Quality Management System Checklist Council Only

Assessment of Contractor’s
Quality Management System

(partial ISO 9001:2008 & Q4)
Transport for NSW | September 2023 | Issue 5

Assessment of contractor’s quality management system (partial ISO 9001:2008 & Q4)
SUMMARY
Assessment Report for [Insert contractor’s name]
ISO 9001 Number of
Corporate Quality Management System
Clause Nonconformities (1)
4.2.4 Control of Records
7.1 Planning of Product Realisation
7.2 Customer-related Processes
7.4 Purchasing
7.5.1 Control of Production and Service Provision
8.1 Measurement, Analysis and Improvement - General
8.2 Monitoring and Measurement
8.3 Control of Nonconforming Product
8.5.2 Corrective Action
Number of
Q4 Clause Project Quality Plan
Nonconformities (1)
4.2.3 Control of Documents
5.5 Responsibility, Authority and Communication
7.4 Purchasing
7.5 Production and Service Provision
8.1.1 Inspection and Test Planning
8.1.3 Inspection and Test Status
8.5 Improvement
Note:
(1)
Details of nonconformities are contained in the evaluation checklists
Conclusions:
Is Contractor’s quality management system suitable for accreditation? Yes / No
[Insert comments]
Assessor: Date:
RNIC-CP-15A2 1 of 1
Issue No 5
Quality Management System Evaluation Checklist

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
4 QUALITY MANAGEMENT SYSTEM
ISO 4.2.4 Is a procedure documented for identification, storage, protection, retrieval,
retention time and disposition of records needed to provide evidence of
conformity in relation to project work and of the effective operation of the
quality management system?
Applicant
Assessor W [ ]
Q4 Does the quality management system provide for preparation of a Records
4.2.4 Management Plan (RMP) in accordance with Clauses E1 and E2 of Q4,
Annexure Q/E?
Applicant
Assessor W [ ]
Q4 Does the RMP include procedures which address the requirements of Clause
Annex Q/E E1.3.1 for the following:
E1.3.1 (a)  the systematic control of the creation, registration, indexing, filing,
maintenance, storage, movement, retrieval and disposal of project records
related to the Contract?
Applicant
Assessor L [ ]
E1.3.1 (b)  providing to the Principal the information required under the Contract?
Applicant
Assessor L [ ]
E1.3.1 (c)  submission and delivery of Identified Records as specified?
Applicant L [ ]
Assessor
E1.3.1 (d)  disaster management plan in accordance with ISO 15489?
Applicant
Assessor L [ ]
E1.3.1 (e)  providing a list of Identified Records relevant to the Contract which must be
progressively handed over to the TfNSW?
Applicant
Assessor L [ ]
Q4 Is the RMP consistent with the PQP?
Applicant
Assessor L [ ]
7 PRODUCT REALISATION
7.1 Planning of Product Realisation
Q4 Are documented procedures established for preparing Project Quality Plans and
associated documents, including guidelines about how to determine project-
specific requirements in accordance with ISO 9001 Clause 7.2.1?
Applicant
Assessor W [ ]
Q4 Is a template Project Quality Plan included with the quality planning procedures
which addresses specific requirements?
Applicant
Assessor W [ ]
7.2 Customer-Related Processes
(1)
Guide to Assessors: F = Finding not considered for accreditation
L = Accreditation may be withheld if frequently rated “N” W = Accreditation withheld if rated “N”
(2)
Evaluation rating: A = Acceptable M = Marginal nonconformity or potential for improving guidelines/implementation
N = Nonconformity – condition requiring corrective action
RNIC-CP-15A2 1 of 6
Issue No 5 OFFICIAL

