Fidic Checklist LR2012 PDF

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The document consisting Fidic Checklist Contractual Notice....

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Table 1: FIDIC Quality Management COMPLIANCE Checklist • AspectsrelatedtoRiskManagementhavebeeninsertedandhighlightedinlightblue • TheaspectsthatarerequiredbyCESAtobecompliedwithbySinglePractitionersarehighlightedinyellow • TheaspectsthatarerequiredbyCESAtobecompliedwithadditionallybyallothernon-ISOcertifiedmembers arehighlightedinpink • Theaspectsshouldbecheckedattherelevantleveltoindicatecomplianceornot • Documentedevidenceshouldbepresentedonrequesttoconfirmcomplianceindicated Item

Aspect

Compliance Yes No

1

Quality Management System Dotheorganisation’svision,missionandpoliciesaddressquality?

2 3

Arethesevaluesandprinciplesregularlyreinforcedandupdated? DoesaQualityManualexistwhichspecifieswhodoeswhat,whenandwhere?

4

DoestheQualityManualincludestandardoperatingproceduresforcontrollingand assuringqualityin: • Customerrelationships? • Staffrelationships? • Assessmentsandstudies? • Design? • Procurement? • Shopdrawingreview? • Constructionobservationandreview? • Internalqualityaudits? • Customersatisfaction?

5

Doesaqualityplanexistforeachareaoforganisationalactivityorforeachassignment?

6

Havetherequisitequalitycontrol,qualityassuranceandcontinuousprocess improvementandtrainingprogrammesbeenidentifiedandaretheyinplace?

7

Isthereamethodtoidentifyneededimprovements?

1

Risk Management System AreriskandqualitymanagementguidelinesincludedintheOrganisationalPlan?

2

Aresignificantrisksatsystem,processandproductlevelsidentifiedandaddressed?

3

ArethehouserulesintheFIDICRiskManagementManual1997implementedand maintainedintheorganisation?

4

ArethestandardsandproceduresgivenintheCESAAdvisoryNotesobserved?

1

Strategic & Business Planning Aretheinternalandexternalorganisationalcriticalsuccessfactorsincludinglegal requirementsidentifiedandprioritised?

2

Arethemanagementprocessestobecontrolledand/orimprovedtosatisfytherelevant interestedparties,identified?

3

Aretheprocessesmodeledintoacohesivemanagementsystem?

4

Arearrangementstoensurelegalcomplianceinplace?

11

Item

Aspect Management Responsibility Leadership

1

Havetheleadersdevelopedanddocumentedtheorganisation’svisionandmission?

2

Dotheleadersfacilitateachievementofthevisionandmission?

3

Havetheleadersdevelopedanddocumentedtheorganisation’svaluesforlongterm success?

4

Havetheleadersimplementedthesevaluesbyappropriateactionandbehaviour?

5

Aretheleadersinvolvedintheimplementationofthebusinessmanagementsystem?

6

Commitment IstheCEOcommittedtoensuringthatqualitystandardsareidentified?

7

Doseniorexecutivesprovideeffectiveleadershipanddirectioninimplementingand maintainingqualitystandards?

8

Istheresponsibilityforriskmanagementintheorganisationplacedwithaspecific principal? Quality Policy

9

IsaPolicyManualestablishedtoserveasgatewayintothemanagementsystem?

10

Isthequalitypolicyclearlydefined,implementedandmaintained?

11

Doestheorganisationhaveapolicyorpoliciesdemonstratingitscommitmenttomeeting requirementsandtoestablishanoverallsenseofdirectionandprinciplesofaction?

12

Dothepoliciesprovideaframeworkforsettingtheorganisation’svariousobjectivesand targets?

13

Areallemployeesawareofthequalitypolicy?

14

Arequalityobjectivesestablishedforeachemployeeassignment? Organisational Planning and Structure

15

ArebusinessperformancemeasurementsystemsincludedintheOrganisationalPlan?

16

ArechangemanagementguidelinesincludedintheOrganisationalPlan?

17

Areplannedorganisationalchangesconductedinacontrolledmanner?

18

AreresourcemanagementsystemsincludedintheOrganisationalPlan?

