continuing range /diversity of non-conformances recorded and subsequent disposition actions. √ 8A -Document Has the firm procedures that address representations and disputes relating to the disposition of non-conforming products? √ 8B -Implement Show evidence that addresses non-acceptance of works by an end user, where the end user is not the sponsoring client. √ 9A -Document Has the firm delegation schedules that show disposition authorities and responsibilities of both the firm and a superintendent? √ 9B -Implement Show evidence of these schedules that address re-work, repair, concession and rejection. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 4 Edition No. 1 Draft Section 12 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.13 CONTROL OF NON-CONFORMING PRODUCT Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H9/T6 less total C’s *PASS or FAIL C H4/T4 D 0 (*Delete as required) Total number of Control Of non-Conforming Product questions (H)ead = 16 /(T)rade = 10 Head Contractors – Question 4 sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Control Of non-Conforming Product questions = 2 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 4 Edition No. 1 Draft Section 12 ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 5 Edition No. 1 Draft Section 13 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.14 CORRECTIVE & PREVENTIVE ACTION Sub-Contractors Only 4.14.1 General 1A -Document Has the firm documented procedures for the controlling of corrective and preventive actions stemming from recorded non-conformances √ 1B – Implement Show evidence of registers (or similar documentation) relating to system and product non-conformances. √ 2A -Document Has the firm documented procedures that show the interactions between non-conformance registers and management responsibility review proceedings? √ 2B -Implement Show evidence to demonstrate the processing of register initiated non-conformances through top management corrective and /or preventive actions that result in changes or amendments to documented system or product procedures. √ 4.14.2 Corrective Action 3A -Document Has the firm documented procedures that address the; • handling of customer complaints, and associated • product non-conformities reported by customers? √ 3B -Implement Show evidence of recorded customer complaints and documented actions taken in response to the complaints -inclusive of verification that action taken is signed off by the officer(s) delegated to deal with these matters. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 5 Edition No. 1 Draft Section 13 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.14 CORRECTIVE & PREVENTIVE ACTION Sub-Contractors Only 4.14.2 Corrective Action 4A -Document Has the firm documented investigation procedures for determining the causes of system, process and product non-conformances? √ 4B -Implement Show evidence of investigation results that determine corrective actions, inclusive of necessary monitoring controls to ensure effectiveness of the actions. √ 4.14.3 Preventive Action 5A -Document Has the firm documented procedures that address the collation and examination of non-conformances to determine whether individually they are isolated cases or repetitive issues? √ 5B -Implement Show evidence of investigations and analyses of non-conformances, that originated from for example; quality records, concessions /waivers, audit results, service reports and customer complaints. √ 6A -Document Has the firm documented procedures for the submission of recommendations regarding preventive actions to top management by staff for management review? √ 6B -Implement Show evidence of preventive action recommendations and how they are processed through management review arrangements, inclusive of incorporation as amendments /changes into approved documentation. √ 7A -Document Has the firm documented procedures that address non-conformance trends? √ 7B -Implement Show evidence of statistical trend analyses related to the disposition of recorded non-conformances. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 5 Edition No. 1 Draft Section 13 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.14 CORRECTIVE & PREVENTIVE ACTION Sub-Contractors Only General 8A -Document Has the firm documented procedures for client endorsement of corrective actions where this is appropriate)? √ 8B -Implement Show evidence to demonstrate client specific arrangements for dealing with product, process or service non-conformances inclusive of allowed delegations to proceed without client approval. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ 9A -Document Has the firm documented procedures for dealing with customer complaints that originate from public consultation? √ 9B -Implement Show evidence to demonstrate customer complaint arrangements that address public consultation before proceeding with a design proposal as well as the period immediately after completion of the constructed works. Note that the intent of this question is to ensure customer complaint processes include the times either side of construction as well as the actual construction phase. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ 10A -Document Has the firm documented procedures for client approval of preventive actions? √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 5 Edition No. 1 Draft Section 13 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.14 CORRECTIVE & PREVENTIVE ACTION Sub-Contractors Only General 10B -Implement Show evidence to demonstrate government wide and client specific procedural arrangements for dealing with system, product, process or service nonconforrmance that interact with government procedures inclusive of government (purchaser) supplied items. Note. Auditors are to ensure management review procedural arrangements are in place to cater for changes to government and client procedures. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ 11A -Document Has the firm documented procedures that address the firm’s potential liability for non-conformance? √ 10B -Implement Show procedural evidence that demonstrates an ability to develop service agreement, memorandum of understanding or similar formal arrangements that address indemnity for matters related to professional indemnity insurance exclusions (such as negligence). Note. The auditor should sight, in part, procedural arrangements that enable clients to sign off nonconforrmance as legitimate variations (to, for example, terms of engagement or contract conditions /requirements) or for some form of re-work that is not a variation funded by the client. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 5 Edition No. 1 Draft Section 13 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.14 CORRECTIVE & PREVENTIVE ACTION Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H4/T4 less total C’s *PASS or FAIL C H3/T1 D 0 (*Delete as required) Total number of Corrective & Preventive Action questions = (H)ead =14 /(T)rade = 7 Head Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Corrective & Preventive Action questions = 8 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 5 Edition No. 1 Draft Section 14 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.16 CONTROL OF QUALITY RECORDS Sub-Contractors Only 1A -Document Has the firm documented procedures for identification, collection, indexing, access, filing, storage, maintenance and disposition of quality records? √ 1B -Implement Show evidence that demonstrate the document & data control arrangements address the control of quality records. Note. Auditors are to pay particular attention to the length of (statutory and contractual) time records are maintained, whether in paper medium or electronic medium. √ 2A -Document Has the firm documented procedures for recording effective operation of the quality system? √ 2B -Implement Show evidence that demonstrate the control of records addresses system level records, such as; • quality manual, • procedures, • internal audit schedules and reports, • management review agenda and recorded actions, • corrective and preventive actions, and • staff and contract employee training records. Note. Auditors should not treat these points as comprising a finite listing of matters to be addressed. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 5 Edition No. 1 Draft Section 14 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.16 CONTROL OF QUALITY RECORDS Sub-Contractors Only 3A -Document Has the firm documented procedures for recording achievement of specified requirements? √ 3B -Implement Show evidence that demonstrate the control of records addresses process and project level records, such as; • contract reviews inclusive of contract addenda, • project quality plans, • design reviews including those associated with design verification and design validation, • project audit schedules and reports, • corrective and preventive action registers, • non-conforming product reviews including concessions and waivers, • survey, inspection and test results, and • (performance) records of preferred suppliers and products including unsuitable purchaser supplied products and audit traces for products under positive recall procedures. Note. Auditors should not treat these points as comprising a finite listing of matters to be addressed. √ 4A -Document Has the firm documented procedures for recording claims for services rendered by suppliers? √ 4B -Implement Show evidence to demonstrate records are maintained of project related invoices, works in progress claims for payment (inclusive of certification – that work has been undertaken and met requirements) and verification that claims have been satisfactorily resolved /paid. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 5 Edition No. 1 Draft Section 14 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.16 CONTROL OF QUALITY RECORDS Sub-Contractors Only 5A -Document Has the firm documented procedures for recording (storing and indexing) quality records of suppliers and sub-suppliers? √ 5B -Implement Show evidence to demonstrate that quality records of service providers and contractors are available and complete prior to project hand-over /practical completion /final inspection, that enables product acceptance /commissioning. √ 6A -Document Has the firm documented procedures for recording and submitting of contractually required records to the client and /or for client review? √ 6B -Implement Show evidence to demonstrate; • maintenance manuals, • warranty documents, • manufacturers handbooks, • works as executed drawings, • post occupancy evaluations, • asset register information inclusive of ‘final certificates’ and capital costs, and similar records are passed to and receipted for by the client. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 5 Edition No. 1 Draft Section 14 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.16 CONTROL OF QUALITY RECORDS Sub-Contractors Only 7A -Document Has the firm documented procedures for co-ordination, with clients, control (retention and ownership) of quality records from suppliers and subsupplliers √ 7B -Implement Show evidence to demonstrate that the arrangements for compilation, distribution, retention and retrieval of quality records inclusive of intellectual property rights are disseminated to and acknowledged by client stakeholders, suppliers and sub-suppliers. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ 8A -Document Has the firm documented procedures for identification and distribution of quality records to programme /project stakeholders? √ 8B -Implement Show evidence to demonstrate validation of programme /project quality records that; • identifies all supplier /sub-supplier key players and their roles in the project, • identifies in the firm’s document and data control system all fully amended works as executed drawings and associated documents, • identifies in the firm’s document and data control system copies of quality records that have been disseminated to and identify client stakeholders. Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 5 Edition No. 1 Draft Section 14 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.16 CONTROL OF QUALITY RECORDS Sub-Contractors Only Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B H6/T3 less total C’s *PASS or FAIL C H3/T1 D 0 (*Delete as required) Total number of Control Of Quality Records questions = (H)ead = 12 /(T)rade = 6 Head Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B Nil *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Control Of Quality Records questions = 4 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 4 Edition No. 1 Draft Section 15 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.17 INTERNAL QUALITY AUDITS Sub-Contractors Only 1A -Document Has the firm documented procedures that address the planning and undertaking of internal quality audits? √ 1B -Implement Show evidence to demonstrate system and project audit schedules and plans for all current activities are in place. (Firms should be aware of the audit requirements contained in AS3911 and ISO14011). Note. Auditors, as well as assessing the adequacy of a firm’s planned audits, are to assess the frequency of audits for each activity. The significance and status of an activity will determine the frequency of its audit. √ 2A -Document Has the firm assigned suitable (trained) personnel to undertake system and project audits? √ 2B -Implement Show evidence to demonstrate assigned personnel have requisite auditing skills and that they function independently of those personnel having responsibility for the work to be audited. Note. Principals of sole trader and similar small firms may audit their own work, subject to documented procedures being in place that directs this circumstance be notified to prospective clients. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 4 Edition No. 1 Draft Section 15 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.17 INTERNAL QUALITY AUDITS Sub-Contractors Only 3A -Document Has the firm documented procedural guidance for auditors in setting up audit plans? √ 3B -Implement Show evidence of procedural guidance that in identifying what is to be audited addresses the following matters; • system documentation which adequately defines the firm’s core activities, • project documentation that pays significant attention to quality plan (critical) hold point activities and associated witness points, • documented procedures that are practical, understood and followed, and • training of staff and contract employees working on projects is adequate. √ 4A -Document Does the firm keep records of past internal audits and what documented procedures address the maintenance (for a period) of audit reports? √ 4B -Implement Show evidence of records retained and demonstrate these; • accord with audit schedules, and • are maintained for the period(s) of time showing in documented procedures ‘document & data control’ and ‘internal quality audits’. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 4 Edition No. 1 Draft Section 15 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.17 INTERNAL QUALITY AUDITS Sub-Contractors Only 5A -Document Does the firm have internal audit reports that demonstrate conformance with audit procedures? √ 5B -Implement Show evidence of recent internal audit reports that demonstrate actions in the following areas; • identification of deficiencies, • corrective and /or preventive actions drawn to the attention of responsible personnel inclusive of time scales for resolution or positive response, • recommended actions (from audit reports) become the subject of management review agenda items √ 6A -Document Has the firm documented procedures for initiating and undertaking follow up audits and non-scheduled audits? √ 6B -Implement Show evidence to demonstrate; • follow up audits are undertaken to assess the suitability of earlier recommended corrective and preventive actions, and • non-scheduled audits (or the management arrangements for potential non-scheduled audits) are undertaken when unforeseen breakdowns occur in the firm’s quality system and individual project quality plans /processes. √ 7A -Document Has the firm documented procedures that ensure clients /superintendents are aware internal quality audits are undertaken as planned? √ 7B -Implement Show evidence that demonstrate active internal audit schedules can be or are made available to prospective and current clients /superintendents. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 4 Edition No. 1 Draft Section 15 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.17 INTERNAL QUALITY AUDITS Sub-Contractors Only 8A -Document Has the firm documented procedures that address the internal auditing of system aspects that interact with clients /superintendents activities? √ 8B -Implement Show evidence to demonstrate that positive changes stemming from internal audit activities are made known to clients /superintendents, to re-assure them of an active continuous improvement programme. √ Scoring sub-total for this Page Head, Trade & Sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B 0 *PASS or FAIL C 0 D 0 (*Delete as required) Total number of Internal Quality Audits questions = 0 Head Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B 6 less total C’s *PASS or FAIL C 4 D Nil (*Delete as required) Total number of Internal Quality Audits questions = 16 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 4 Edition No. 1 Draft Section 15 ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 1 of 5 Edition No. 1 Draft Section 16 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.18 TRAINING Sub-Contractors Only 1A -Document Has your firm documented procedures that address professional development, technical, administrative and audit training? √ 1B -Implement Show evidence to demonstrate the firm addresses all types of training that are relevant to the business; for managerial, technical and support functions, whether they be salaried staff or contract (itinerant) employees. Note. Auditors should sight training programmes /plans and assess these against the training policy. √ 2A -Document Has the firm documented procedures for induction training? √ 2B -Implement Show evidence to demonstrate induction training is undertaken in respect of; • the firm’s quality management system, and • the firm’s project management processes. √ 3A -Document Has the firm documented procedures for rehabilitation and re-deployment /re-settlement training? √ 3B -Implement Show evidence to demonstrate the firm’s workplace based rehabilitation support policy for injured staff /employees includes redeployment and /or re-settlement training provisions. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 2 of 5 Edition No. 1 Draft Section 16 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document‘ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.18 TRAINING Sub-Contractors Only 4A -Document Has the firm documented procedures that enable cross matching of skills against functional needs? √ 4B -Implement Show evidence to demonstrate cross matching arrangements at both system and project levels that address; • academic qualifications, skilled experience and ongooin training to fill identified positions, and • training needs of specified personnel for assigned (project) tasks √ 5A -Document Has the firm documented procedures for the recording of all internal and external training undertaken? √ 5B -Implement Show evidence of training and qualification records for management, staff and (itinerant) employees inclusive of their maintenance for the period(s) specified in the documented procedures. Note. Auditors are to seek evidence of professional development activities where it is appropriate to do so. √ 6A -Document Has the firm documented procedures for maintaining license details and qualifications of suppliers? √ 6B -Implement Show evidence that demonstrates license /qualification /registration details of preferred suppliers are maintained in suppliers performance profiles. Note that the purpose of this question is to cross reference the purchase of a supplier and any induction or other training – that may be combined with that for salaried staff, for example, training associated with occupational health safety & rehabilitation and environmental matters. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 3 of 5 Edition No. 1 Draft Section 16 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.18 TRAINING Sub-Contractors Only 7A -Document Has the firm documented procedures that address the training needs of those personnel who assign work, to ensure that they are always capable of assessing the suitability of staff /employees for particular tasks? √ 7B -Implement Show evidence of training undertaken by employers /managers in the areas of their functional responsibilities. √ 8A -Document Has the firm documented procedures for the training of quality representatives? √ 8B -Implement Show evidence of IRCA /QSA academic training and /or auditor registration that shows suitability of designated personnel for internal and external auditor duties. √ 9A -Document Has the firm documented procedures for general awareness training of all staff? √ 9B -Implement Show evidence of general awareness training including refresher and induction training that encompasses quality, occupational health safety & rehabilitation and environmental management. √ 10A -Document Has the firm documented procedures for maintaining of audit logs? √ 10B -Implement Show evidence that designated auditors maintain logs of internal and external audits undertaken of service providers and sub-contractors. Note. Auditors may wish to use logs for verification of ‘internal quality audit’ schedules. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 4 of 5 Edition No. 1 Draft Section 16 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.18 TRAINING Sub-Contractors Only 11A -Document Has the firm documented procedures that cater for changes in staff and the affect this will have on assigned tasks? √ 11A -Implement Show evidence to demonstrate that where there are changes in key personnel, clients are notified of these changes inclusive of their acceptance to these changes. Note. Auditors need to be aware that government clients in accepting a supplier for an engagement, does so on the basis of their approval for the supervision team. (Wholesale staff changes could give rise to a client terminating an engagement). Note. Auditors are prohibited from giving a pass mark to this question where the above matters cannot be satisfied. √ 12A -Document Has the firm documented procedures for training the client as part of hand-over /commissioning activities? √ 12B -Implement Show evidence to demonstrate working arrangements that can be activated for client training or alternatively have previously been used for client training. Auditors note that clients are considered to be ‘performing activities affecting quality’ when maintaining or operating a built project – in the defects liability (and /or maintenance) period – which period of activity remains covered by a supplier’s contract and associated project quality plan. √ Scoring sub-total for this Page 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance. ACT GOVERNMENT Doc. No. ACTCL631(CIP) Revision No. 0 Page 5 of 5 Edition No. 1 Draft Section 16 AS /NZS 9001 Clauses & PRELIMINARY & SUBSTANTIAL AUDIT CHECKLIST FOR (TRADITIONAL) CONTRACTORS Preliminary = compliance with ‘document’ and limited compliance with ‘implement’ questions /Substantial = compliance with ‘document’ and ‘implement’ questions Rating2 Questions Questions Head Trade & Head Contractors Commentary D C B A 4.18 TRAINING Sub-Contractors Only Head, Trade & sub-Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B 9 less total C’s *PASS or FAIL C 4 D 0 (*Delete as required) Total number of Training questions = 20 Head Contractors sub-Totals for: P1 P2 P3 P4 P5 P6 P7 P8 P9 P10 Totals Permitted non-Conformances ELEMENT A No limit B 1 less total C’s *PASS or FAIL C Nil D Nil (*Delete as required) Total number of Training questions = 4 2 A = No deficiencies /B = Minor deficiencies /C = Significant deficiencies /D = No significant compliance.