Samples of Internal Audit Forms For Construction Company

Samples of Internal Audit Forms for Construction Company
PRE-QUALIFICATION AND BIDDING

PROJECT PLANNING AND CONTROL
PROCUREMENT
CONTRACT MANAGEMENT
1. Pre-qualification and Bidding
a. Estimation
(Name of Company Here)
INTERNAL QUALITY AUDIT CHECKLIST
Department/Process Description: ESTIMATION Auditor: Jose S. Date:

Villegas Jr.
Check Process Description Check / Question Satisfactory- Comments

No. Clause No. Yes/No
1. Preparation of Pre-qualification Please show me the pre-qualification

documents –QMSP-BD-01 6.1 related document, which you receive for
bidding purpose i.e. the following:
Invitation letter to submit pre-
qualification
b) Project Information
c) Details of the scope of work
d) Pre-qualification questionnaire
2. 6.3 Please show me an example of filled up

Pre-qualification filled-up questionnaire
i.e. company profile, banker references,
Project approach, etc.
3. 6.5 May I see the sample of Financial

statements and audited accounts reports
which normally you enclose with the
bidding documents?
4. WI-BD-01 Preparation of Technical Show me a list of Technical submittals

Submittal – Clause 4. you prepare complying with clause 4 of
WI-BD-01 i.e. Executive Summary,
Company Profile, Projects are
undertaken, and Resources.
2. Project Planning and Control
a. Project Planning and Control Audit 1
Department/Process Description: PROJECT PLANNING Auditor: Jose S. Date:

AND CONTROL Villegas Jr.

1. QMSP-PC-01 Project Initiation Project Manager / Director

Document – 6.2 Operation / Technical Manager
Once the Contract is awarded and the
documents are the received by Project
Manager, Technical Manager what do
you do? That is the preparation of shop
drawings, Budget preparation,
Planning, etc.
2. QMSP-PC-02 Project Planning – Planning Engineer

6.2.1 6.2.2 Show me the detailing required in the
final construction schedule and the
project milestones to be achieved, as
per the contract documents.
Work Breakdown Structure, Bar chart
CPM, etc.
3. QMSP-PC-03 – 6.5 Show me the manpower histogram,

Equipment Histogram, and approved
Base Line Program.
4. 6.2.9QMSP- PC-02 Please show me how do you distribute

the indirect cost over the entire
duration of the project including the
maintenance period and tabulate the
same month-wise, based on the project
construction schedule.
5. QMSP-PC-03 Project Manager / Director

Operation
Do you approve the Schedule prepared
by Planning Engineer?
6. Project Budget Preparation Show me the Project Budget.

b. Project Planning and Control Audit 2


1. QMSP-PC-03 – 6.6 Planning Engineer

Do you distribute copies of the approved
budget to procurement manager, the
project manager, cost control, and
Operation Director / EVP, and if
applicable, to technical manager (C&A)
and technical manager (E/M)? Provide me
an evidence?
c. Project Planning and Control Audit 3


1. QMSP-PC-04 Technical Manager

Preparation and Review and Please show me drawing submittal
Approval of Shop Drawings – 6.1.1 schedule in the database including the
status of the drawing submittal for any
project.
2. 6.1.5 Do you receive a copy of the construction
program from the project manager or
planning manager? Show me a copy?
3. 6.1.7 Do you prepare a shop drawings schedule

and finalize the dates with the project
manager? Show me a sample?
4. 6.1.8 Show me the format of Title Block as per

WI-PC-02.
5. 6.1.9 Do you review all documents (like

contract drawing, specification, and bill
of quantity) relevant to the preparation of
shop drawings? Show me a copy of those
document you review.
6. 6.1.11 Do you prepare a list of contract

drawings required, before starting the
preparation of shop drawings? Please
show me a sample.
7. 6.2.2 Review Do you review with the concerned

personnel i.e. your draftsmen, and
monitor the progress of drawing
preparation?
d. Project Planning and Control Audit 4


