INFRASTRUCTURE MANAGEMENT

SUPPLIER SURVEILLANCE AUDIT RECORD

Surveillance Audit No: ………………. Date of Audit: ………………………………………….

ID Audit Team: Lead Auditor: ……………………………………… PD/PO: ………………………………………….. ….Observers: ……………………………………

Project Audited: ………………………………………………………………………………………………………………… Project No: …………………………………..

Scope of Audit: ……………………………………………………………………………………………………………………………………………………………………...

Supplier Audited: Company Name: ………………………………….. Site Office:………………………………………Head Office: ………………………………………

Delivery Type: PM/CA managing >>>> Head Consultant / Head Contractor / Managing Contractor / D & C

Supplier Representative/s: …………………………………………………………………… Role: …………………………………………………………………………...

…………………………………………………………………… Role: ……………………………………………………………………………

…………………………………………………………………….Role: ……………………………………………………………………………

AUDIT CHECKLIST

Pre-Audit Activities

1. Obtain copy of DOD/Supplier Contract Document Contract No: ………………………………………………………………………….

2. Check that SOW services below are included in the contract

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 3. Identify additional DCAP elements to audit ( manually insert on checklist )

REF PM/CA SERVICES ELEMENT AUDIT COMMENT OFI

1 Development of SBC
1.1 Review and/or define User
Requirements Brief (CSIR) to
validate project requirement

1.2 Identify Project Risk

1.3 Conduct Parallel Planning (eg

feasibility/options studies

1.4 Undertake investment

evaluation analysis incl
WOL/NPOC

1.7 Coordinate Stakeholder

consultation

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1.8 Conduct Value Management
Studies

1.9/10 Provide detailed planning cost

estimates to plus minus 30%
confidence

Provision of Services as per

DCAP

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2 Development of DBC
2.3 Develop clearly identified
Scope, Cost and Risk

Develop Performance
Requirement Brief

Develop Functional Design

Brief

Obtain Environmental clearance

(EIS or ECC)

Develop Design Development

Documentation

Develop Delivery Program and

Expenditure Profile

Provision of Services as per

DCAP

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3 Assistance with PWC
Matters
3.2 Prepare PWC Referral
Documentation and Statement
of Evidence

3.3 Prepare Technical Support

Material

3.5/6 Manage preparation of

Environmental and Heritage
Assessments and Approvals

Provision of Services as per

DCAP

4 Project Start up and

preliminary Site
Investigation
4.1 Identify start-up work (risk,
feasibility or options studies,
cost estimates, site analysis,
E&H)

4.1 Identify any specialists required

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5 Selection and
engagement of Design
Consultant and
Design Management
5.2 Develop Design Review
Schedule

5.2 Advise all necessary

Stakeholders of all design
reviews

5.3 Facilitate all Design Reviews

5.4 Obtain Design Certifications by

an appropriate qualified person

5.5 Obtain Certificates of

Compliance on Fire and OHS
from Building Surveyor

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5.6 Claims submitted by Design
Consultant

5.7 Undertake independent audit of

Design Consultant for technical
compliance, quality and
performance standards to ensure
fit for purpose

5.7 Provision of Services as per

DCAP

6 Conduct Value
Management Review
(VMR)
6.1 Prepare, organise and facilitate
VMR of FDB and PSP for each
construction package incl cost
benefit study

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7 Selection and
Engagement of
Construction
Contractors

8 Project Management
and Contract
Administration
8.1 Prepare appropriate
Construction Contracts from the
Defence Suite of Contracts

1.1 MANAGEMENT OF
DESIGN CONSULTANT
Receives all Contract
Documents

Inspect carrying out of Services

Inspect Design Documentation

Receive Design Certification

that design complies with all
statutory requirements

Monthly meetings with the

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Consultant
Receive and Review Insurances

Review Design Documentation

and any re-submitted DD and
reject DD if non compliant

Review any amended DD

Audit or monitor Consultants

compliance with their QMS

Receive and approve copies of

all programs

Consult with Consultant to

maximise ESD/WOL objectives

Receive a copy of the records of

names and addresses of each
person who is the author of any
Design Documentation or part
of the services
Monitor Consultant compliance
and obligations under National
Code of Practice

Variation Management (that

directions constitute a variation,
issue of variation, impact on
program, fee decrease/decrease)

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 Claims Management

EOT/ Date of Completion

Management

DCAP Services

1.2 MANAGEMENT OF HEAD

CONTRACT
Receives Approved Security
from Contractor

Ensures Insurances taken by

Contractor

Receives draft Project Plans

from Contractor (Plan include
EMP, Cost Plan, Safety Plan,
Quality Plan etc)

Review/Reject Project Plan

Inspect the Contractors

Activities, QMS

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Direct Contractor to carry out
any tests

Monitor Contractors
compliance to any EIS, ECC
and OHS conditions

Inspect final works and issue

Notice of Completion

Ensure Commissioning and

Handover activities undertaken

Carry out POE prior to expiry

of DLP

Monitor Contractors
compliance to National Code of
Practice.

Variation Management (that

directions constitute a variation,
issue of variation, impact on
program, fee decrease/decrease)

Claims Management

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 EOT/ Date of Completion
Management

DCAP Services

2 MANAGEMENT OF
MANAGING
CONTRACTOR
Receives approves or reject
MC’s design development
program

Review/reject MC’s Design

Documentation and provide
comments

Approve or reject MC’s Cost

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Plan

Engage external party to

perform external review of
MC’s Cost Plan

Approve or reject MC’s

Program of Activities

Engage a third party to perform

an external review of the
program

Receives/reviews/reject Project
Plan

Review/Reject Design Detailed

Documentation and amended
DDD

Receives Signed Surveyors

Certificate

Inspect Contractors Activities

QMS

Direct MC to carry out tests

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Monitor Contractors
compliance to any EIS, ECC
and OHS conditions

Ensure all Project

Documentation required for
Commissioning and Handover
received

Inspect works and Issue Notice

of Completion

Ensure Commissioning and

Handover activities undertaken

Carry out POE prior to expiry

of DLP

Monitor Consultant compliance

and obligations under National
Code of Practice

Variation Management (that

directions constitute a variation,
issue of variation, impact on
program, fee decrease/decrease)

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 Claims Management

EOT/ Date of Completion

Management

DCAP Services

9 Coordination with
CMS Contractor
9.1 Administration of DLP

9.4 Review CMS Detailed Defects

Liability Management Plan

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11 Stakeholder Review Siting, Design and
Consultation Construction against WOL plan,
functionality and Quality,Time
and cost objectives
Manage Design
Consultant/other parties for
Scope Creep and relevant
involvement

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