Scope of Audit

  • Comments:

Opening meeting

  • Complete attendance register

  • Signatures of attendees:

  • Objectives of the audit.
    -Not to reject the system
    -re-currence may point to system failure
    - cant cover all aspects.
    -where no non-conformance detected does not mean non exist sample of activities

  • Review of audit programme:

  • Review of audit programme:

  • Company representative :

  • Company representative :

  • Function of company representative:

  • Time of closing meeting:

  • Confidentiality:

  • Reasons for aborting audit:

  • Scoring

  • Audit scoring legend: 0 = Not addressed at all 1 = No evidence of effective application ( even if implemented) 2 = Implemented / partly implemented 3 = implemented -partly implemented 4 = fully implemented and effectively applied

  • Clarification of findings: 0 = Red (No) - System deficiency - action plan approved and monitored by SHEQ department 1 = Red (No) - Finding - (<5 requires action plan) 2 = Red (No) - Finding 3 = Red (No) - Observation 4 = Green (yes) - conforming - No finding

  • Invite questions:

  • Comments:

Overview of Project

  • Customer:

  • Project site and location:

  • Construction Manager:

  • Project Start Date:

  • Project End Date:

  • Scope of work:

Project Management

  • Are Contract Requirements available on site?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are applicable Standards & Specs on site?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Project Quality Plan approved and available?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Inspection & Test Plans Approved and available

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the Project Program approved and lates revision available and communicated?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Quality Policy Available and displayed and communicated to personnel?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Company objectives available and communicated to personnel?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are Project objectives defined and communicated?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are Client or Engineer /Contractor interface and communication systems defined and effective?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is Organogram available and up to date?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are proof of competency and training records available?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Final Comments:

Document control requirements

  • Are Management Procedures available on site?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are all files with relevant records identified and maintained?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Was responsibility for Control of documents formally allocated?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the Drawings Register with applicable drawings available and up to date?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Distribution registers for drawings on site where applicable? Transmittals up to date and accurate?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Drawing distribution control applied and effective? Do control stamps include Controlled copy /recipient / control no / date?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Document Register for all applicable documentation on site compiled, including where doc’s kept and responsibility?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is an External Document Register compiled and up to date?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are records reviewed and monitored to ensure they are fully completed and signed off?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are completed records available for signing off of ITP’s at prescribed intervention levels?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Was DATA Book index discussed with and approved by the client?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Final comments:

Quality Control Requirements

  • Register for all applicable ITP’sprepared?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are Sub contractor works also included on the IT register?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are the Applicable specifications and / or standards correctly referred to on the ITP’s?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are ITP’s prepared and approved by the Engineer or Client?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are the applicable Specifications or Standards or control limits correctly indicated on the QC Plans?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are all required items covered in ITP’s?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are Intervention Hold points indicated for
    - Contractor
    - Engineer
    - Client

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Inspection & Test Plans (ITP’s) approved by
    - COMPANY NAME Responsible person
    - Engineer
    - Client

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are Intervention Hold Points signed off in real time when required by all applicable parties?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are records effectively identified on the ITP’s and completed update / on time as applicable?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are records effectively completed, signed, dated and referenced per requirements?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are records traceable to elements and items as applicable?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are records traceable to Engineer’s references (if applicable)?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are aQuality Control Data Pack or Dossier index and files prepared and records filed accordingly?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the QC Data pack index agreed and approved by the Engineer or Client?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are Daily rainfall measurements recorded?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are daily temperatures measured and recorded?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are the cube curing tank temperatures monitored and recorded (where applicable)

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Final Comments:

Purchasing Requirements:

  • Is the Purchasing procedure on site?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • List of authorised signatories for requisitions on site?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are order requirements formalized by means of authorized Purchase Order Requisitions and then executed via Procurement Department at HO?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were Allowables identified and completed on Purchase Requisitions?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Supplied materials / items checked, verified, approved by Site QA or Site Engineer?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were Test certificates obtained as required for individual batched of materials?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are test certificates reviewed and verified or approved by a competent person on site?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were Inspections planned / arranged at suppliers for pre-manufactured items as applicable?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were Corrective Actions raised on quality problems found with supplied materials or items?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Was the batch plant evaluated or audited to ensure effective control?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were requirements for batch plant verified with QA Manager?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are test laboratories utilised by COMPANY NAME for this project assessed / audited?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were requirements for laboratory verified with QA Manager?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were suppliers / sub contractors identified and recorded on the Approved Suppliers register?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the service delivery from suppliers and sub contractors assessments recorded on the applicable documentation?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are control measures in place for sub-contractors by means of: ITP’s or Inspections Checklists?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the sub – contractors work inspected and approved by a competent person:

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were hold points identified and approved

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are evaluations and report back on suppliers and sub contractors communicated to HO by means of monthly reports?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Final comments:

Stock Control

  • Are stock items suitably identified

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are storage areas well controlled & does it prevent deterioration.

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are receiving and issuing of stock recorded?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Final Comments:

Monitoring and Measuring Requirements

  • Is a register of all Monitoring & Measuring equipment available and complete?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is the Date on / off site recorded?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are History cards compiled for all equipment?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are Valid calibration certificates available where required

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a procedure available for control of monitoring &Measuring Equipment?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Status Check records available and update

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Final comments:

Control of NC product requirements

  • Are formal procedures for Control Of NC Product ,Corrective and Preventive Action available?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were Action Requests raised?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a register kept?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were corrective actions implemented and recorded on nonconformities.

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action; were root causes identified?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective action; Were actions planned to address root cause to prevent recurrence of nonconformities.

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Corrective Action: Were implementation and effectiveness of stated corrective action verified?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were Customer complaints (verbal, per correspondence or formal NCR) recorded on Action Requests

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were problems with supplied materials / Items / equipment recorded on Action Requests?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were Concessions recorded on a concession register and forms

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Were corrective actions, follow-ups & approvals for concessions obtained?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Final Comments:

Plant and Equipment

  • Were all plant & equipment identified on a register

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Is a planned maintenance schedule available?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are records available for repairs and maintenance on all plant & equipment?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Final Comments:

General

  • Communication: QA/QC requirements communicated on site to applicable personnel by means of Quality Meetings, Toolbox talks, etc.?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Was and Internal Audit Schedule agreed with QA Manager?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Does Monthly Reporting regarding Quality Aspects take place as per standard requirements?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Project Performance (Client feedback questionnaire) submitted?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Are monthly Quality Reports submitted to HO as input for Management Reviews?

  • 4 - fully implemented and apply 3 - implemented partly elective 2 - implemented / partly implemented -not satisfactory 1 - no evidence of effective application (even if implemented) 0 - not addressed at all

  • Final Comments:

Summary of audit report:

  • Summary of total score:

  • List non-conformances:

  • List points / areas / clauses for improvement/s:

  • List observations:

Purposed corrective action dates:

  • Purposed corrective action dates:

Signatures

  • Auditor's signature

  • Construction Managers signature

  • Lead Auditor signatures

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