1. QMSP-PC-04 Preparation and Technical Manager

Review and Approval of Shop Please show me the report on the number of
Drawings – 6.3.3. Progress drawings completed and update the report status
Monitoring log, including final dates by which commented
drawings should be returned, and update the
drawing submittal schedule.
2. 6.5.2 Issuance of Shop drawings Do you review and sign the submittal form for
issuance of shop drawing?
3. 6.6 Do you maintain a drawing circulation list and

update it regularly and ensure that the previous
version of the drawing is withdrawn?
4. WI-PC-02 – 5.1 Title Block Show me a sample of Title Block you use in your
shop drawings
5. WI-PC-04 – 5 Do you have a unique number system you use in

all shop drawings?
6. WI-PC-03 Coordination of shop Please show me your records i.e. Coordination

drawings Log and the stamped drawings as “FOR
WI-PC-05 Drwg. and material COORDINATION”
submittal form Document Control
Please show me shop drawing and material
submittal form.
e. Project Planning and Control Audit 5


1. WI-PC-01 Quantity Survey / Finance Manager

Indirect Cost Breakdown Do you ensure that Indirect Cost
Breakdowns are calculated as per this
work instruction? Please provide me a
sample.
2. QMSP-PC-03 QS, Planning, Project Manager,

Project Budget Preparation Director Operations, Finance Manager,
6.1, 6.1.1, 6.1.2 Planning Engineer
Do you prepare direct cost break down
details for your respective scope of
responsibility i.e.?
– Bill of quantities with item-wise direct
cost breakdown showing manpower,
equipment, materials, subcontractor and
miscellaneous as applicable.
– Total Project requirement for Material,
Equipment, manpower, Sub-Contractors,
their scope of works etc.
– And the sum of both indirect cost and
direct cost which gives the budget for the
project
– Please show me an APPROVED
BUDGET, and that the copies are
distributed to procurement manager, the
project manager, cost control, and
Operation Director / EVP, and if
applicable, to the technical manager
(C&A) and technical manager (E/M).
3. Procurement
a. Procurement Process
Department/Process Description: PROCUREMENT Auditor: Jose S. Date:

Villegas Jr.

1. QMSP-PC-01 Procurement Director / Procurement

Procurement Process – 6.1 Manager / Officers
Show me the material submittal schedule
for each project.
2. 6.1.3 Please show me the dates by which

materials or services are required at the
site and do you forward this to the
relevant project Procurement staff and the
Project Manager.
3. 6.2.1 Show me few inquiry packages for each

material or service to be procured,
including specifications, drawings,
contractual requirements for inviting
quotations from Suppliers / Sub-
contractors.
4. 6.2.2 Show me a list or database of all approved
suppliers and sub-contractors.
5. 6.2.4 I would like to see a compilation of all

quotations and a commercial a
comparison statement, indicating any
commercial deviation between inquiry
package and the supplier’s or Sub
Contractor offer.
6. 6.3.1 Do you keep a record of final negotiation

with accepted suppliers / sub-contractors?
Show me the summarized report on above
and EVP approval.
b. Material Submittal and Client Approval

Villegas Jr.

1. QMSP-PR-02 Technical Manager / Procurement

Material Submittal and Client Manager / Division Head
Approval 6.1 Show me the Material Submittal
Schedule containing all the relevant
information.
2. 6.1.7 Show me the weekly updates on Material

Submittal Schedule Status Report.
3. 6.3.5 Do you send and receive a minimum of

three quotations?
4. 6.4.1 Technical Review Who is doing the technical review of the

quotations received from the suppliers /
sub-contractors? Show me an evidence
that the quotations have been reviewed
technically.
5. 6.5 Material Submittal for Client / Show me the submittal/ transmittal form
Consultant’s approval you use for Material submittal to the
Client / Consultants.
6. 6.5.10 Category 4 In case the Material is not approved how

the resubmission is done? For major
items do you obtain EVP approval?
c. Sub-contractor Assessment

Villegas Jr.

1. QMSP-PR-03 Procurement Director / Procurement

Sub-contractor Assessment Manager / QA/QC Manager
6.3.1 Show me a vendor quality assurance
questionnaire you send to the proposed
Sub Contractor.
2. 6.3.2 I would like to see the review of QA/QC

Manager of Sub-contractor completed
Assessment form.
3. 6.4.1 On what basis do you or EVP approve the

sub-contractor?
4. 6.4.3 May I see the register of approved Sub-

contractors?
5. 6.5.1 Please show me the sub-contractors

performance evaluation carried out by the
Project Manager and sent to the
Procurement Director and QA/QC
Manager?
6. 6.5.3 Has any time a sub-contractor disqualified

by EVP, and memo issued to Procurement
Director and QA/QC Manager?
d. Auditing Sub-contractor

Villegas Jr.