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
ISO 7.2.1 Is a procedure established to determine the customer’s requirements, including
those specified, those not specified but necessary for the customer’s intended
use, plus relevant statutory and regulatory requirements?
Applicant
Assessor W [ ]
Does the procedure:
ISO 7.2.2  require a review to be carried out, before submitting a tender, to check that
customer’s tender documentation adequately defines the requirements of
work under the Contract?
Applicant
Assessor W [ ]
ISO 7.2.2  require action to be taken to resolve any differences from requirements
previously expressed?
Applicant
Assessor W [ ]
ISO 7.2.2  require the review to include confirmation that the Contractor has the ability
to meet the defined requirements?
Applicant
Assessor W [ ]
ISO 7.2.2  deal with changes to requirements and ensure that documents are amended
and personnel are made aware of the changes?
Applicant
Assessor W [ ]
ISO 7.2.3  deal with customer feedback, including customer complaints?
Applicant
Assessor W [ ]
7.4 Purchasing (may be addressed in PQP)
7.4.1 Purchasing Process
Q4 Does the documented purchasing procedure provide for:
ISO 7.4.1  effective control over planning, placing orders and verifying purchased
product and suppliers to ensure that specified requirements will be met?
Applicant
Assessor W [ ]
ISO 7.4.1  evaluating and selecting suppliers on the basis of their ability to meet
specified requirements?
Applicant
Assessor W [ ]
ISO 7.4.1  establishing criteria for selection, evaluation and re-evaluation of suppliers?
Applicant
Assessor W [ ]
ISO 7.4.1  maintaining records of the results of the evaluation process and any
necessary actions arising from the evaluation process?
Applicant
Assessor W [ ]
7.4.2 Purchasing Information
Q4 Does the purchasing information provide for the description of the product to be
purchased, including, where applicable:
ISO 7.4.2  requirements for approval of product, procedures, processes and equipment?
(1)
(2)
RNIC-CP-15A2 2 of 6
Issue No 5 OFFICIAL

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
Applicant
Assessor W [ ]
ISO 7.4.2  requirements for qualifications of personnel?
Applicant
Assessor L [ ]
ISO 7.4.2  the quality management system requirements?
Applicant
Assessor L [ ]
ISO 7.4.2 Does the purchasing procedure ensure the adequacy of specified purchase
requirements before being communicated to the supplier?
Applicant
Assessor W [ ]
7.4.3 Verification of Purchased Product
ISO 7.4.3 Does the purchasing information provide for the establishment and
implementation of inspection and other activities necessary for ensuring that
purchased product meets the specified requirements?
Applicant
Assessor W [ ]
ISO 7.4.3 Does the purchasing information state the intended verification arrangements
and method of product release when performing verification at the supplier’s
premises?
Applicant
Assessor W [ ]
Q4 Does the purchasing information provide a suitable method for the contractor to
plan and implement surveillance and inspection of subcontractor’s operations to
verify conformity with their quality management system and with specified
product quality?
Applicant
Assessor W [ ]
Q4 Is a procedure documented which explains how to plan, document, implement
and monitor the controlled conditions for each work process, including:
ISO 7.5.1  information that describes the product characteristics?
Applicant
Assessor W [ ]
ISO 7.5.1  the availability of work instructions, as necessary?
Applicant
Assessor W [ ]
ISO 7.5.1  the use of suitable equipment?
Applicant
Assessor W [ ]
ISO 7.5.1  the availability and use of monitoring and measuring devices?
Applicant
Assessor W [ ]
ISO 7.5.1  the implementation of monitoring and measurement?
Applicant
Assessor W [ ]
(1)
(2)
RNIC-CP-15A2 3 of 6
Issue No 5 OFFICIAL

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
ISO 7.5.1  the implementation of release, delivery and post-delivery activities, as
applicable?
Applicant
Assessor W [ ]
Q4  special working environment aspects (when applicable)?
Applicant
Assessor F [ ]
Q4  competency and skills of personnel?
Applicant
Assessor L [ ]
Q4  that processes will be monitored to ensure their continuing suitability?
Applicant
Assessor F [ ]
Q4  records to be kept?
Applicant
Assessor W [ ]
Q4  responsibility for implementing and monitoring process controls and
rectifying any deficiencies?
Applicant
Assessor W [ ]
8 MEASUREMENT, ANALYSIS AND IMPROVEMENT (may be addressed
in PQP)
Q4 Is a procedure established which explains how to plan and implement the
ISO 8.1 monitoring, measurement, analysis and improvement processes needed to
demonstrate conformity of all work?
Applicant
Assessor W [ ]
Q4 8.1.1 Does the procedure state who is responsible for receiving, in-process and final
inspection and testing for all work activities and for closing out Work Lots?
Applicant
Assessor W [ ]
Q4 8.1.1 Does the documented procedure include a method for final review of all
inspection/test results to confirm that all inspections and tests have been carried
out to completely verify conformity for each Lot?
Applicant
Assessor W [ ]
Do template ITP and/or ITP forms indicate:
Q4 8.1.1  who performs the inspection or test and at what stage of the work?
(a)
Applicant
Assessor W [ ]
Q4 8.1.1  how the inspection or test is to be carried out and recorded? (e.g. as a
(b) documented testing procedure or by reference to a Standard test method)
Applicant
Assessor L [ ]
(1)
(2)
RNIC-CP-15A2 4 of 6
Issue No 5 OFFICIAL

