INFRASTRUCTURE MANAGEMENT SUPPLIER SURVEILLANCE AUDIT RECORDSurveillance 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 CHECKLISTPre-Audit Activities1. 2.

Obtain copy of DOD/Supplier Contract Document

Contract No:

.

Check that SOW services below are included in the contract

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

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REF 1 1.1

PM/CA SERVICES Development of SBC

ELEMENT

AUDIT COMMENT

OFI

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 2.3

Development of DBC 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 3.2

Assistance with PWC Matters Prepare PWC Referral Documentation and Statement of Evidence Prepare Technical Support Material Manage preparation of Environmental and Heritage Assessments and Approvals Provision of Services as per DCAP

3.3

3.5/6

4 4.1

Project Start up and preliminary Site Investigation Identify start-up work (risk, feasibility or options studies, cost estimates, site analysis, E&H) Identify any specialists required

4.1

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5

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

5.2

5.2

Advise all necessary Stakeholders of all design reviews Facilitate all Design Reviews

5.3

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 5.7

Claims submitted by Design Consultant 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 6.1

Conduct Value Management Review (VMR) 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 Project Management and Contract Administration Prepare appropriate Construction Contracts from the Defence Suite of Contracts

8 8.1

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 Consultant

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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 MCs design development program Review/reject MCs Design Documentation and provide comments Approve or reject MCs Cost Plan

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Engage external party to perform external review of MCs Cost Plan Approve or reject MCs 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 9.1

Coordination with CMS Contractor Administration of DLP

9.4

Review CMS Detailed Defects Liability Management Plan

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11

Stakeholder Consultation

Review Siting, Design and 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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