1. QMSP-PR-04 QA/QC MANAGER

Auditing Sub-contractors Has the Procurement Manager / Director
6.1.1 provided you the Assessment form filled-
in by the sub-contractor?
2. 6.1.5 Did you notify the auditee in writing

about the date, time, place, and scope of
the audit?
3. 6.1.6 Did you Review the technical

requirements of the proposed purchase
and prepare a checklist of points to be
verified during the audit, after reviewing
the Sub Contractor evaluation
questionnaire (SAR) received from them.
Show me, please?
4. 6.2 Execution of Audit Show me the audit report carried out on

sub-contractors, the audit notification,
audit schedule etc.
e. Coordination, Confirmation, and Follow-up of MSR (Material Stock Request)

Villegas Jr.

1. QMSP-PR-05 Procurement Manager / Construction

Coordination, Confirmation, and Manager / Engineers
Follow-up of MSR Construction Manager:
6.1.1 Review and Confirmation of Do you receive a copy and review the
MSR (Material Stock Request) following documents and that you forward
it to your Engineers? Show me, please.
i) Contract Drawings
ii) Bills of Quantities
iii) Specifications
iv) Submittals
v) Consultant’s Comments on Approved
Submittals
2. 6.1.5 Project Engineers/Site Engineers

Do you check and review the MSR
(Material Stock Request) and confirm the
following as required?
i) Technical details as per approved
submittal and project specifications
ii) Quantities of the critical items
iii) Other requirements such as O&M
Manuals, spare parts lists, testing and,
commissioning.
I would like to see a documentary evidence
that you review those MSR.
3. QMSP-PR-05 Procurement Manager

Coordination, Confirmation, and Do receive updated material status reports
Follow-up of MSR showing deliveries made, and instruct
6.2 Material Delivery Follow-up Procurement Engineer / Logistics
Operations Manager to follow up for
pending items which are required by the
site?
4. 6.2.2 Do you inform the site about the delivery

dates for any revised required items?
5. 6.2.7 Do you liaise with stores and advise as

required for the collection of materials
from Suppliers and the dates and details of
incoming materials requiring storage?
Show me how you do it? Any documentary
evidence?
6. 7. Records Please show me all correspondence related
to follow-up of MSRs and Project-wide
records.
4. Contract Management
a. Contract Review Process
Department/Process Description: CONTRACT Auditor: Jose S. Date:

MANAGEMENT Villegas Jr.

1. QMSP-CM-01 Contract Contract Administrator / Quantity Surveyor

Review Process Do you review the Contract Documents in
6.2 Review at Tendering Stage accordance with the procedure stated in 6.2.1
thru 6.2.5 i.e. check the contract documents,
study the conditions of the contract, prepare a
schedule of clarifications/ amendments required
etc.? Show me your Report which you submit to
C & A or Bidding division.
2. 6.3 Review prior to signing the How do you review prior to signing the contract
Contract in accordance with the procedure stated in 6.3.1
thru 6.3.4 i.e. Study the draft contract prepared
by the consultant/ client, ensure all terms and
conditions are incorporated as agreed during
tender negotiations, etc.
3. 7. Records Please show me Project Contract and all

correspondences and clarifications to/from the
client.
b. Preparation of Sub-Contract Documentation


1. QMSP-CM-02 Contract Administrator / Senior QS /

Preparation of Sub-contract Procurement Manager
documentation Show me the sub-contract agreement you
6.0 prepare and the review of Finance division
in regards to terms of payment.
2. 6.9 Show me the acknowledgment receipt of the

distribution of copies of the sub-contract to
the project manager, procurement manager,
finance manager, QS department and cost
control manager, and that the original is
maintained with the contracts section.
c. Handling of Customer Complaint


1. QMSP-CM-03 Contract Administrator / Senior QS / QC

Handling of Customer Engineer / QC Manager
Complaint Show me the complaint register, and signed the
6.1.2 Receipt and Evaluation of acknowledgment of Operation Manager /
the complaint Director for his review.
2. 6.2 Assessing the Complaint Show me the documentary evidence that

assigned Manager reviews the complaint and
suggest rectification to the Operation Director
who then forwards it to the Client.
3. 6.3 Show me the corrective action taken and
inspected and approved by the Client.
4. 6.4.3 Show me the copies of all investigation reports,

correspondence, closed out customer-
complaints forms and statement of acceptance
by the client filed in the complaints file
maintained by the contracts administrator, and
in the project, the file maintained with the
assigned discipline manager.
d. Measurement of Customer Satisfaction