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
Q4 8.1.1  the acceptance criteria and frequency of inspection and testing? (The details
(c) for the acceptance criteria and frequency of testing must replicate the
nominated requirements of the Specifications. Reference to a specification
clause alone is unacceptable)
Applicant
Assessor W [ ]
Q4 8.1.1  who reviews inspection/test results, evaluates whether work conforms,
(d) determines what to do next if work does not pass a required inspection or
test, and closes out Work Lots?
Applicant
Assessor W [ ]
Q4 8.1.1  when statistical analysis of test results is required? (refer Q4 Clause 8.2.4)
(e)
Applicant
Assessor L [ ]
Q4 8.1.1  when control of nonconformity is addressed (refer Q4 Clause 8.2.4.2) and for
(f) closing out work lots? (refer Q4 Clause 8.2.4.3)
Applicant
Assessor L [ ]
Q4 8.1.1  a method for, and who performs, final review of all inspection/test results to
(g) confirm that all inspections and tests have been carried out to completely
verify conformance for each Lot?
Applicant
Assessor W [ ]
Q4 8.1.1  the time limits for testing, time constraints for submission, and Hold and
(h) Witness Points that are nominated in the Specifications?
Applicant
Assessor L [ ]
Q4 8.1.1  the requirements of Q4 Clause 7.5.3 for Identification and Traceability and
(i) the sampling methods as required by Q4 Clause L1?
Applicant
Assessor L [ ]
8.2.4.3 Close-out of Work Lots and Release of Products
Q4 8.2.4.3 Does the procedure include a method to hold products until they have passed
ISO 8.2.4 final review of inspection and testing?
Applicant
Assessor W [ ]
ISO 8.3 Is a documented procedure established which describes the controls and
responsibilities to ensure that product which does not conform to requirements is
identified and controlled to prevent its unintended use or delivery?
Applicant
Assessor W [ ]
Does the procedure provide for the organisation to deal with nonconforming
product by:
ISO 8.3  taking action to eliminate the detected nonconformity?
Applicant
Assessor L [ ]
(1)
(2)
RNIC-CP-15A2 5 of 6
Issue No 5 OFFICIAL

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
ISO 8.3  authorising its use, release or acceptance under concession by a relevant
authority and, where applicable, by the customer?
Applicant
Assessor L [ ]
ISO 8.3  taking action to preclude its original intended use or application?
Applicant
Assessor L [ ]
Q4 8.3  ensuring submission of Nonconformity Report within 2 working days to
Principal if repairs or concessions are proposed?
Applicant
Assessor L [ ]
Q4 8.3  ensuring that reworked and repaired products are re-inspected and re-tested
to demonstrate conformity to the requirements?
Applicant
Assessor W [ ]
ISO 8.3  ensuring records are maintained of the nature of nonconformities and any
subsequent actions taken, including concessions obtained?
Applicant
Assessor F [ ]
ISO 8.3  allowing for the organisation to take action appropriate to the effects, or
potential effects, of the nonconformity when nonconforming product is
detected after delivery or use has started?
Applicant
Assessor F [ ]
Q4 Has a standard form been prepared for use as a Nonconformity Report?
Applicant
Assessor F [ ]
8.5 Improvement
ISO 8.5.2 Is a documented procedure established which describes the action that will be
taken to eliminate the cause of nonconformities in order to prevent recurrence?
Applicant
Assessor W [ ]
Does the procedure define requirements for:
ISO 8.5.2  reviewing nonconformities (including customer complaints)?
Applicant
Assessor L [ ]
ISO 8.5.2  determining the causes of nonconformities?
Applicant
Assessor L [ ]
ISO 8.5.2  evaluating the need for action to ensure that nonconformities do not recur?
Applicant
Assessor L [ ]
ISO 8.5.2  determining and implementing action needed which is appropriate to the
effects of the nonconformities encountered?
Applicant
Assessor L [ ]
ISO 8.5.2  recording the results of action taken?
(1)
(2)
RNIC-CP-15A2 6 of 6
Issue No 5 OFFICIAL