19

Areadequatehuman,infrastructuralandfinancialresourcesinplace?

20

Operational Planning Dotheplanningarrangementsfortheoperationalprocessesincludeactionsforachieving operationalobjectivesandtargets?

21

Arethearrangementsforcommunicationwithintheorganisationandto/fromexternal sourcesinplace?

22

IsanOperationalProceduresManualforimplementationbyFunctionalManagers developedanddocumented?

23

Arecontrolmeasuresneededtoimplementandmaintaincontrolofrevenuegenerating processes,operationalprocessesandproductriskassessmentincludedinthe OperationalProceduresManual?

12

Compliance Yes No

24

25

Ismanagementofemployees,contractorsandtemporarystaffincludingpersonnel developmentreawareness&trainingandperformancemanagement/appraisalincluded intheOperationalProceduresManual? Areoperationalmanagementandmaintenanceofinfrastructure,plant,facilities,work environment,finance,etc,includedintheOperationalProceduresManual?

26

Arethearrangementsforthosewhosupplyandcontracttheirservicestothe organisationformalised?

27

ArearrangementstomanageJointVentureswithotherconsultantsandtomanage ConstructionContractprocessesandprocedures(includingtendering,evaluation andsupervisioncontrols,qualitysystems,healthandsafety,environmentalcontrols, commissioning,documentation,etc)includedintheOperationalProceduresManual?

28

Isthemanagementofdocumentsthatareessentialtothesuccessfulimplementationand operationofthemanagementsystem(includingauthority,issue,review,backup,record keeping,etc)includedintheOperationalProceduresManual?

29

Organisational Responsibility and Authority Aretheresponsibility,authorityandinterrelationshipsofallwhomanage,performand verifywork,clearlydefined?

30

Isaresponsibleperson(s)toidentifyandtakeactiononqualityproblemsappointed?

31

Isanauthorisedperson(s)todevelopimprovementsystemsappointed?

32

Isaclearlydefinedwaytoverifytheimplementationandresultsoftheproposedsystems forimprovementavailable?

33

Isanauthorisedperson(s)tostandardisesuccessfulimprovementsystemsappointed? Verification Resources and Personnel

34 35 36

Areverificationrequirementsidentified? Dopersonnelhaveadequatetrainingandresourcestoverifyactivities? Doverificationactivitiesinclude: • Reviewatdesignatedbenchmarks? • Checkingoftheoutput? • Reviewoftheadequacyoftheconstructedproduct? • Auditsofthequalitysystemprocesses&products?

37 38

39

Quality Management Staff Hasaqualityleaderbeenappointedtoberesponsibleforthequalitymanagement system? Doesthequalityleaderreportdirectlytoseniormanagementorserveaspartofthe seniormanagementteam? Control of Documents Aredocumentedproceduresforcontrollingalldocumentsanddatarequiredforthe qualitymanagementsystem,includingoutputdocumentsavailable?

40

Arealldocumentsrequiredforthequalitymanagementsystemreviewedandapproved byauthorisedpersonnelpriortoissue?

41

Arecurrentcopiesofappropriatedocumentsavailableatalllocationswhereoperations requiretheiruse?

13

42

Havepersonnelwhoreviewandapprovedocumentchangesaccesstopertinentdata uponwhichtobasetheirdecisions?

43

Wheresetsofpreliminaryorstatusdocumentsaresubmitteddothesedocumentshave auniqueidentification?

44

Isthereamastercontrollistthatidentifiesthecurrentversionofdocuments?

45

Quality Records Aredocumentedproceduresfortheidentification,collection,indexing,filing,storage, maintenance,anddispositionofqualityrecordsavailable?

46

Arequalityrecordsbeinggeneratedandmaintained?

47

Dotheserecordsdemonstrateachievementoftherequiredqualityandtheeffective operationofthequalitysystem?

48

Arequalityrecordseasilyaccessible?

49

Haveretentiontimesofqualityrecordsbeendefinedandrecordedandagreedtoby client?

50

Wherenecessaryarequalityrecordsavailableforevaluationbycustomers?

