Audit Checklist

Section 1:
Yes No Comments/Actions Reference
Management Responsibility (Corporate/ Project Management)
1 Policies
How do the Policies communicated to all staff ?
How well are the staff aware of Quality Policies?
2 Project Objectives and targets
Have project objectives and KPI's been established?
Are Objectives SMART (Specific, Measureable, Achievable, Realistics and Time
bond) ?
Are set objectives & KPI's communicated to staff?
Which methods to be deployed to achieve set objectives & targets?
How are objectives and KPI's targets monitored and achieved ?
Are Objectives & KPI's reviewed at planned intervals?
3 Levels of Authority Matrix
Has project Levels of Authority Matrix been prepared, approved and distributed to
concerned personnel?
Is the Project Levels of Authority Matrix approved by Project Director?
Is the project Levels of Authority Matrix kept up to date?
Do the signatures on sample documents in line with the respective authority
stated in the approved Level of Authority Matrix?
4 Organisation chart & Job Description
Is Project Organisation Chart established and kept up-to-date? ? Is revision
clearly stated in the Org Chart?
Is the Org Chart signed off by Project Director?
How is organisation chart communicated to all staff?
Do all project staff have a Job Desciption?
Do JD's reflect the current job profile of staff?
Are designations in the JD's reflected in the Organisation Chart?
5 Management Representative & QA resources
Do Project have a Management Representative responsible for the development
and improvement of the Project QMS?
Does Management Representative have appropriate experience & knowledge
about Quality Management Systems?
Are QA/QC auditors/ Inspectors qualified to conduct audit/ inspection?
6 Top Management Commitment
How does Top Management demonstrate their commitment towards implementing
project QMS
Does project Top Management attend the Project Management Review Meeting?

Is project Top Management involved in internal audit process?

Does Project Management provide sufficient QA/QC resources and supports to
ensure the QMS is effectively implemented?
Is appropriate communication channel established between Project Management
Systems representative and project staff in terms of improving the effectiveness
of project QMS?
7 Project Monthly Report
Are Project Monthly Reports prepared and submitted on time?
Are the Quality issues, addressed in the report and reviewed in the Project
Monthly Review Meeting?
Section 2:
Yes No Comments/Actions Reference
Planning
Describe the Planning activies at the project?
Is the Contract Schedule established based on the the Final Tender Project
Schedule?
Is software used for planning activities?
Are the below schedules prepared for project ?
- Baseline Schedule
- Target/ Construction Schedule
- Current (Working) Schedule
- Short Term schedule
- Stretch Target Schedule (to be prepared at the discretion of the Project
Director)

Are Key Performance Indicator’s (KPI’s) for a project identified and monitored?

Is project actual progress in line with planned progress?

How often are Progress measurements undertaken for all works in progress?

Desribe the process of review of work programme for Vendors?

Page 1 of 8
Section 3:
Yes No Comments/Actions Reference
Documentation (Document Administration & IT)
1 Document Management
Are As-built documents identified at the beginning of project as per contractual
requirements and properly stored and controlled at proper location?

Is Project Master Document Register (Project Deliverable Schedule) maintained

and updated to captures the progress of project key documents?

Is Project Transmittal Register established and maintained throughout the project

to keep track of document / drawing details that are being transmitted to external
parties? (Is the transmision via EDMS or Excel Sheet)

Describe the process of transmitting documents/ drawings?

Is Document Distribution Matrix established at the project start up stage to

ensure right document reach the concerned person in a timely and
controlled manner?
Is Technical Query Register (or RFI register) established and maintained (in
EMDS)?
Is Design Change Request Register established and maintained?
Is Vendor Document Register established and maintained to manage the vendor
document submission schedule?
Are Hard Copy Folders labelled as per Company Standard format?
Describe the process of controlling and retrieving of obsolete technical
documents i.e. WMS, Drawings?
2 Control of Correpondences
Are incomming & outgoing correspondences recorded in a Register?
Do the outgoing correspondences have reference numbers?
Are the outgoing correspondences signed off by Project Director or his
nominated?
3 Control of Technical Documents
Describe the overall process of controlling technical documents/ drawings?

Is the Inter Disciplinary Review process properly implemented at project?

Is the flowchart for controlling technical Documents/ drawings developed and
approved?
Are Document number and revision issued as per project approved numbering
systems and in complying with Corporate DCM procedures?
Are master copy of Technical Documents and drawings kept and maintained in
proper location by the Document Controller?
Are superseded documents identified and stamped “superseded”?
Are all superseded documents removed from site? Are Site person using the
latest technical documents and drawings?
Do the technical documents/ drawings circulated to the right staff as identified in
the Document Distribution Matrix?
Are all users advised of the cancelled drawings? Are cancelled drawings stamped
"CANCELLED"?