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
Applicant
Assessor L [ ]
ISO 8.5.2  reviewing the effectiveness of the corrective action taken?
Applicant
Assessor L [ ]
(1)
(2)
RNIC-CP-15A2 7 of 6
Issue No 5 OFFICIAL
Project Quality Plan Evaluation Checklist

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
4.2 QUALITY MANAGEMENT SYSTEM
4.2.3 Control of Documents
ISO 4.2.3 Are all documents in the PQP identified and revision status shown?
Applicant
Assessor W [ ]
ISO 4.2.3 Does the PQP describe how changes to project documents are identified?
Applicant
Assessor W [ ]
Q4 4.2.4 Does the PQP describe how the quality records shown in Annexure Q/E will be
stored and maintained so that they are readily retrievable, in facilities that
provide a suitable environment to minimise deterioration or damage, and to
prevent loss of the records?
Applicant
Assessor W [ ]
5 MANAGEMENT RESPONSIBILITY
5.5 Responsibility, Authority and Communication
5.5.1 Responsibility and Authority
Q4 5.5.1 Does the PQP nominate the person responsible on site for key construction
activities?
Applicant
Assessor W [ ]
Q4 5.5.1 Does the PQP list the responsibilities and authorities of personnel for:
 receiving, in-process and final (or acceptance) inspection and testing?
Applicant
Assessor L [ ]
 identifying/recording quality problems?
Applicant
Assessor L [ ]
 initiating/recommending solutions through designated channels?
Applicant
Assessor L [ ]
 ensuring corrective action is implemented and effective?
Applicant
Assessor L [ ]
 controlling further processing/delivery/installation of nonconforming product
until deficiencies or unsatisfactory conditions have been corrected?
Applicant
Assessor W [ ]
 controlling monitoring and measurement devices?
Applicant
Assessor L [ ]
5.5.2 Management Representative
Does the PQP:
Q4 5.5.2  nominate the Management Representative with corporate responsibility for
enacting ISO 9001 Clause 5.5.2?
Applicant
(1)
(2)
RNIC-CP-15A2 1 of 4
Issue No 5 OFFICIAL

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
Assessor W [ ]
Q4 5.5.2  nominate the Project Quality Representative?
Applicant
Assessor W [ ]
Q4 5.5.2  indicate the relationship between the Project Quality Representative and the
Management Representative? (only applies where the Project Quality
Representative is not the Management Representative)
Applicant
Assessor W [ ]
7 PRODUCT REALISATION
7.4 Purchasing
7.4.1 Purchasing Process
Q4 7.4.1 Does the PQP:
 apply the corporate purchasing procedure to the project?
Applicant
Assessor W [ ]
 require the Contractor to evaluate subcontractor’s capability and record the
results of the evaluation where subcontracted work involves work processes
that require process validation?
Applicant
Assessor W [ ]
 document how the subcontract requirements identified in Annexure Q/F will
be included in subcontracts and purchase orders whenever they apply?
Applicant
Assessor W [ ]
7.4.2 Purchasing Information
Q4 7.4.2 Does the PQP provide for subcontractor work process control documentation to
be included (when applicable)?
Applicant
Assessor L [ ]
7.4.3 Verification of Purchased Product
Q4 7.4.3 Does the PQP include the methods of surveillance that will be implemented for
subcontracted work (when applicable)?
Applicant
Assessor W [ ]
7.5 Production and Service Provision
Q4 7.5.1 Does the PQP apply the corporate procedure on control of production and
service provision to the project?
Applicant
Assessor W [ ]
Q4 7.5.1 Does the PQP include work process control documentation for work processes
covered by the Specifications? (Note: documentation for the main work
processes is sufficient)
Applicant
Assessor W [ ]
Q4 7.5.1 Does the PQP define responsibility for implementing and monitoring process
controls and rectifying any deficiencies?
(1)
(2)
RNIC-CP-15A2 2 of 4
Issue No 5 OFFICIAL