1. 6.1 QMSP-CM-04 Operation Director / Project Manager

Measurement of Customer Satisfaction Show me the documents which would
indicate Customer satisfaction i.e.
1. Pre-qualifications
2. Payment certificates
3. Handing over certificates
4. Customer Complaints
5. Repeat Business
6. New Customers
7. Visit Reports
8. Appreciation Letters
9. Satisfaction Surveys, wherever
feasible.
2. 6.2 Prequalification Planning Engineer to forward a yearly list

of pre-qualification submittals done along
with their available results to EVP. Show
me the list.
3. 6.3 Payment and Handing Over QS and Contract Manager to forward at

Certificates the end of every Gregorian year, the
status of payment certificates for all the
projects that are current or completed
during the year to EVP indicating receipt
of / delay in payments.
QS and Contracts to also forward a copy
of all (initial and final) handing over
certificates received during that year, to
EVP. Show me the documents, please.
4. 6.6. Visit Report-QMSP-CM-04 Project Manager / QS

Measurement of Customer Satisfaction Show me that you have forwarded copies
of site/ client visit reports that highlight
customer feedback regarding Company
performance, to EVP, with the copy to
the QA Manager.
5. 6.7 Appreciation Letters Operations manager/ contracts

administrator/ project managers /
other concerned staff to show that
copies of client appreciation
letters/citations/
certifications that highlight customer
feedback regarding Company
performance are forwarded to EVP, with
the copy to the QA Manager.
6. 6.5 Repeated Business Bidding Manager / QS to prepare the

report on the number of retained / repeat
businesses won during the year and
forward to EVP.
7. 6.8 Satisfaction Survey The Operations manager to send/ give a

survey questionnaire to the client
representative requesting critical
feedback on the performance of the
Company in the specific project. Show
me in case you have received such data.
5. Material Storage and Delivery

a. Receipt and Checking of In-coming Materials
Department/Process Description: MATERIAL RECEIPT Auditor: Jose S. Date:

AND STORAGE AND DELIVERY Villegas Jr.

1. 6.1.1 QMSP-MT-01 Receipt and Store Manager / Store Keeper / Store in-
Checking of in-coming Materials charge
I would like to see whether incoming
materials have necessary supporting
documents, i.e., the material supply
requisition and local purchase order, and
the delivery note.
2. 6.2.2 Do you visually check all equipment and

materials before unloading, any
documentary evidence where you checked
and found damaged items, and then what is
your action?
3. 6.2.4 Do you check the materials after unloading

for quantity, quality of supplies and
identification details, as required by the
purchase order, specification and drawings?
4. 6.2.6 How do you segregate the damaged and

unacceptable material and identify them?
5. 6.5 Show me the copy of the MRV (Material

Receipt Voucher) along with the original
invoice to be sent to the Accounts
department.
b. Storage and Issue Control of Materials
Department/Process Description: MATERIAL RECEIPT Auditor: Jose S. Date:

AND STORAGE AND DELIVERY Villegas Jr.

1. 6.1.1 and 6.1.2 QMSP-MT-02 Store Manager/ Store Keeper/ Store in-
Storage and Issue Control of charge
Materials Show me the stock of all received and
accepted materials as per the location codes
provided in the computer, and the stock all
rejected / surplus materials at the space
provided for rejected materials or with the
identification tags.
2. 6.2 Show me the updated stock status of the

material on the computer.
3. 6.3.1 Show me the Material Supply Requisitions

you receive from the procurement
department, signed by the Project Manager
and coordination department.
4. 6.3.2 Do you check the availability of materials,

note down the availability in the MSR, get
store manager’s signature and send it back to
Procurement? Show me the documentary
evidence.
5. 6.3.3 Show me the material issue voucher (MIV)

which you get it signed by the requester, and
issue the available materials to the site, and
also prepare materials issue voucher (MIV)
and stores transfer voucher (STV), for
materials to be transferred to the site stores.
6. 6.3.4 Show me MRV and MIV to issue the

materials to the site.
7. 6.3.7 Show me the monthly report of stock

materials sent to Accounts.
8. 6.4 QMSP-MT-02 Storage and Store Manager/ Store Keeper/ Store in-
Issue Control of Materials charge
How do you monitor the shelf life of
materials in stock and withdraw / clearly
identify any materials which has exceeded
its life period? Show me an example.
9. 6.5 How do you identify the materials which are

to be stored within controlled conditions and
maintain them under the required
conditions? Show me an example.
6. Project Quality and Control
a. Inspection and Testing of Materials
Department/Process Description: PROJECT QUALITY Auditor: Jose S. Date:

CONTROL Villegas Jr.

