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

1
2
3
4

Aspect
Quality Management System

Do the organisations vision, mission and policies address quality?

Are these values and principles regularly reinforced and updated?

Does a Quality Manual exist which specifies who does what, when and where?

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?

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

Is there a method to identify needed improvements?

1
2
3
4

1
2
3
4

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

Risk Management System

Are risk and quality management guidelines included in the Organisational Plan?

Are significant risks at system, process and product levels identified and addressed?
Are the house rules in the FIDIC Risk Management Manual 1997 implemented and
maintained in the organisation?
Are the standards and procedures given in the CESA Advisory Notes observed?
Strategic & Business Planning

Are the internal and external organisational critical success factors including legal
requirements identified and prioritised?

Are the management processes to be controlled and/or improved to satisfy the relevant
interested parties, identified?
Are the processes modeled into a cohesive management system?
Are arrangements to ensure legal compliance in place?

11

Compliance
Yes

No

Item

Aspect
Management Responsibility

1
2
3
4
5

6
7
8

10
11
12
13
14

15
16
17
18
19

Leadership

Have the leaders developed and documented the organisations vision and mission?
Do the leaders facilitate achievement of the vision and mission?

Have the leaders developed and documented the organisations values for long term
success?
Have the leaders implemented these values by appropriate action and behaviour?

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

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

Do senior executives provide effective leadership and direction in implementing and

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

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

Is the quality policy clearly defined, implemented and maintained?

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?
Do the policies provide a framework for setting the organisations various objectives and
targets?
Are all employees aware of the quality policy?

Are quality objectives established for each employee assignment?

Organisational Planning and Structure

Are business performance measurement systems included in the Organisational Plan?

Are change management guidelines included in the Organisational Plan?
Are planned organisational changes conducted in a controlled manner?

Are resource management systems included in the Organisational Plan?

Are adequate human, infrastructural and financial resources in place?
Operational Planning

20
21
22
23

Do the planning arrangements for the operational processes include actions for achieving
operational objectives and targets?
Are the arrangements for communication within the organisation and to/from external
sources in place?
Is an Operational Procedures Manual for implementation by Functional Managers
developed and documented?

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
26
27

28

29
30
31
32
33

34
35
36

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

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?

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?
Organisational Responsibility and Authority

Are the responsibility, authority and interrelationships of all who manage, perform and
verify work, clearly defined?
Is a responsible person(s) to identify and take action on quality problems appointed?
Is an authorised person(s) to develop improvement systems appointed?

Is a clearly defined way to verify the implementation and results of the proposed systems
for improvement available?
Is an authorised person(s) to standardise successful improvement systems appointed?
Verification Resources and Personnel
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?
Quality Management Staff
37
38

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

39
40
41

Are documented procedures for controlling all documents and data required for the
quality management system, including output documents available?

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

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

13

42
43
44

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

Where sets of preliminary or status documents are submitted do these documents have
a unique identification?
Is there a master control list that identifies the current version of documents?
Quality Records

45
46
47
48
49
50

Are documented procedures for the identification, collection, indexing, filing, storage,
maintenance, and disposition of quality records available?
Are quality records being generated and maintained?

Do these records demonstrate achievement of the required quality and the effective
operation of the quality system?
Are quality records easily accessible?

Have retention times of quality records been defined and recorded and agreed to by
client?
Where necessary are quality records available for evaluation by customers?
Management Review

51
52
53
54
55

Is the quality management system periodically reviewed to ensure its suitability,

adequacy and effectiveness?
Do these reviews include analysis of results of internal quality audits?
Does management act on these reviews?

Are records of these reviews kept and maintained?

Are the organisations requirements to monitor and measure customer perception and
critical processes and procedures included in the review process?
Resource Management
Employees

1
2
3
4
5
6
7

8
9

10
11

Is information on an individuals skills and experience recorded, maintained and

updated?
Is this information communicated?

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

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?

Does compensation and recognition for groups and individuals reinforce work
effectiveness and quality assurance?
Does each employee know and understand what is expected in his/her job?
IT Equipment

Is purchased computer software verified prior to use?

Are computers and software compatible and standardised?

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

Are bugs in software and workarounds properly handled?

14

Item

1
2
3
4
5

Aspect
Financial Management

Does the firm manage its finances properly and assure adequate cash flow?
Does the firm have project specific accounting information?

Does the firm share accounting information with its department and project managers?
Is accurate accounting information in the form of profit and loss statements made
available within days of closing regular accounting cycles?

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

1
2
3
4
5
6
7
8
9

Processes and Procedures

Have the service providing processes, which directly affect quality, been identified?
Have the primary process characteristics, which affect quality, been identified?

Are documented procedures for each of these processes available and do they address
these primary process characteristics?
Are the procedures up to date and in use?

Do procedures ensure qualified personnel to perform the activities constituting a

process?

Do the procedures ensure that personnel have adequate resources and equipment to
adequately perform their jobs?
Are formal documented criteria for output requirements and processes available?

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

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
11

12
13
14
15
16

Proposals/Contract Review

Are criteria for determining what constitutes a contract available?

Is a proposal/contract reviewed both technically and legally?
Is proposal/contract review a coordinated activity?

Are proposal/contracts reviewed for adequately defined and documented requirements?

Are differences between the initial proposal and the proposed contract resolved?

Are proposals/contracts reviewed to ensure that the capability to meet contractual

requirements exists?
Are records of such contract reviews maintained?

15

Compliance
Yes

No

Item

17
18
19
20

Aspect
Planning

Are the necessary activities for performing the services identified?

Is responsibility for each activity identified?

Is this responsibility updated as the work evolves?

Are verification activities integrated into the planning?

Organisational and Technical Interfaces

21
22
23
24

25
26
27
28

29
30
31
32
33

34
35
36
37

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

Is the necessary project update information documented, transmitted and regularly

reviewed?

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

Are input requirements identified and documented?

Are these input requirements reviewed for adequacy?

Are unclear or conflicting requirements resolved?

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

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

Is output reviewed for conformance with input requirements?
Does the output contain or reference acceptance criteria?

Is the output reviewed for conformance to regulatory requirements regardless of whether

these are specified in the input information?
Are characteristics crucial to the safe and proper functioning of the final product
identified?
Verification

Is it verified that the output conforms to input requirements?

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

38
39

Changes

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

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

40
41
42

Are subcontractors and suppliers evaluated and selected on the basis of their ability to
meet contract requirements, including quality?
Is the result of this evaluation of subcontractors and suppliers documented?

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

1
2
3

Client Satisfaction

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

Are adequate client satisfaction records maintained by the firm?

Have follow-up procedures been developed and effectively implemented?

Internal Quality Audits

4
5
6
7
8
9
10
11

12
13
14

15

Has a documented, comprehensive system been developed for conducting internal

quality audits?
Is the internal quality audit system capable of verifying the efficiency and the
effectiveness of the quality management system?
Are audits scheduled on the basis of importance and tests of the activity?
Are audit procedures and follow-up actions defined and documented?

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

Are audit result brought to the attention of the appropriate management so that corrective
action may be taken?
Is corrective action taken on the deficiencies found in the audits?
Corrective Action/Control of Non-Conformances

Are documented procedures for corrective and preventive action available?

Are non-conformances investigated to search for trends, as to their common or root

cause?
Are action items implemented and evaluated?
Continuous Improvement/Kaizen

Are employees empowered to seek improvement?

17

16
17
18

Is such empowerment communicated and monitored for appropriateness?

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

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