Project Management Processes and Quality Checklist

aAuthor: Silvia Tavares Print Date: 2001/11/01

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Document name & path: C:\Data\Web Pages\auditnet\docs\PM-AuditQuestionnaire.doc Version Number:

uestionnaire pertains to projects of varying complexity, small or large, of short or long duration, in different environments and irrespective of the kind of project product

Table of contents
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Clause 5.2: Strategic processes ISO 10006:1997(E) Clause 5.3.1 Project Initiation and project plan development ISO 10006:1997(E)
Document Identification

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Document Identification Observation/ Comments Implementation/ 8. Document Result [C/N/P/A/X] organisation established beneficial relationships with subcontractors and other organisations? Document Result [C/N/P/A/X] Has the project Implementation/ Observation/ Comments Findings ReportReference Document Result [C/N/P/A/X] 1. Checklist Questionnaire Findings ReportReference Does an approved project and quality plan exist? If so is it kept up to date and by whom? Document Identification 1. Document Result Have customer and stakeholders Questionnaire [C/N/P/A/X] needs been clearly understood to ensure that all project-related processes focus meeting their needs? Checklist Checklist Questionnaire Checklist Questionnaire 8. Implementation/ Observation/ Comments Document IdentificationIdentificationhow are they managed? E.g. liaison with customer/ stakeholders reporting lines functions within th Document Checklist Questionnaire Identification project interfaces exist? Are the identified inDocument Plan and the Project Document Result Result ORGANISATIONAL STRUCTURE ISO [C/N/P/A/X] [C/N/P/A/X] 9 0 1 CLAUSE 5.8.1 DEFINITION OF PROJECT [C/N/P/A/X] 1 2 3 4 CLAUSE 5.9.1 COMMUNICATION PLANNING ISO Document Result Document Result [C/N/P/A/X] 9. DocumentDocument Questionnaire Identification Checklist Findings ReportReference Observation/ Comments Implementation/ been appointedComments with accountability, authority 6 7 7responsibility for managing the project? Observation/ and defined Implementation/ Observation/ Comments Implementation/ Has a project manager 10006:1997(E).............................................................................................................34 5 and 8 9 0 0 1 2 3 4 5 Result [C/N/P/A/X] Document Identification Checklist QuestionnaireDocumentDocument Result [C/N/P/A/X] 1. Document Result Document Result [C/N/P/A/X] [C/N/P/A/X] Implementation/ Observation/ Comments planning, organizing, monitoring and controlling all aspects of the project? Document Result [C/N/P/A/X] Project Management Processes exist for Document Identification Do ReportReference ReportReference Findings Findings 2. DocumentFindings ReportReference Result [C/N/P/A/X] Implementation/ Observation/ Comments Document Result [C/N/P/A/X] 1. Findings ReportReference 1. 1. Has the project plan been prepared to allow for traceability (measuring and assessing objectives/ deliverables? If not, is there an alternative means of tracea Document Result [C/N/P/A/X] Implementation/ Observation/ Comments closure, are consist project records or not) withinspecified time? e.g. cost, resource & time related processes 2. Which project management processes exist (documented retained for a the organisation At project the project all the of a Change Management approach/ process? Does 1. Document project carried out as a set Findings ReportReference processes? Has/ is the Result [C/N/P/A/X] responsible for managing all of the interdependencies amongst the project processes? of planned and Interdependent Who 1. Findings ReportReference is How are the customer requirements translated into activities to ensure project objectives are achieved? 1. 10. Over and above the project organisation, does the project consist of project interaction teams? E.g. risk management teams, measuring project performance, project c Has a system been put in place to collect and analyse the information gained during/ after a project for use in a continual improvement process? 2. Is there an organisation that decides to register/ undertake projects and then assign the project to a project organisation? 3. 2. 2. 2. Is the objective of the project to fulfil the requirements of a contract? If so are contract reviews performed? 3. Do Project Management guidelines and processes existreview conducted? Irrespective of the reasonensure quality? At project closure, is a Management Process include a control mechanism for documentation? Does the Change complete project with the organisation/ project organisation to for project closure. Is the clear division of responsibility versus authority between the originating organisation, project organisation, customers and stakeholders?