1. 6.1 and 6.2 QMSP-QC-01 Project Managers, Store Keepers, Assigned project
Inspection and Testing of personnel
Materials QC Manager/Engineer /Lab in-charge
To QC Engineer:
Show me the LPO/Sub-contract agreement if Pre-
shipment stage Inspection has been incorporated in the
document?
2. 6.4 Show me Material inspection Request, and RFI (Request

for Inspection / Process check-list) Completed form and
NCR form and the Log for RFI and NCR and its status.
3. 6.3 Receiving Inspection To Store Keeper

Show me the MRV (Material Receipt Voucher) for
inspection of received material, and that damage is
reported.
4. 7. Records Do you maintain Lab test reports and submit it to the

Engineer? Please show me.
b. Final Inspection and Testing and Commissioning


1. 6.2 QMSP-QC-02 Final Inspection and Construction Manager, Electrical

Testing & Commissioning Engineer, Mechanical Engineer
Representative of Manufacturer /
Supplier, Equipment specialist (if
applicable)
Show me the format for each system /
Equipment mentioning the respective
system/ equipment details and the
inspection/testing parameters.
2. 6.3 Show me the Inspection Report of each

system/equipment signed off by the
Engineer.
3. 6.4 Final Testing Do you keep a record of explaining the client

the method of testing a particular equipment
or system from the O & M Manual?
4. 6.4.4 Show me the signed form that Client is

satisfied with the testing of the system.
5. 6.5 Final Commissioning Show me the final Commissioning Report.
c. Non-conformance Control


1. 6.3 QMSP-QC-03 Non-Conformance Site QA/QC and Divisional Heads

Control Do you maintain Internal NCR Log?
2. 6.3.2 Show me NCR Log issued by the Engineer

and its disposition and status.
3. 6.3.4 Show me the correspondence that you

follow it up until the corrective action is
taken.
4. 6.3.7 Show me the Engineer sign off-site for

close out of NCR i.e. once the corrective
action is taken and inspected by the
Engineer.
5. 7. Records Show me the NCR and Site observation

Notice Log.
6. QMSP-QC-04 Corrective and Do you carry out the root cause analysis to
Preventive Action 6.3 identify why the problem got repeated?
Can you show me a few examples?
7. Quantity Survey
a. Handling of Variations and Claims
Department/Process Description: : QUANTITY Auditor: Jose S. Villegas Date:

SURVEY Jr.

1. QMSP-QS-02 Project Manager, Site Quantity Surveyor,
Handling of Variations and Contracts Administrator
Claims To Site QS:
6.1 Variation issued by the Client Show me the Client issued Variation and your
proposal showing all the details of additional
/ deleted scope of works and the cost effect,
in order to accommodate the changed
requirement and that you submit it to the
project manager.
2. 6.1.6 Show me the variation Log and that it is

approved by the Client, and that approved
copies are distributed to QS department,
contracts administrator, planning,
procurement, Director Operations, and
finance divisions.
3. 6.1.7 and 6.1.8 To PM:

Do you maintain a register of all variations
and maintain separate file with complete
information for each variation. Show me the
Register?
Show me a monthly report of all variations
you forward it to the quantity surveyor and
contracts administrator, each month.
4. 6.2 Contractor Claim Do you maintain the record and inform the
site quantity surveyor and the contract
administrator, of any matter for which you
feel that an additional entitlement for the
benefit of the organization arises in respect of
time or money?
5. 6.2.2 and 6.2.3 To Site QS

Do you prepare a formal claim with
supporting documents and forward the same
to the contract administrator for their
comments as well as obtain approval of EVP?
Show me the Log and such claims approved
by the Contract administrator and that you
submitted it to the Engineer for approval.
6. 6.2.5 To Contract Administrator / PM / Site QS

I would like to see that you maintain separate
full set records of all claims raised.
8. WORKSHOP AND MAINTENANCE
a. Maintenance of Vehicles and Equipment
Department/Process Description: WORKSHOP AND Auditor: Jose S. Date:

MAINTENANCE Villegas Jr.

