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Department of Treasury and FinanceQuality Assurance Checklist forContractorsAugust 2019Procurement, Risk and Contract Management Branch

2Quality Assurance Audit Checklist and Report for Contractors1. Contractor Details1Business Name:2ABN:3ACN: (If applicable)4Address:5Postal Address:6Contact Name:7Title:8Phone Number(s):9Email Address:10Date of Audit:11Name of Auditor:(If different from above)Ph:Mob:Initial Systems Audit (On application for registration.)12Audit Purpose:Ongoing - Compliance Audit (Every 2 years following registration)Department of Treasury and Finance

3Quality Assurance Audit Checklist and Report for Contractors2. Auditor CertificationI, , an auditor approved by theProcurement, Risk and Contract Management Branch of the Department of Treasury andFinance, hereby certify that (the Contractor) has:Demonstrated compliance with all the Contractor Quality Assurance requirements toa satisfactory standard.ImmediatelyforwardtheAuditProcurement, Risk and Contract Management Branch.ChecklistandReporttotheFailed to demonstrate compliance with the Contractor Quality Assurancerequirements to a satisfactory standard as outlined in this report.Retain the Audit Report for Non-Conformance Report (NCR) follow-up re-audit.Signature of Auditor:Date of Next Audit:Purpose of Next Audit:Ongoing compliance auditNCR follow-up auditAUDITOR RECOMMENDATION – NCR FOLLOW-UP AUDITThe Contractor, has demonstrated compliance withall these Contractor Quality Assurance Requirements to a satisfactory standard.Immediately forward the Audit Checklist and Report to the Procurement, Risk and Contract Management Branch.The Contractor, has failed to demonstrate compliancewith these Contractor Quality Assurance Requirements to a satisfactory standard asoutlined in this report.Immediately forward this Audit Checklist and Report and the NCR Report(s) to the Procurement, Risk and ContractManagement Branch.Signature of Auditor:Date:Department of Treasury and Finance

41.Context of the Contractor’s Organisation1.1Determining the Scope of the Quality Management System.RequirementHas the contractor’s organisationdocumented the scope of itsQuality Management System?FindingEvidence / Comments / Audit TrailsCompliesObservationNon-conformance1.2Quality Management System and its ProcessesRequirementHas the contractor’s organisationestablished, documented,implemented and maintained aQuality Management System inaccordance with the requirements inthis checklist?2.Leadership2.1Client FocusRequirementHas senior managementdemonstrated leadership andcommitment with respect to clientfocus by ensuring that:FindingEvidence / Comments / Audit dence / Comments / Audit TrailsCompliesObservationNon-conformance(i) client and applicable statutoryand regulatory requirements aredetermined, understood andconsistently met for each project?(ii) the risks and opportunities thatcan affect conformity of thecontractor organisation’s servicesand the ability to enhance clientsatisfaction are determined andaddressed for each project? andComplies(iii) the focus on enhancing clientsatisfaction is vationNon-conformanceDepartment of Treasury and Finance

52.2Quality PolicyRequirementFindingHas senior managementdocumented, implemented, andmaintained a Quality Policy that isappropriate to the contractororganisation and aligns with itsstrategic direction?CompliesDoes the Quality Policy:Compliesi) provide a framework for itsstated goals / objectives? andObservationii) include a commitment to satisfyapplicable requirements and tocontinually improve theQuality Management System?ObservationNon-conformanceNon-conformanceIs the Quality Policy:Compliesi) communicated to all employees?How? andObservationii) available to interested parties, asappropriate?2.3Evidence / Comments / Audit TrailsNon-conformanceOrganisational Roles, Responsibilities, and AuthoritiesRequirementHow has senior managementensured that the responsibilities andauthorities for relevant roles areassigned, documented,communicated and understoodwithin the contractor’s organisationfor each project?FindingEvidence / Comments / Audit TrailsCompliesObservationNon-conformanceDepartment of Treasury and Finance

63.Planning3.1Actions to address Project Risks and OpportunitiesRequirementFindingHas the contractor’s organisationdetermined the risks andopportunities relating to eachproject?CompliesWhat method(s) has the organisationused to plan actions to control theserisks and opportunities? (Section 10)CompliesEvidence / Comments / Audit formance3.2 Quality / Project / Construction Objectives and Planning toAchieve ThemRequirementHas the contractor organisationestablished and documentedquality / project / constructionobjectives that are consistent withthe Quality Policy? (ie “SMART”).How has the organisationdetermined:(i) What will be done? (S);(ii) How the results will beevaluated? (M);(iii) Who will be responsible? (A);(iv) What resources will berequired? (R); and(v) When each will be anceCompliesObservationNon-conformance4.Support and Resources4.1PeopleRequirementHas the contractor’s organisationdetermined and provided thepersons necessary for the effectiveimplementation of itsQuality Management System and forthe operation and control of itsproject activities? (Describe).Evidence / Comments / Audit TrailsFindingEvidence / Comments / Audit TrailsCompliesObservationNon-conformanceDepartment of Treasury and Finance