Section 4:
Yes No Comments/Actions Reference
Engineering
1 Engineering Management
Is the been documented and approved?
Does the detail the specific requirements associated with the Project?
Does the detail the Engineering activities that are required to support the
Construction of the project?
Are parties responsible for providing the Construction Support are identified (i.e.
Internal Engineering resources and external consultant resources?

Are the Testing and Commissioning Procedures reviewed by Enginnering

Department?
Are Inspection and Test Plans (ITPs) and Work Method Statements (WMS) are
reviewed by Engineering Department?
How is Design Team Meetings planned and conducted? is MOM prepared for
tracking purpose?
How are Internal Design Running Actions managed? Is the Internal Design
Running Action Item List developed and maintained?
Are CAD Manual / Procedures available at Engineering Department?
Does Enginering personnel witness and verify the testing and commissioning
results?

Page 2 of 8
2 Consultant
Does the Engineering Design Responsibility Matrix / Schedule developed and
approved?
Is the Engineering Coordinator assigned to the works with a Lead Consultant?

Is Engineering Responsibility Matrix reviewed by Design Coordinator and

Commercial Manager? (Engineering Respoinsiblity Matrix shall be compatible
with the project sub-contract and vendor packages which include elements of
design etc. so as to ensure that all project design works are adequately covered.)

Is Design Engineering Brief prepared and approved and sent to Consultant?

Is the technical review / analysis conducted for the various Consultants'

proposals
Is Engineering Consultant selection process in compliance with Sub-Contractors
& Suppliers procedure?
Is the Consultancy Agreement signed off for selected Consultants?
Does The selected Consultants submit the Project Design Plan to Design
Coordinator for approval?
How does Engineering department monitor and control Consultants Engineering
Deliverables and Key Document Submission Schedule?
3 Statutory Approvals
Is Regulatory and Statutory Approval Matrix documented and agreed to by the
Design Coordinator and the Client at the early stage of the project?
Is the status of the Regulatory and Statutory approvals processes reported in the
Project Monthly Report.
Are meetings held on a regular basis to discuss the status of all necessary
Regulatory and Statutory approvals, application, requirements?
Are Statutory Approvals requirements notifed to Vendors and Sub Contractors
for them to co-ordinate the design and execution of his works with all Statutory
Authorities?
Are the Regulatory and Statutory Approvals Status integrated into the Project
Completion Plan?
Is authorised personnel identified to maintain all correspondence, to and from the
respective Regulatory and Statutory bodies?
Is the final approval associated with the issuance of the certificate of occupation
properly filed and kept in secured location?
4 Interface Management
Is the Project Interface Plan developed to detail the procedures for managing the
interface on a project? Is it approved ?
Does The Interface Plan define the interfaces between all parties?
How is interfaces with all internal and external party stakeholders managed?

Are Interface Review Meetings hold on regular basis?

Is Interface Coordinator assigned for project?
5 Desgin Coordination
Is the Engineering Deliverables list determined at the Front End Engineering
Design (FEED) / Conceptual Engineering phase of a project, including all
necessary coordination documentation to ensure that adequate coordination of
the works across all disciplines is satisfactorily implemented?

Are Engineering Deliverables, including those associated with the design

coordination works, are identified in the project schedule?
Are Design Coordination meetings conducted at regular basis and MOM is
prepared?
How are Coordinated Services Drawings managed?
Is Coordination Documentation developed for ‘Phased Handover
Requirements’?
Describe the Constructability Reviews process? Which incorporate tools are
used to aid in performing constructability reviews?
Describe the Maintenance and Operability Reviews process (If applicable)?

Describe the Testing and Commissioning Reviews process?

Page 3 of 8
 6 Engineering Drawings
Which software is used to generate Engineering drawings? (CAD)
Is the software validated? And how often?

Is the drawing number identified and documented in compliance with Client

requirements?
Is Drawing revision system identified and documented?

Is ‘As-Built’ recorded in the Revision History Box for all As Built drawings?
Is final drawings signed off by consultants, vendors, manufacturers or specialist
contractors from whom the drawing is generated?
7 Design Review & Verification
Do consultant/ Subcontractors conduct design review? Do they submit design
review documents as verification that the internal review has been conducted and
that the Client’s requirements are met?
Are The Consultants, Sub-Contractors or Vendors representatives sign on the
review documents?
How is deviation from Clients requirements captured and managed?
Is Deviation Request Register maintained?
Have The Internal Design Review (IDR)frequency been determined by the project
Design Coordinator?
Is a matrix developed detailing all those who will participate in the IDR Process?

