Project Forms and Checklists

L O S S P R E V E N T I O N E D U C AT I O N
FROM THE DESIGN PROFESSIONAL GROUP
O F T H E X L I N S U R A N C E C O M PA N I E S
 Notice to Readers
The Design Professional group of the XL Insurance companies is convinced that professionals who
are knowledgeable about liability exposures and who use good risk management techniques are in
a better position to prevent claims and mitigate their losses.

Our professional liability education programs are designed to introduce firms to loss prevention
concepts and risk management procedures. In addition, we reward our policyholders who take the
time and effort to educate their employees. Talk to your agent or broker for further details on how
your firm can qualify for premium credit.

The information contained herein is intended for informational purposes only and does not constitute legal advice. For
legal advice, seek the services of a competent attorney. Any descriptions of insurance provisions are general
overviews only.

"XL Insurance" is the global brand used by XL Group plc’s (NYSE: XL) insurance companies. Coverages underwritten
by Greenwich Insurance Company, Indian Harbor Insurance Company, XL Specialty Insurance Company, and XL
Insurance Company Limited—Canadian Branch. Coverages not available in all jurisdictions.

Published by the Design Professional group of the XL Insurance Companies

30 Ragsdale Drive, Suite 201 in Canada:
Monterey, California 93940-7811 48 Yonge Street, Suite 400
USA Toronto, Ontario M5E 1G6
800-227-8533, x210-2524 Canada
831-657-2524 800-820-2721
416-363-3690
www.xldp.com

© 2008 X.L. America, Inc. All rights reserved. This publication may not be duplicated without written consent of
X. L. America, Inc.
 PROJECT FORMS AND CHECKLISTS 1

Project Forms and Checklists

PROGRAM DESCRIPTION
The purpose of this Professional Liability Education Program (PLEP) is to help you develop—or review and
update—forms, checklists and procedures in key project management areas.

One of the most effective ways to manage risk exposure is to adopt and follow standardized project manage-
ment procedures. Project forms and checklists are important components of the project management and
quality control/assurance processes. By developing, consistently using and improving the forms and proce-
dures you use, you really can help minimize your firm’s risk.

This program consists of two parts: Part 1 focuses on forms and checklists that apply to your scope of serv-
ices and to the shop drawing review process, while Part 2 asks you to consider the documentation you use
for pre- and post-project evaluations.

M AT E R I A L S
– This Project Forms and Checklists program booklet.
– Lessons in Professional Liability: A Loss Prevention Handbook for Design Professionals. (This book was
provided to your firm with a previous education program, but please contact 831-657-2524 if you do
not have a copy of this publication.)
– Your firm’s existing project forms, checklists, procedures and any other related documentation.

PA RT I C I PA N T S
Please assign a qualified individual in your firm to complete this program. Depending on the size of your firm,
you may want to consider organizing a small group complete the program.

PREMIUM CREDIT
Successful completion of “Project Forms and Checklists” earns your firm a premium credit of up to 10 per-
cent on your professional liability insurance.

GENERAL INSTRUCTIONS FORMS AND CHECKLISTS MAIL TO:

Follow the specific instruction in Part 1 and
Part 2 of this booklet to develop or refine your
existing project forms and checklists.
After your firm has completed the tasks
described in Part 1 and Part 2, please submit
the following materials to XL Insurance:
The Design Professional group will review your
forms, advise you of the acceptability of your submission and notify your firm of premium credit earned.
– Scope of Services Checklist
– Shop Drawing Log
– Shop Drawing Checklist
– Pre-Project Evaluation
Checklist and Procedures
– Post-Project Evaluation
Procedures (and any related
forms or checklists).
Education Program Administration
XL Insurance
Design Professional group
30 Ragsdale Drive, Suite 201
Monterey, CA 93940-7811
Or fax to: 831-649-3240

Note that the forms you submit for Part 2 (Pre- and Post-Project Evaluation Forms) may be utilized in another
PLEP course, the “Project Evaluations” program. Ask your agent or broker for details.
 PROJECT FORMS AND CHECKLISTS 2

Part 1:
Develop Forms and Checklists
The purpose of Part 1 is to help you develop forms, checklists and procedures in two specific areas for use
as project management and loss prevention tools in your firm. If you already have such forms, we suggest
that you review and refine them during the course of this program.