Clause 4:Project Characteristics ISO 10006:1997(E)

Clause 5.3.4 Project Closure ISO 10006:1997(E) Clause 5.3.3 Change Management ISO 10006:1997(E)

Clause 5:Clause 5.4 Scope related process ISO 10006:1997(E) Quality in Project Management Processes ISO 10006:1997(E) Clause 5.3.2 Interaction Management ISO 10006:1997(E) Processes ISO 10006:1997(E) Clause 5.3 Interdependency Management

11. Have provisions been made for self-assessments or internal audits? Are projects divided into sub-processes/ phases? 3. 4. Are project organisations determined assigned projects based on similar projects that have been previously undertaken? 4. Do project progress evaluations exist? If so what do they evaluate?

4. Is there an organisation responsible for monitoring the realization of the sub?process/ phase objectives and related risks? 5. Does the Project Plan consist of a Quality Plan/ Quality approach? 5. Do quality attributes exist within the Project Management Process? E.g. approvals, documentation, preventative & corrective action, reviews, traceability, training, ve

aAuthor: Silvia Tavares

6. Document name & path: C:Pages-AuditQuestionnaire.doc Version Number: Have management provided and organisational structure that is a conducive means to support the project objectives?

Is the retention of project related records managed?

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6. Print Date: 2001/11/01

Clause 5.5.2 Estimation of duration ISO 10006:1997(E)

Are reviews and progress evaluations included in the Project Plan? If so do these reviews include preventative/ corrective action measures? Checklist Questionnaire 7. Document Identification information? Does management makes project decisions based on data and factual Document Result [C/N/P/A/X] Checklist Questionnaire Document Identification Checklist Questionnaire Identification Comments Questionnaire Document Identification Implementation/ Observation/ Checklist Document Document Result Document Result [C/N/P/A/X] Document Result Document Identification Result [C/N/P/A/X] [C/N/P/A/X] Identification [C/N/P/A/X] Document DocumentQuestionnaire Checklist Findings Implementation/ Observation/ Comments ReportReference Implementation/ Observation/ Comments Implementation/ Document Result [C/N/P/A/X] Observation/ Comments Document Result [C/N/P/A/X] Document 1. Checklist Questionnaire Document Result [C/N/P/A/X] Document Result Questionnaire Document Result Comments [C/N/P/A/X] Identification Checklist Implementation/ Observation/ Comments Implementation/ Observation/ [C/N/P/A/X] Document Result project responsible for establishing the duration of the activities? Who is the [C/N/P/A/X] Document Identification Findings ReportReference Findings ReportReference Result [C/N/P/A/X] Checklist Questionnaire Checklist Questionnaire Findings ReportReference DocumentDocument Questionnaire Document Result [C/N/P/A/X] ChecklistImplementation/ Observation/ Questionnaire Identification Checklist Document Identification Checklist Document Result [C/N/P/A/X] Identification Questionnaire Comments Document 1. ChecklistDocument Result [C/N/P/A/X] Questionnaire Checklist [C/N/P/A/X] DocumentFindings ReportReference Result Questionnaire Findings ReportReference Document Identification Document Implementation/costs been clearly Identificationdocumented? If so, by whom? out in accordance to the project plan? Comments and Identification Have project is theDocument IdentificationResult [C/N/P/A/X] What Observation/for project purchasing/Comments requirements? process 1. identifiedDocument Result defined, carried Document the expenditure Are Document Result [C/N/P/A/X]activities [C/N/P/A/X] Document Identification [C/N/P/A/X] 1. Implementation/Document Result Observation/ Document DocumentImplementation/ Result [C/N/P/A/X] Document Result [C/N/P/A/X] Findings ReportReference Observation/ Comments Document ResultObservation/ Observation/ Comments Document Result [C/N/P/A/X] format of the DocumentWhata Implementation/ Comments Result the[C/N/P/A/X] project schedule? [C/N/P/A/X] been developed? Has isImplementation/ Observation/ Comments project scope Observation/ Comments 1. Implementation/ Implementation/ Findings ReportReference Document Document [C/N/P/A/X] Implementation/ Observation/Result [C/N/P/A/X] Implementation/ Observation/ objectives Findings ReportReference ResultprojectComments- does the customer/ stakeholder agree to these before implementation? Changes [C/N/P/A/X] Document Resultthat affect the Comments DocumentFindings ReportReference Document Result [C/N/P/A/X] Result [C/N/P/A/X] 1. Findings [C/N/P/A/X] Document Result [C/N/P/A/X] Document ResultReportReference 1. Findings ReportReference project leader involved the personnel who are responsible for carrying out the activities? Findings manager/ Findings ReportReference ReportReference In the definition of activities, has the project 1. 1. Findings ReportReference ReportReference Have theFindings1. requirements for both product and processes (expressed and implied) been translated into documented requirements? customers 2. 1. 1. Does a planning and control been project? plan exist 1. the projectHas thethe theresourceensure thatfor the appliedto project is are sufficient to meet the project objectives? 1. How are resource documenteddurationthe remainingon the project? and interdependencies? budget constraints? diagrams Has and been that the resource Has definedprojectprojectmanaged to ensurelinked resources completed within How does estimation of inter-relationships, logical interactions planning? the original E.g. project network costs Does a time-related budget consistent with the project requirements, assumptions, risks and contingencies? Is this documented? Is the project process exist to determine the dependencies and duration of activities to ensure timely completion of the project? 2. Have the project process been documented Have reviews been planned on the activities? Has this costs been linked to the activity definition process? and communicated to those responsible for authorizing expenditure or authorizing work that may have cost implicatio 2. 2. Have keysupporting evidence progress evaluations, critical and near-critical activities been identified in the schedule? Is there events, milestones, of alternative approaches and solutions? 2. How often is the schedule revised? 2. 2. Have the activities been defined in such a way that its outputs are measurable? Do these documented requirements include stakeholder requirements, by which the customer has agreed upon? 3. Has time allocation been planned for quality practices within the project? 3. Has the Are project expenditureinvolved reviewed, managed and maintained? are these managed? on the Project Plan? project cost estimation records significant cost relatedthe defined activities being updated risk? If so how Are variations from 3. Prior to finalizing the schedule, was the customer/ stakeholder involved in a review for approval?