Does project Design Coordinator undertake a detailed review and verification of

all Engineering Deliverables received from the Consultants, Subcontractors or
Vendors?
Describe the Inter Discipline Review process?
Are personnel involved in the IDR process identified?
How is Client Reviews process managed?
Are parties responsible for the issuing documentation to the Statutory or
Regulatory Authorities and obtaining the necessary approvals nominated?
Are Original approved copies placed by the Document Controller in secure file?

Are requirements for a Third Party review of the Engineering Design detailed?

Are the technical reviews and commercial reviews undertaken prior to

acceptance of the novation of Engineering Design / Acceptance of Design?

8 Design Safety Review

Is the Design Safety Review conducted during the FEED process for both new
project and Modification Works to Existing facilities and temporary work if
required?
Are A Preliminary Hazard Analysis (PHA) and detailed HAZOP Studies available
with Engineering Department?
Are findings documented and reports issued detailing the results and
recommendations as well as any corrective findings that are required to be
incorporated into the works?
Are participants selected from multiple discipline backgrounds and from a variety
of departments or specialties to ensure the effectiveness of the Design Safety
Review?
9 Design Change Control
Describe the Design Change Control proccess adopted for the project?
Is Design Change Request (DCR) generated for each request and DCR
register maintained?
10 Engineering Report
Is Engineering Progress Reported on weekly and monthly basis?
Do suppliers of Engineering Deliverables provide a weekly report describing the
status of the engineering activities in which they are engaged?

Are Supplier Meeting conducted on a regular basis and MOM is prepared to track
the status of identified issues?
11 As-Built Drawings
Is the ‘As-Built’ documentation list prepared and approved by Design
Coordinator?
How is the ‘As-Built’ documentation list communicated to the Consultants,
Subcontractors, Vendors, Manufacturers and Project staff?
Is the as-built drawings submission schedule monitored and tracked?
Are the Information in DCR incorporated in As-built drawings?
Is the progress of the ‘As-Built’ documentation reported in the Monthly Report?

12 Project Completion Engineering

Is the Project Completion - Engineering Submission Matrix prepared in
consultation with the Client?
Are the inspection, pre-commissioning, testing and commissioning activities that
are required for the project shall be included and monitored in the overall works
programme as milestone dates?
Do Vendors, Contractors and Manufacturers compile the Inspection, Testing and
Commissioning documentation for their work packages and submit them to the
Design Coordinator for review?
Is Handover items checklist is prepared?

Page 4 of 8
Section 5:
Yes No Comments/Actions Reference
Operations
1 Project Start Up
Was the Project Start-up Meeting conducted and MOM prepared?
Were the project Start-up activities planned properly?
2 Inspection, Measuring and Testing equipment
Is the Schedule of Equipment Calibration Requirements maintained?
Is each calibrated equipment identified by a unique number?
Are all calibrated testing, inspection and measuring equipment tracked by
registering
Are testing,ininspection
Calibrationand
Register?
measuring equipment calibrated as per
requirements/
Are Calibrationplanned?
Certificates displayed near the equipment?
Are the third party carried out the calibration qualified and authorised ?
4 Statutory and regulatory Authorities
Is an Authority Coordinator appointed to assist in interfaces with the Statutory
and Regulatory Authorities?
Is the project list of all applicable Statutory and Regulatory authorities and
contact points established and maintained?
Are any changes to legislation or regulations notified to Project Director and
concerned staff on time?
Is The nature, significance and impact of approvals by each Authority clearly
identified in notified Project Director?
Are All approval conditions relating to services, community and environmental
matters listed, monitored and their status regularly assessed and reported?
Are all occurrences, meetings, requirements, etc. related to statutory are
maintained and distributed regularly to all parties involved?
Are existing services are identified and on-site location verified before any project
activity commences?
Are the relocation of all services discussed and agreed with the relevant Authority
and the Client?
Are progress of approvals and inspection results tracked and notified to Project
Director & Concerned staff?
6 Project Completion Planning
Is the Project Completion Plan prepared?

