RISK MANAGEMENT / QUALITY ASSURANCE AUDIT

PREPARATION CHECKLIST:
CONSTRUCTION

The following is a summary of the records / evidence we will need access to
during the audit. Please ensure that any records you have are in an orderly and
accessible format on the day of the audit. Please do not attempt to create
records prior to the audit the audit aims to identify any shortcomings and to
advise you accordingly so that your risk management and quality assurance
measures can be improved over time.

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Aspect of Risk Management / Quality Assurance
Yes,
No,
N/A,
Query
Comments (if relevant)
(E.g. note if file/folder, database etc, where/ located
and/or who is responsible or explain why you think
something may not be applicable to your business).
A) Organisation & Structure

Partnership agreement / Memorandum of Association
Management meeting agenda and schedule
Management meeting minutes / notes
Organisation structure
Management roles & responsibilities


B) Business Planning

Business / Practice Development Plan
Evidence of monitoring, review and update of same
(minutes / notes of meetings)


C) Financial Control

Current budget for income & expenditure
Cash flow forecast
Variance Analysis of actuals vs. forecast
Example of other regular financial / performance reports
Evidence of monitoring and review of above
Last set of audited / certified accounts
Certification of monies due
Client Money Controls (if appropriate):
Client money rules (from professional body)
Training evidence for those involved in client money
Auditors checks on CM handling / calculations


D) Prevention of Financial Crime

Financial Authorisation levels / policies
Dual signature policies / mandates
Anti Money Laundering Controls (if appropriate):
MLRO role defined
Evidence of AML training
Central records of ML reports (internal / external)
Evidence of review of AML systems



RISK MANAGEMENT / QUALITY ASSURANCE AUDIT :
ARCHITECTS, SURVEYORS & ENGINEERS

INSUREDS PREPARATION CHECKLIST


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E) People Management

Personnel Files containing
Job Descriptions / competencies
Contracts of Employment
Appraisals / development reviews
Training Records
For new staff taken on (in last 12 months):
Recruitment records (short listing & interviews)
Induction Training
Reference requests and replies
Any other fitness/propriety checks
Correspondence (successful / unsuccessful)


F) Working Environment

Document Management:
In-house precedents
Library / Research facilities / lists
Health & Safety Systems:
Risk Assessments / evidence of action taken
Policy & Procedures
Training Records
Equipment Management:
Equipment maintenance schedules and records
Calibration schedules and records
Personnel policies:
Equality & diversity / Disability Access Policy
Whistle-blowing policy
General:
Business continuity / contingency plans
Evidence of review and/or test of same


G) Information Technology

Design / calculation software test and monitoring records
Data Protection Act Registration
Internet & E-mail usage Policy
Hardware & Software support agreements
Virus / security protection systems
Back-up systems
IT workstation safety assessments



RISK MANAGEMENT / QUALITY ASSURANCE AUDIT :
ARCHITECTS, SURVEYORS & ENGINEERS

INSUREDS PREPARATION CHECKLIST


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H) File / Project Document Management

Identification / referencing system
Project documentation controls
Drawing or other specification control systems
Systems for management of client documents/property
including confidentiality policy
File security, storage and retention systems
Current assignment list (showing person responsible &
project type) - from which will be selected files for review


I) Client Care

Complaints Policy / Leaflet (for client issue)
Client feedback records (reports and correspondence)
Reactive - complaints / other feedback
Proactive - surveys (any format)
Any analysis and review of client feedback / complaints
and action taken as a result
Precedent Terms of Business, Service Agreements,
Standards or Charters
Code of Conduct / Client Care Policy
Brochure, web-site and/or other promotional literature
Details of fee sharing / referral agreements and partners


J) Management of Assignments

For review via individual project files/information:
Outset:
Client identification and acceptance
Cost breakdown / business case / risk assessment
Terms of business / contract
Confirmation / agreement of instructions
Issue of client care / complaint & contact details
Progress:
Key Information (Project Summary/Quality Plan)
Evidence of compliance with instructions
Assignment status and client updates
Evidence of compliance with key dates
Change management / notification records
Assignment monitoring and review
Time recording / charging records (if relevant)
Completion:
Completion evidence (checklists, acceptance, sign off)
Standard terms of disengagement



RISK MANAGEMENT / QUALITY ASSURANCE AUDIT :
ARCHITECTS, SURVEYORS & ENGINEERS

INSUREDS PREPARATION CHECKLIST


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K) Use of Third Parties

Vetting and approval records
Tender / selection processes and records
Documented instructions
Clear evidence of advice given or other work undertaken
Supervision records (inspection, review and/or audit etc)
Complaints or other feedback records


L) Assignment Supervision

Supervision structure / responsibilities / competencies
Evidence of allocation and review of work
File/Project inspection schedule and records
Any analysis and actions from inspections


M) Risk Management

General:
Management Role for Risk Partner / Manager
Work-type risk profiles (generic risk information)
Annual review of risk (if undertaken)
Individual assignments:
Formal risk analysis of new work
Review of changes in risk profile during progress
Concluding risk review / project debrief
Notes/reports re: above and documented controls for
resulting actions and changes


N) Continual Improvement

Controlled copy of Practice / Quality Manual
Up to date Revision History Record
Quality / Client Care Policy and objectives
Evidence of communication of the above
In-house audit records
Third party audit records
Reviews by professional body
Other evidence of feedback, review and improvement