1. 6.1 QMSP-WS-01 Workshop manager, Workshop Engineer,

Maintenance of Vehicles and Workshop foreman
Equipment Workshop secretary, Operations
department, Workshop stores in-charge
Do you maintain a log of all vehicles and
equipment of the Division? The log shall
contain the following details:
 Description of the equipment / vehicle

 Identification number (Allotted by the
Division)
 Year of purchase
 Model
 Present Location
please show me the Log.
2. 6.1.3 I would like to see separate files for each

vehicle / equipment of the division, which
shall contain all information about the history
of the vehicle, allotment of the vehicle /
equipment to projects, and the maintenance
carried out; moreover each
vehicle/equipment should have unique
identification number.
3. 6.2 Routine Maintenance Show me the job cards of routine

maintenance carried out on each vehicle and
equipment.
4. 6.2.7 Spare Parts in Stores Show me the list of all spare parts you
maintain in your Store for vehicles and
equipment.
5. 6.2.14 QMSP-WS-01 Maintenance of Show me the time sheets and the repair
Vehicles and Equipment invoices approved by the Workshop
Manager.
6. 6.2.15 and 6.2.16 Show me the Orders and the quotation you
receive to repair the vehicles/ equipment
outside.
7. 6.3 Break-down Repairs Show me a vehicle/ equipment repair request,

obtained from the site engineer’s for
necessary repair.
8. 6.4.2 Maintenance at Project Site Show me the list of all vehicles/ equipment,
and their maintenance requirements with
frequencies. This shall be based on the
operating conditions and as recommended by
the equipment manufacturer.
9. 6.4.3 and 6.4.4 and 6.4.5 Site equipment in-charge/operator shall carry
out the regular maintenance activities and log
the details in the register maintained at the
site. Show me the Log maintained by the
Operator. Moreover, do you maintain this
register in the workshop and verify it
frequently? Show me the evidence.
10. 7. Records Show me all the records as mentioned in

QMSP-WS-01 i.e. Vehicle/Equipment Repair
Request, Service Job Card, Maintenance Job
Card, Material supply requisition etc.
9. Human Resources and Training

a. Recruitment
Department/Process Description: : HUMAN Auditor: Jose S. Villegas Date:

RESOURCES AND TRAINING Jr.

1. 6.2 QMSP-HR-01 Recruitment EVP – Executive Vice President, Director

Operations, Human Capital Manager, Director
Administration, Project/Department Managers
Director Operations
Show me the manpower requirements you have
consolidated based on the project organization,
construction schedule, manpower histogram.
2. 6.5 HR Manager
How do you recruit candidates locally?
3. 6.5.2 Show me the request for manpower you receive
from department head and process of recruitment
i.e. short listing of resumes, skill test/ interview etc.
4. 6.5.4 and 6.5.5 Show me a sample of offer you issue to selected

candidate and that local regulatory and statutory
requirements are complied once joined.
5. 6.6.2 Do you send the Company Rep. overseas for

selection of candidates or select locally. Show me
the interview reports. Selection criteria you use, and
that the process for verification of candidate’s
credentials?
6. 7. Records Show me the Recruitment correspondence and

Employee’s file.
b. Training
Department/Process Description: : HUMAN Auditor: Jose S. Villegas Date:

RESOURCES AND TRAINING Jr.

1. 6.1 QMSP-HR-02 Training Human Capital/ Personnel Manager,

Department Managers
Project Managers.
Do you induct a training program for all new
employees? That is briefing the employee about
commitment for quality, company rules, and
safety practices and that they shall be given a
copy of the company Quality Policy Statement
signed by the EVP?
2. 6.3 Do you file the training program in the

employees training record?
3. 6.4 Project Manager / Department Manager

Do you Identify project requirements, if any,
which need an additional level of skills, and
initiate action to upgrade the skill level of the
required employees, through training? Show me
the document where you have recommended for
additional training.
4. 6.6 HR Manager
Please show the performance evaluation sheet
of employees forwarded by Department
Managers to you.
5. 7. Records Show me copies of Training Certificates

received/issued filed in the employee file.
10. Quality System Management

a. Document and Data Control
Department/Process Description: : QUALITY Auditor: Jose S. Villegas Date:

SYSTEM MANAGEMENT Jr.