Section 5:
Yes No Comments/Actions Reference
Measurement, Analysis and improvement (Quality & System)
1 Manegement Review Meeting
Is the Project Management Review held at planned intervals?
Do Project Sr. Management participate in the Project Management Review
Meeting?
Are the MRM's minuted and proposed actions tracked?
Are the identified points closed out within assigned timeframe?
Are project quality monthly reports submitted on time?
How to ensure data present in the Monthly report are correct?
2 Project Plans and Mgmnt System Documents
Are Project Management Plan and identified sub-plans prepared and signed off
by Project Director?
Does Project Management Plans reflect the project activities?
Has Project Quality Plan been developed and Quality Objectives identified?

Are project staff using latest version of corporate procedures and project SOP's?
Are Project SOP's, WMS and Project Management Plans communicated to
project staff?
Are project SOP's, WMS reviewed by Project Department Heads and approved
by Project Director?
How well do the staff understand their respective procedures?
3 Quality Audits

Is Internal Audit conducted and observations reported to Project Quality Head?

Is audit/ Inspection schedule established and maintained?
Are audits/ Inspections carried out as per approved Schedule?
Are auditors/ Inspectiors qualified to conduct audits?
Are identified nonconformance recorded in the NCR's and registered in the
Project NCR Register?
Are investigations conducted for NCR's?
Are NCR's closed out within time frame?
Is action plan prepared on the receipt of audit reports?
Are audit findings closed out in a timely manner?
Is the effectiveness of the corrective/ prevetive actions verified?
5 Management System Induction

Is the Management Systems Presentation reflect to current practice at project?

Are 100% staff undergone the Management Systems Induction?

Page 5 of 8
Is the training/ induction evaluation sheet filled in by attendants?

Page 6 of 8
 6 Customer Satisfaction
Are Customer feedback/compliants are monitored in the Client Feedback
Register?
Are issues raised by Client are responsed and closed out in time?
Are Project Customer Satisfation Surveys conducted on quarterly basis and
reported to Corporate via Quality Monthly Report and
Project Monthly Report?
Are issues raised in the Customer Satisfaction Surveys reviewed in the
Management Review Meetings and actions taken?
Are ITP's generated and approved by Client/ TPI for implementation during
construction phase?
Is Conformance Report generated for each activiity in the ITP?
Are Quality Costs measured and reported on a regular basis?
Is the Quality walk system established and the observations being recorded and
tracked?

Section 6:
Yes No Comments/Actions Reference
Commercial
3 Procurement/ Subcontract
Is the project Subcontractors/ Suppliers Register established and
maintained?
Is the Procurement Criteria identified for Project critical materials?
Is Subcontract & Procurement Schedule established and maintained?
Do the RFQ's clearly state the work requirements i.e. sepcification, Quality/HSE
requirements …etc.,?
Are the quotation of qualified Subcontractors/suppliers evaluated
(technical/ Commercial)?
Describe the technical evaluation process for suppliers/subcontractors
proposal? Are the technical evaluation conducted by concern Department
i.e. Quality, HSE, Engineering, Construction…etc.)
Are Pre-assessment visit/ inspections carried out for all major subcontractors/
Suppliers prior to awarding the contract? Are reports generated?

Is the approval process for Procurement/ Subcontract compliant? Are proper

forms used at all stage of the process?
Are the forms signed by authorised personnel as per Project Level of
Authority Matrix?
Are the performance evaluations carried out for all major Subcontractors/
Suppliers?
7 Risk Register
Describe the Risk Management process at Project?
Has a Project Risk Register been developed and updated on a regular basis?

Are all Department Heads envolved in the process of developing and reviewing
Project Risk Register?
Is the latest version of Project Risk Register communicated to all Department
Heads?
Are identified Risks notified to risk owners?
Does the Project Comemcial Manager ensure Risk owners taking actions to
mitigate/ close out the assigned risks within time frame?
Is Project risk/ opportunities included in the Project Progress Monthly Report for
Management Review Meeting?

Page 7 of 8
Section 7:
Yes No Comments/Actions Reference
Human Resource Management
1 HR Objectives/ Targets and staffing schedule
Have Project HR Objectives and KPI's been established and monitored?
Are objectives SMART?
What is the mechanism to monitor the status of achieving Set Objectives?

Is a project staffing schedule/ histogram in place to ensure staff being provided on

time?
2 Legal
Are applicale statutory and regulatory requirements identified and tracked?
3 Selection & Recruitment
Describe the recruitment process?
Do selected candidates have qualifications and experience match with the job
requirements?

4 Onboarding process
Are Onboarding presentations (including HR, HSE, Management
Systems, etc.,) prepared and up to date?

Page 8 of 8