51

Management Review Isthequalitymanagementsystemperiodicallyreviewedtoensureitssuitability, adequacyandeffectiveness?

52

Dothesereviewsincludeanalysisofresultsofinternalqualityaudits?

53

Doesmanagementactonthesereviews?

54

Arerecordsofthesereviewskeptandmaintained?

55

Aretheorganisation’srequirementstomonitorandmeasurecustomerperceptionand criticalprocessesandproceduresincludedinthereviewprocess? Resource Management

1

Employees Isinformationonanindividual’sskillsandexperiencerecorded,maintainedand updated?

2

Isthisinformationcommunicated?

3

Doemployees,whoseactivitiesaffectquality,haveappropriateeducation,trainingand experiencefortheassignedtasks?

4 5

Arecontinuingeducation,conferences,workshops,seminars,professionalsocieties, on-the-jobtrainingandself-studyencouragedtodeveloptheemployees’skillsand knowledgeinneededareas? Areappropriatetrainingrecordskept&maintained?

6

Doescompensationandrecognitionforgroupsandindividualsreinforcework effectivenessandqualityassurance?

7

Doeseachemployeeknowandunderstandwhatisexpectedinhis/herjob? IT Equipment

8 9

Ispurchasedcomputersoftwareverifiedpriortouse? Arecomputersandsoftwarecompatibleandstandardised?

10

Isitassuredthatcomputerfilesareregularlyupdatedandbacked-up?

11

Arebugsinsoftwareand“workarounds”properlyhandled?

14

Item

Aspect

Compliance Yes No

1

Financial Management Doesthefirmmanageitsfinancesproperlyandassureadequatecashflow?

2

Doesthefirmhaveprojectspecificaccountinginformation?

3

Doesthefirmshareaccountinginformationwithitsdepartmentandprojectmanagers?

4

Isaccurateaccountinginformationintheformofprofitandlossstatementsmade availablewithindaysofclosingregularaccountingcycles?

5

Doesthefirmsubmititsaccountsandoperationstoanindependentoutsidefinancial auditonceayear? Product/Service Realisation

1

Processes and Procedures Havetheserviceprovidingprocesses,whichdirectlyaffectquality,beenidentified?

2

Havetheprimaryprocesscharacteristics,whichaffectquality,beenidentified?

3

Aredocumentedproceduresforeachoftheseprocessesavailableanddotheyaddress theseprimaryprocesscharacteristics?

4

Aretheproceduresuptodateandinuse?

5

Doproceduresensurequalifiedpersonneltoperformtheactivitiesconstitutinga process?

6

Dotheproceduresensurethatpersonnelhaveadequateresourcesandequipmentto adequatelyperformtheirjobs?

7

Areformaldocumentedcriteriaforoutputrequirementsandprocessesavailable?

8

Arestandardchecksheetsorchecklistsusedtoensureconformancetorequirements?

9

Aredocumentedchecklistsforthefollowingprojectphasesensuringcompletenessand compliancewithallriskremediesavailable? • Feasibilityphase • Appointmentphase • Conceptualdesignphase • Designphase • Contractawardphase • Implementationphase • Commissioningandpostcontractphase

10

Proposals/Contract Review Arecriteriafordeterminingwhatconstitutesacontractavailable?

11

Isaproposal/contractreviewedbothtechnicallyandlegally?

12

Isproposal/contractreviewacoordinatedactivity?

13 14

Areproposal/contractsreviewedforadequatelydefinedanddocumentedrequirements? Aredifferencesbetweentheinitialproposalandtheproposedcontractresolved?

15

Areproposals/contractsreviewedtoensurethatthecapabilitytomeetcontractual requirementsexists?

16

Arerecordsofsuchcontractreviewsmaintained?

15

Item

Aspect

17

Planning Arethenecessaryactivitiesforperformingtheservicesidentified?

18

Isresponsibilityforeachactivityidentified?

19

Isthisresponsibilityupdatedastheworkevolves?

20

Areverificationactivitiesintegratedintotheplanning? Organisational and Technical Interfaces

21

Areorganisationalandtechnicalinterfacesbetweendifferentgroupsidentifiedand coordinated?