1. 6.1.2 QMSP-QA-01 Document QA MANAGER

and Data Control Show me the File and that you maintain the
master copies of all quality system documents
bearing the original signatures.
2. 6.1.5 Show me a document distribution list for each

document.
3. 6.1.6 Are all copies shall be stamped “CONTROLLED

COPY” in green ink?
4. 6.3 Project Manager / Technical Manager (Project

Specific Document)
I would like to see that current documents are
available with the required personnel and
superseded documents are removed to prevent
inadvertent use.
5. 6.5.1.1 Are forms originated from your department/

project, and referred in the quality system
processes/ instructions, are identified by a form
number/ title?
6. 6.5.1.3 Show me a complete list of the forms, with a

sample each, used in their respective department/
area/ project, are prepared, and is maintained in
their area.
b. Management Review
Department/Process Description: : QUALITY Auditor: Jose S. Villegas Date:

SYSTEM MANAGEMENT Jr.

1. QMSP-QA-02 Management Representative

Objective Setting, Monitoring, Show me the following Reports:
Management Review Quality Objectives Sheet
Half yearly review reports of Objectives
Agenda for Management Review Meeting
Minutes of the management review meeting
2. 7. Records QMSP-QA-03 Provide the following:

Internal Quality Audit Original copies of annual audit schedule,
check list, NCRs, audit reports and NCR
status log
 Internal quality audit schedule (FM-QA-

005)
 Audit checklist (FM-QA-006)
 Audit non-conformance report (FM-QA-
007)
 Audit report (FM-QA-008)
 NCR status log (FM-QA-009)
3. QMSP-QA-04 Control of Quality Show me Quality Records Master log (FM-

Records QA-013)
11. Computer System
a. Maintenance of Computer Equipment and Networks
Department/Process Description: : COMPUTER Auditor: Jose S. Villegas Date:

SYSTEM Jr.

1. 6.1.8 QMSP-CS-01 IT MANAGER / DIRECTOR / HARDWARE

Maintenance of Computer ENGINEER
Equipment and Networks Please show me documentary evidence i.e. a record of all
breakdowns and repairs carried out and a record of all
network-system downtimes caused by the breakdown and
the subsequent repairs.
2. 6.1.9 Show me a document and an inventory where you plan and

maintain the necessary hardware spares for the repair of the
equipment.
3. 6.1.10 Do you review the breakdown reports every month and take
necessary measures in order to prevent the recurring type of
problems, if any and to minimize the downtimes? Show me
your review and the plan you undertake to prevent or
minimize the problems?
4. 6.2.1 Preventive Show me a record that you maintain the following and
Maintenance update it regularly.
1. A list of all computer and accessories issued to users,

with details such as configuration of the computer, make,
model, user name, issue date and department.
2. A map of LAN connections showing cabling details,
hubs and repeater locations … etc.
3. List of all users connected to LAN and the systems they
are using.
4. Daily backups as per the instructions of IT manager, and
storing the same in fire-proof cabinet.
5. QMSP-CS-01 Maintenance IT MANAGER / DIRECTOR / HARDWARE
of Computer Equipment and ENGINEER
Networks 6.2.2 Show me your maintenance Schedule and plan to carry out
the routine maintenance of all computers and printers, to the
extent as required for its smooth operations
6. 6.2.3 Show me a list where you maintain the inventory of

normally required spares and tools for carrying out the
maintenance and ensure that they are in stock.
7. 6.2.4 How do you administer the LAN daily operations and make
sure that there is enough disk space in the server?
8. 6.2.5 What steps do you undertake to set up new systems for

project operations?
9. 7. Records Show me the following records
1. Computer Repair Request

2. Computer Repair/ Maintenance Record
b. Purchase of Computer Hardware and Software
Department/Process Description: : COMPUTER Auditor: Jose S. Villegas Date:

SYSTEM Jr.