Clause 5.5.3 Schedule development ISO 10006:1997(E) Clause 5.5.4 Schedule control ISO 10006:1997(E) Clause 5.4.2 Scope Development and Control ISO 10006:1997(E) Clause 5.4.1 Concept Development ISO 10006:1997(E) Clause 5.6.25.7 5.7.1 Resource planning ISO ISO 10006:1997(E) Clause 5.7.2 Resource 10006:1997(E) 10006:1997(E) ClauseClause Resource-related processes breakdown Clause Budgeting ISO control ISO 10006:1997(E) 5.6 Cost-related processes ISO Clause 5.4.3 Activity 5.5 Time-related processes ISO 10006:1997(E) Definition (tasks, work packages, work Clause 5.5.1 Activity dependency planning 10006:1997(E) structure) ISO 10006 Clause ISO 10006:1997(E)

Clause 5.8 Personnel-related 4. processes ISO 10006:1997(E) Has the Are the budget beenfor budget variances, both project cost and unfavourable identified?accordance with the approved accounting procedures within the or project root causes established based on the favourable estimation process and is it If so, is this part of a project budget review? Clause 5.11 Purchasing-related processes ISO 10006:1997(E) Clause 5.9 Communication-related processes ISO 10006:1997(E) Clause 5.10 Risk-related processes ISO 10006:1997(E)

4. Has the customer and stakeholder been involved?

aAuthor: Silvia Tavares Print Date: 2001/11/01 Document name & path: C:Pages-AuditQuestionnaire.doc Version Number:

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Clause 5.10.2 Risk Assessment ISO 10006:1997(E) Clause 5.11.5 Contract control ISO 10006:1997(E) Clause 5.11.2 Documentation of requirements ISO 10006:1997(E) Checklist Clause Development Questionnaire Clause 5.8.3 Team5.10.3 Risk Control ISO 10006:1997(E) Clause 5.11.4 Sub-contracting ISO 10006:1997(E) ISO 10006:1997(E) Document Identification Checklist Questionnaire Document Result [C/N/P/A/X] Clause 6 Learning from the Project ISO 10006:1997(E) Checklist Questionnaire Document Identification Implementation/ Observation/ Comments Document Identification Questionnaire Checklist Questionnaire Result Clause 5.9.3 Communication Control ISO 10006:1997(E) Document Document ResultChecklist Checklist Questionnaire Result [C/N/P/A/X] Document Checklist Questionnaire [C/N/P/A/X] Clause 5.11.3DocumentIdentificationsub-contractors ISO 10006:1997(E) Evaluation[C/N/P/A/X] Comments of Implementation/ [C/N/P/A/X] Observation/ Findings ReportReference Document ResultDocument Identification Clause 5.9.2 Information Management ISO 10006:1997(E)