74.2CompetenceRequirementHas the contractor’s organisation:(i) determined the necessarycompetence for personnelperforming work affecting project/ construction quality?(ii) provided training or taken otheractions to satisfy these needs?and(iii) retained records of personnel’squalifications, skills, andexperience? (eg, training recordscopies of licences, certificates,database, matrix mmunicationRequirementFindingHas the contractor’s organisationdetermined the internal and externalcommunications relevant to itsQuality Management System andprojects?CompliesDoes the contractor organisation’scommunication include:(i) providing information relating toits services? (eg, website)(ii) handling enquiries, tenders,contracts, or commissions,including changes?(iii) obtaining feedback relating to itsservices from clients? and(iv) handling and controllingdocumented informationprovided by the client, consultant,sub-consultant, sub-contractor,etc?Complies4.4Evidence / Comments / Audit TrailsEvidence / Comments / Audit formanceControl of Documented Information Including RecordsRequirementIs the documented informationrequired by thecontractor organisation’sQuality Management Systemcontrolled?FindingEvidence / Comments / Audit TrailsCompliesObservationNon-conformanceDepartment of Treasury and Finance

8Is the contractor organisation’sdocumented informationadequately protected from loss ofconfidentiality, improper use or lossof integrity? (eg, password control forCompliesObservationNon-conformancesoftware programs).When creating and updatingdocumented information, doesthe contractor’s organisation ensureappropriate:(i) identification and description? (eg,title, issue date, etc). and(ii) review and approval prior toissue and/or re-issue?CompliesIs documented information ofexternal origin determined by thecontractor organisation as necessaryfor its operations, identified andcontrolled, as appropriate?CompliesDescribe how the contractororganisation suitably ensures thatdocumented information andrecord(s) is / are:(i) available where appropriatepersonnel are able to gain easyaccess?(ii) suitably stored and legible?(iii) readily retrievable?(iv) retained for a specified period oftime, taking into considerationregulatory requirements? and(v) disposed of in accordance withthe organisation’s documentedmethod once its retention timeshave ment of Treasury and Finance

95.Operation - Projects and Construction Management5.1 Requirements & Planning for Projects – Project / ConstructionManagementRequirementDoes the contractor’s organisationplan, implement, and control theprocesses needed to meet theproject / construction requirementsin accordance with contractualrequirements and retaindocumented information? (ieFindingEvidence / Comments / Audit TrailsCompliesObservationNon-conformanceProject Management Plans or similar. Referto Section 10).5.2 Determining, Reviewing, and Changes to Project /ConstructionTender RequirementsRequirementFindingOnce the contractor’s organisationhas determined the client’srequirements, does the organisationensure:(i) the project / constructionrequirements are understood?(ii) that any anomalies are resolved?and(iii) that any applicableproject / constructionrequirements, including statutoryand regulatory requirements areconsidered, as well as those notspecifically stated by the client?CompliesDoes the contractor’s organisationensure it has the capability to meetthe specified client requirementsprior to commitment? (eg, prior toCompliesEvidence / Comments / Audit formancesubmitting tenders or other similardocuments).Is documented information of allthese processes and nceDepartment of Treasury and Finance

105.3Control and Management of Projects and Construction ActivitiesRequirementFindingHas the contractor’s organisationimplemented, project andconstruction activities undercontrolled conditions? (Section 10).CompliesDo the controlled conditionsinclude, as applicable:(a) the availability ofdocumented informationthat defines thecharacteristics of the project /construction activities to beprovided, or to be performedand the results to beachieved?Complies(b) the availability and use ofsuitable monitoring andmeasuring resources,including any equipmentrequiring calibration, asapplicable to each project?(c) implementation of inspectionand testing activities atappropriate stages of theproject / construction, toverify that criteria for controland acceptance criteria havebeen met? (eg, inspections, holdpoints, etc).(d) appointment of competentpersons to each constructionproject, including any requiredqualification(s) / licences?Evidence / Comments / Audit onformanceDoes the contractor’sorganisation, identify, review andcontrol changes made during, orsubsequently to theproject / construction activities,to the extent necessary to ensurethat there is no adverse impacton meeting the projectcontractual requirements?CompliesDoes the contractor’sorganisation retaindocumented information todemonstrate that anyproject / construction changeshave been reviewed andauthorised where ationNon-conformanceDepartment of Treasury and Finance

11Does the contractor’sorganisation formally track eachproject against stated timelines,to allow determination of itsstatus at any given point in time?CompliesDoes the contractor’sorganisation implementappropriate completion andpost-delivery activities for eachproject, or stages of the project,in accordance with formanceObservationNon-conformance5.4 Control of Externally Provided Project / Construction Processes,Products, and ServicesRequirementFindingDoes the contractor’sorganisation ensure thatexternally provided processes andservices, conform torequirements?CompliesDoes the contractor’sorganisation determine and applycriteria for the evaluation,selection, monitoring ofperformance and re-evaluation ofexternal providers?CompliesDoes the contractor’sorganisation retaindocumented information ofthese activities and any necessaryactions arising from theevaluations?CompliesDoes the contractor’sorganisation provide all necessaryinformation to externalproviders? (Describe methods used).CompliesEvidence / Comments / Audit onformanceDepartment of Treasury and Finance