INSTRUCTIONS

Scope of Services Checklist

Develop a scope of services checklist and corresponding procedures to use as a guide for developing and
negotiating a comprehensive work scope with your clients. Be sure to include any elements or requirements
that are unique to your firm.

See Chapter Four in Lessons in Professional Liability: A Loss Prevention Handbook for Design Professionals
for a discussion regarding the importance of your scope of services and a sample “Scope of Services
Checklist” in Exhibit 11.

Shop Drawing Log and Shop Drawing Checklist

Develop forms to track and monitor the quality of shop drawings. The forms should be tailored to your prac-
tice and reflect your firm’s project management procedures.

See Chapter Five in Lessons in Professional Liability for a discussion on shop drawings and submittal reviews.
Exhibits 19 offers a sample “Shop Drawing Log,” and Exhibit 20 shows a model “Shop Drawing Checklist.”
 PROJECT FORMS AND CHECKLISTS 3

Part 2:
Pre- and Post-Project Evaluations
The purpose of this portion of the program is to help you develop or refine your firm’s tools for assessing
prospective projects and evaluating your performance on completed projects.

INSTRUCTIONS

Pre-Project Evaluation
Develop a checklist and procedures to evaluate a new project before acceptance by your firm. Some things
to consider are:
– When to conduct the evaluation
– What elements or factors will be included in your evaluation
– What rating methodology you will use
– Who in your firm should be involved in the evaluation
– How the final go/no-go decision will be made

Refer to Chapter Four in Lessons in Professional Liability for more information on this topic. See the sections
on “Project Selection,” “Assessing the Risks of a Project” and “Evaluating Your Client”, as well as Exhibit 9, a
sample red flag checklist.

Post-Project Evaluation
Develop written procedures to review and evaluate all major projects upon completion. The procedure should
include a meeting to review problems encountered, how they were resolved, lessons learned and the impact
on future projects. Some factors to consider are:
– Who in your firm should be involved in the evaluation
– Level of client satisfaction
– Budget and schedule compliance
– Profitability
– Performance of outside consultants
– Performance of general contractor
– Contractual problems
– Issues related to the plans and specifications
– Relationships and communications
– Dispute avoidance and resolution

The procedure should include a provision for a written record of the topics discussed during the review and
any revised procedures to be implemented in future projects.

Chapter Four in Lessons in Professional Liability offers additional information on project performance evalua-
tion. Exhibit 14, a sample “Completed Project Evaluation Form,” may be helpful to you.
 PROJECT FORMS AND CHECKLISTS 4

Additional Resources
XL Insurance offers a number of different workshops that address the forms, checklists and procedures
employed during project selection, management and close-out. To learn more, contact your agent or broker
regarding the availability of these workshops in your area:

Client Selection & Management walks you through setting up a client review and intake process to
examine a prospective client’s reputation, financial condition, claims history, experience level, dispute resolu-
tion philosophy and communication style. The program also offers tools and tactics to help you manage your
client’s expectations during the course of the project.

Contract Management contains an entire section on how to evaluate a project’s risk before entering into
contract, such as collecting important information about the project team members and their experience, any
special project considerations, the adequacy of the project budget and more.

Time Management and Project Initiation offers a number of standardized forms to help you kick-off a
project successfully, including a telephone log, a project summary form and a project responsibility matrix.

Managing Construction Phase Risks has additional tips, techniques, reports and forms that can help
you during the construction phase, including a pre-construction meeting agenda, a request for substitution
form, and examples of a site visit report, a weekly project status report and an early action plan for handling
disputes.