22

Isthenecessaryprojectupdateinformationdocumented,transmittedandregularly reviewed?

24

Areeffectivelinesofcommunicationestablishedbetweendifferentinternalgroupsand withexternalparties? Areregular,documentedprojectmeetingsheld?

25

Input Areinputrequirementsidentifiedanddocumented?

26

Aretheseinputrequirementsreviewedforadequacy?

27

Areunclearorconflictingrequirementsresolved?

28

Aretheconflictresolutionscoordinatedwiththoseresponsibleforestablishingthe requirements?

23

29

Output Isoutputdocumentedintermsofrequirements,calculations,andanalyses?

30

Isoutputreviewedforconformancewithinputrequirements?

31

Doestheoutputcontainorreferenceacceptancecriteria?

32

Istheoutputreviewedforconformancetoregulatoryrequirementsregardlessofwhether thesearespecifiedintheinputinformation?

33

Arecharacteristicscrucialtothesafeandproperfunctioningofthefinalproduct identified? Verification

34

Isitverifiedthattheoutputconformstoinputrequirements?

35

Doesverificationincludedocumentedreviews,checking,qualificationtestsor demonstrations,alternativecalculations,orcomparisonsofthenewdesignwithasimilar provendesignalreadyavailable?

36

Arecontrolsineffectassuringapplicabledrawings,changenotices,andspecificationsin useduringproductionandconstructionreview?

37

Arethechecklistsforpotentialrisksinthefollowingprojectphasesdulycompletedand actiontakenwherenecessary? • Feasibilityphase • Appointmentphase • Conceptualdesignphase

16

Compliance Yes No

• Designphase • Contractawardphase • Implementationphase • Commissioningandpostcontractphase Changes 38

Areallchangesormodificationsoftheservicesprovidedreviewedandapproved?

39

Isdocumentationthatchanges,ormodificationsthataremadeknowntoallparties affectedavailable? Purchasing

40

Aresubcontractorsandsuppliersevaluatedandselectedonthebasisoftheirabilityto meetcontractrequirements,includingquality?

41

Istheresultofthisevaluationofsubcontractorsandsuppliersdocumented?

42

Istheriskassessmentandavailabilityofprofessionalliabilityinsurancepartofthe selectioncriteriaforpurchasing? Measurement, Analysis and Continuous Improvement Client Satisfaction

1

Isthereaneffectiveanongoingsystemofmeasurementofclientsatisfaction?

2

Areadequateclientsatisfactionrecordsmaintainedbythefirm?

3

Havefollow-upproceduresbeendevelopedandeffectivelyimplemented?

4

Internal Quality Audits Hasadocumented,comprehensivesystembeendevelopedforconductinginternal qualityaudits?

5

Istheinternalqualityauditsystemcapableofverifyingtheefficiencyandthe effectivenessofthequalitymanagementsystem?

6

Areauditsscheduledonthebasisofimportanceandtestsoftheactivity?

7

Areauditproceduresandfollow-upactionsdefinedanddocumented?

8

Areauditresultsbroughttotheattentionoftheresponsiblepersonnelinthearea audited?

9

Areauditresultsdocumented?

10

Areauditresultbroughttotheattentionoftheappropriatemanagementsothatcorrective actionmaybetaken?

11

Iscorrectiveactiontakenonthedeficienciesfoundintheaudits?

12

Corrective Action/Control of Non-Conformances Aredocumentedproceduresforcorrectiveandpreventiveactionavailable?

14

Arenon-conformancesinvestigatedtosearchfortrends,astotheircommonorroot cause? Areactionitemsimplementedandevaluated?

15

Continuous Improvement/Kaizen Areemployeesempoweredtoseekimprovement?

13

17

16

Issuchempowermentcommunicatedandmonitoredforappropriateness?

17

Canitbedemonstratedthattheservicequalityandtheeffectiveness/efficiencyofthe completeoperationiscontinuouslyimproved?

18

Doesmanagementreviewthesystemtoensureitscontinuingsuitability,adequacyand effectivenessanddoesmanagementinstructimprovementsandnewdirectionswhen foundnecessary?

18...