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
Applicant
Assessor W [ ]
7.5.2 Validation of Processes for Production and Service Provision
Q4 7.5.2 Does the PQP identify work processes, including subcontracted work, where
resulting output cannot be fully verified by subsequent monitoring and
measurement in accordance with ISO 9001 Clause 7.5.2?
Applicant
Assessor W [ ]
7.5.3 Identification and Traceability
Q4 7.5.3 Does the PQP describe how identification and traceability will be dealt with in
accordance with ISO 9001 Clause 7.5.3?
Applicant
Assessor W [ ]
Q4 7.5.3 Does the PQP describe the method(s) for subdividing work into Lots or discrete
work areas and for allocating Lot numbers, including identifying all samples
and test results with the field location to which they relate?
Applicant
Assessor W [ ]
Q4 7.5.3 Does the PQP describe how traceability of materials specified in Annexure Q/G
will be maintained (where appropriate)?
Applicant
Assessor W [ ]
8.1 Measurement, Analysis and Improvement
Q4 8.1.1 Are ITPs (and associated ITP forms) included for all inspection and testing
& Q4 required by the Specifications, including subcontracted work? (Note: for a
7.4.2 prequalification application, documentation for the main activities is sufficient)
Applicant
Assessor W [ ]
Q4 8.1.1 Do ITPs include adequate details according to Q4 Clause 8.1.1 (a)-(i)?
Applicant
Assessor W [ ]
Q4 8.1.1 Do ITPs adequately address the inspection and testing requirements for the
supplied product before it is used in the Works (Receiving Inspection)?
Applicant
Assessor W [ ]
Q4 8.1.1 Do ITPs adequately address the inspection and testing requirements for the
product during construction of the Works (In-Process Inspection and Testing)?
Applicant
Assessor W [ ]
Q4 8.1.1 Is responsibility defined for final review of all inspection/test results to confirm
that all inspections and tests have been carried out to completely verify
conformity for each Lot (Final Inspection and Testing)?
Applicant
Assessor W [ ]
8.1.3 Inspection and Test Status
Q4 8.1.3 Does the PQP describe the method for identifying and controlling the inspection
and test status of all product and work under the Contract, including product and
work which is incorporated in the Works prior to being verified as conforming?
(1)
(2)
RNIC-CP-15A2 3 of 4
Issue No 5 OFFICIAL

ISO/ Guide Finding
Requirement (1) (2)
Q4 Clause
Applicant
Assessor W [ ]
8.2.4 Monitoring and Measurement of Product
Q4 8.2.4 Does the PQP have provision to show whether each product or Work Lot has
received the frequency of testing required by the Specifications?
Applicant
Assessor W [ ]
Q4 Annex Are NATA-accredited personnel and laboratories used for sampling and testing,
Q/L2 (including selection of locations) when required?
Applicant
Assessor W [ ]
Q4 8.2.4.1 Does the PQP describe the method of release of Hold Points?
Applicant
Assessor W [ ]
Q4 8.2.4.2 Do ITPs have provision to show or reference the actual results obtained for any
inspection and/ or test?
Applicant
Assessor W [ ]
Q4 8.2.4.3 Does the PQP include an effective method for traceability/closure for any Work
Lots that may have to be covered up before the results of all conformity tests are
known?
Applicant
Assessor W [ ]
Q4 8.3 Does the PQP make provision to apply the corporate nonconformity procedure,
including the additional requirements of Q4 Clause 8.3?
Applicant
Assessor W [ ]
Q4 8.3 Does the PQP document a method to ensure submission of Nonconformity
Reports within 2 working days of detection of the nonconformity?
Applicant
Assessor L [ ]
8.5 Improvement
Q4 8.5.2 Does the PQP make provision to apply the corporate corrective action
procedure?
Applicant
Assessor W [ ]
(1)
(2)
RNIC-CP-15A2 4 of 4
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Assessment of Contractor’s

Quality Management System

Transport for NSW | September 2023 | Issue 5

Quality Management System Evaluation Checklist

Quality Management System Evaluation Checklist

Quality Management System Evaluation Checklist

Quality Management System Evaluation Checklist

Quality Management System Evaluation Checklist

Quality Management System Evaluation Checklist

Quality Management System Evaluation Checklist

Project Quality Plan Evaluation Checklist

Project Quality Plan Evaluation Checklist

Project Quality Plan Evaluation Checklist

Project Quality Plan Evaluation Checklist

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