1. QMSP-CS-02 IT MANAGER / DIRECTOR /

Purchase of Computer Hardware and HARDWARE ENGINEER
Software 6.1.2, and 6.1.3 Please show me the MSR (Material
Supply Requisitions) you receive from
Procurement for your technical advice for
buying hardware. Show me review and
comments.
2. 6.3.4, 6.3.5 Processing the Show me the quotations you receive to

Requirements the required specifications from three
competitive suppliers, and that you
review it. I would like to see your
signature on MSR issuing to Procurement
for placing Order.
3. 6.4 Receiving, Inspection, Installation Show me your inspection report for the
and Testing item you receive in regards to its physical
condition, any apparent damage, shortage
or excess quantity, conformance to
specification, Manuals, instructions,
warranty cards, licenses as required. Do
you maintain a check-list for inspection?
4. 6.4.3 Items Accepted Once items are accepted by you do you
1. Bill in the computer issue receipt and

issue approval.
2. Install the items at the required
location/ instrument.
3. Test for all functional aspects and
ensure everything is working properly.
4. Obtain the user’s acceptance signature
on the issue form.
I need to see documentary evidence,

please.
5. QMSP-CS-02 Show me the files/folders for all the

Purchase of Computer Hardware and manuals and warranty cards. And that you
Software 6.4.4 fill up and register the warranty as
required.
6. 7. Records Please show me the following records
1. Computer Issue Receipt/ Invoice

2. Computer Supplies/ Software
Request

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PRE-QUALIFICATION AND BIDDING

(Name of Company Here)

INTERNAL QUALITY AUDIT CHECKLIST

Department/Process Description: ESTIMATION Auditor: Jose S. Date:

Check Process Description Check / Question Satisfactory- Comments

1. Preparation of Pre-qualification Please show me the pre-qualification

2. 6.3 Please show me an example of filled up

3. 6.5 May I see the sample of Financial

4. WI-BD-01 Preparation of Technical Show me a list of Technical submittals

(Name of Company Here)

INTERNAL QUALITY AUDIT CHECKLIST

Department/Process Description: PROJECT PLANNING Auditor: Jose S. Date:

Check Process Description Check / Question Satisfactory- Comments

1. QMSP-PC-01 Project Initiation Project Manager / Director

2. QMSP-PC-02 Project Planning – Planning Engineer

3. QMSP-PC-03 – 6.5 Show me the manpower histogram,

4. 6.2.9QMSP- PC-02 Please show me how do you distribute

5. QMSP-PC-03 Project Manager / Director

6. Project Budget Preparation Show me the Project Budget.

(Name of Company Here)

INTERNAL QUALITY AUDIT CHECKLIST

Department/Process Description: PROJECT PLANNING Auditor: Jose S. Date:

Check Process Description Check / Question Satisfactory- Comments

1. QMSP-PC-03 – 6.6 Planning Engineer

c. Project Planning and Control Audit 3

(Name of Company Here)

INTERNAL QUALITY AUDIT CHECKLIST

Department/Process Description: PROJECT PLANNING Auditor: Jose S. Date:

Check Process Description Check / Question Satisfactory- Comments

1. QMSP-PC-04 Technical Manager

3. 6.1.7 Do you prepare a shop drawings schedule

4. 6.1.8 Show me the format of Title Block as per

5. 6.1.9 Do you review all documents (like

6. 6.1.11 Do you prepare a list of contract

7. 6.2.2 Review Do you review with the concerned

d. Project Planning and Control Audit 4

(Name of Company Here)

INTERNAL QUALITY AUDIT CHECKLIST

Department/Process Description: PROJECT PLANNING Auditor: Jose S. Date:

Check Process Description Check / Question Satisfactory- Comments

1. QMSP-PC-04 Preparation and Technical Manager

3. 6.6 Do you maintain a drawing circulation list and

5. WI-PC-04 – 5 Do you have a unique number system you use in

6. WI-PC-03 Coordination of shop Please show me your records i.e. Coordination

e. Project Planning and Control Audit 5

(Name of Company Here)

INTERNAL QUALITY AUDIT CHECKLIST

Department/Process Description: PROJECT PLANNING Auditor: Jose S. Date:

Check Process Description Check / Question Satisfactory- Comments

1. WI-PC-01 Quantity Survey / Finance Manager

2. QMSP-PC-03 QS, Planning, Project Manager,

(Name of Company Here)

INTERNAL QUALITY AUDIT CHECKLIST

Department/Process Description: PROCUREMENT Auditor: Jose S. Date:

Check Process Description Check / Question Satisfactory- Comments

1. QMSP-PC-01 Procurement Director / Procurement

2. 6.1.3 Please show me the dates by which

3. 6.2.1 Show me few inquiry packages for each

5. 6.2.4 I would like to see a compilation of all

6. 6.3.1 Do you keep a record of final negotiation

b. Material Submittal and Client Approval

(Name of Company Here)