Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
5 Management Responsibility
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Handwritten notes
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5.1 (a) Has executive management established and documented a Quality policy?
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5.1 (b) Have measurable Quality goals been established and measured to a baseline?
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5.2 Have Management reviews taken place and include all required bullet points?
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5.3 Has a Management Representative been appointed and does their duties include all of the bullet points?
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5.4 Have adequate resources been provided which include personnel, buildings, workspace, equipment and utilities?
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5.5 Have appropriate lines of communication regarding the effectiveness of the QMS been established?
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5.6 Have the documentation requirements for an effective QMS been established, maintained and approved?
6. Contract and Project Specification Review and Communication.
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6. Is there an approved documented procedure for contract and spec review?
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6. Are there records for audit samples of these reviews?
7. Detailing
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Handwritten notes
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7.1.1 Is there an approved documented procedure for preparation of shop & erection dwgs?
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7.1.1 Is there a effective RFI process in place?
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7.1.2 Are detailing standards which include all bullet points of the standard being effectively utilized?
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7.1.3.1 Is there an approved documented procedure for Checking of shop & erection dwgs?
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7.1.3.1 Does it identification of method to verify output of computer generated dwgs and or models?
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7.1.3.1 Does it include (if applicable) extent of review of sub-contracted detailed dwgs?
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7.2.1 Are required references maintained per section 3?
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7.2.2.1 Has the responsibilities for detailing management been assigned to a qualified representative within the organization?
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7.2.2.2 Are qualifications of personnel utilized for detailing and Checking verifiable?
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7.2.2.3 Are qualifications of personnel utilized for connection design verifiable?
8. Document and Data Control (Review, Approval, Revision, Access, Obsolescence and Transmittal0
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8. Is there an approved documented procedure for document and data control?
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8.1 Are QMS documents reviewed for adequacy and approved by the appropriate level of authority?
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8.2 Are customer requirement revisions controled and distributed to necessary departments?
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8.3 Is there a revision control process for QMS documents?
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8.4 Do personnel have access to relevant and current procedures and policies?
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8.5 Is there an effective method established to prevent inadvertent use of obsolescent controlled documents?
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8.5 Is there a transmittal system established for controlled documents?
9. Control of Quality Records - (Identification, Collection, Storage, Retrieval, Maintenance, Retention, Disposition)
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9. Is there an approved documented procedure for the control of Quality records?
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9.1 Are retention times recorded and maintained?
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9.2 Are Quality records made available?
10. Purchasing
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10. Is there an approved documented procedure for purchasing?
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10.1 Is purchasing data clearly described on PO documents?
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10.2 is there an selection and evaluation process and is there a procedure and records maintained?
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10.2.1 Do fabrication subcontractors have the required certification?
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10.2.2 Are detailing subcontractors evaluated and is this process defined and records maintained?
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10.3 Is verification of purchased items under control and are records maintained as required by procedure?
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10.4 Are customers given access to verification of fabricated items?
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10.5 Is there a procedure for customer supplied material and is it being followed?
11. Material Identification
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11. Is there an approved documented procedure for material identification? Per AISC COSP and is it being followed?
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11. Are processes and records maintained Per AISC COSP (is there a process i place to verify MTR prior to first fabrication process taking place?)
12. Fabrication process control
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12. Are there approved procedures in place for fabrication processes including "special processes" done at the facility?
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12.1 is there an approved welding procedure in place that includes records of:<br>WPS (per code)<br>Preheat<br>PQR (where req)<br>WQTR<br>Welder POE
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WPS - Welding procedure specification per applicable code(s)
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Pre-heat / post heat requirements
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PQR-where required
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WQTR-welder qualification test records
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WPQR POE welder performance qualification records, evidence that the period of effectiveness has not expired (continuity)
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12.2 Bolt installation
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12.2 Is there an approved documented procedure for bolt installation which includes the fabricators Pre installation verification testing preferred method for pretensioned and slip critical joints?
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12.3 Is there an approved procedure and process in place and being followed for material preparations or to application of coatings?
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12.4 Is there an approved procedure and process in place and being followed for coating application?
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12.5 Is there an approved procedure and process in place and being followed for equipment maintenance, including preventive maintenance?
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SPE 12 application records?
13. Inspection and testing
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<br>13. Are there approved procedures and processes in place and being followed, including sampling plans, for inspection?
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13.1 Have qualified personnel been assigned inspection duties?
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13.2.1 Is receiving inspection carried out? are there indications of this process?
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13.2.2 Are there appropriate in-process inspections carried out? are there indications of this process?
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13.2.3 Is appropriate final inspections carried out? are they documeted?
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13.2.4 Are records and methods for recording final inspection and are they verifiable?
14 Calibration of inspection and test equipment
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14. Are there approved procedures in place for calibration of inspection and test equipment?
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14. Does the process and records indicate all of the bullet points required by the standard for each of the pieces of equipment?
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14. Are there records of master gages where indicated traceable to NIST?
15. Control of Non-Conformances
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15. Is there an approved procedure in place for the control of non-conformances?
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15. Are non-conformances being recorded?
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15.1 Do the procedures contain a provision for non-conforming processes?
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15.2 Are there methods to record non-conforming product and keep them from reaching the customer?
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15.3 Is there a material dispositioning process including engineering approval where required?
16. Corrective Action
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16. Is there an approved procedure in place for Corrective Action?
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16 Does the CA procedure include all of the bullet points of the standard?
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16. Is the CA process applied at the times indicated by the bullet points of the standard?
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16. Are records of CA maintained at least until an annual MR takes place?
17. Handling, Storage, and Delivery of Product and Materials
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17. Are materials and product stored and shipped with care required by contract?
18. Training
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18. Do the records indicate the subject matter topics, qualified person providing the training, who attended and date of training?
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18. Is there a record of comprehension of subject matter (desirable)?
19. Internal Audit
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19. Has an internal audit been conducted by a qualified individual?
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19. Does the record indicate findings and are these incorporated into the CA process?
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19. Is the record of the IA maintained at least until the annual MR?