Document Identification Document Identification Implementation/ Observation/ Comments Checklist Questionnaire Document Result [C/N/P/A/X] Document Result [C/N/P/A/X] Comments 1. Implementation/ [C/N/P/A/X] [C/N/P/A/X] Document Result Implementation/ Observation/ Comments Document Result Document ReportReference ResultObservation/ [C/N/P/A/X] Document Checklist QuestionnaireIdentification [C/N/P/A/X] Findings Was Document Result selection criteria prepared for staff allocation? Implementation/ Observation/ Observation/ Comments Implementation/ Comments Checklist Questionnaire Findings ReportReference Document Document IdentificationResult [C/N/P/A/X] 1. Findings Result Document Result [C/N/P/A/X] DocumentReportReference ReportReference [C/N/P/A/X] DocumentDocument Comments for the Identification 1. Implementation/ Observation/ Result [C/N/P/A/X] project? Findings Document Result [C/N/P/A/X] Does purchasing documentation exist 1. Findings ReportReference DocumentFindings Result Is probability of the1. [C/N/P/A/X] impact occurrence and Document Result Comments ReportReference of the identified risk assessed? [C/N/P/A/X] Implementation/ Observation/ Does the project consist of a process Comments to ensure that all contract requirements, due dates and records are met? Checklist Questionnaire 1. Implementation/ 1. Findings ReportReference Observation/plan consist of a contingency plan? Does the project Document Result [C/N/P/A/X] Document the project team does the project manage project-relevant information being supplied to subcontractors? Is Identification being recognized and rewarded? DocumentHow Result [C/N/P/A/X] 1. Findings ReportReference Document Result [C/N/P/A/X] Findings ReportReference At project closure, does the originating organisation collate, store, update and retrieve information from the project? 1. Implementation/ Observation/ Comments 1. Have project related sub-contractors been evaluated that may impact on the project? . E.g. technical experience, delivery times, quality system and financial s 2. Document Resultproject communication plan monitored and reviewed to ensure it continues to meet the needs of the project? Is the [C/N/P/A/X] Has education, knowledge and experience been accounted for allocation of project staff? Findings ReportReference 2. 1. 2. Have the customer requirements been included into the Questionnaire purchasing/ Checklist - Classifying procurement documents? How does What techniques arethe following: - the project-to prioritise, 2. the project manage being used in Preparing Collecting manage andDistributingidentifiedUpdating and - Retrieving information - record the - Filing - risks and their resolutions? 2. Checklist Questionnaire Document are2. contracts verified to ensure the performance of each subcontractor meets the contract requirements? How often Identification the 2. Do Document Identification Document How [C/N/P/A/X] Identification risks form excellence, good working relationships, trust, respect and open communication? Document Result are project encourage part of project progress reports? Does the project environment subcontractor tenders evaluated? 2. Document Result [C/N/P/A/X] Document Result [C/N/P/A/X] Implementation/ Observation/ Comments At project closure, are reviews performed of project performance, highlighting experience from the project and is the customer involved? Implementation/ Observation/ Comments Implementation/ Observation/ Comments Document Result [C/N/P/A/X] Document Result [C/N/P/A/X] Document Result [C/N/P/A/X] 3. Findings ReportReference Checklist Questionnaire Findings ReportReference Findings ReportReference manager been involved in the appointment of key team members? Has the project 1. Document Identification 3. 1. Has a project organisational structure been established? Document Result [C/N/P/A/X] 2. aAuthor: Silvia Does the project plan consist of a procurement / purchasing process? Do thethe Implementation/ Observation/ Tavares plan? 3.to ensure that all requirements are completely specified? Does purchasingplan consist of a communication process project documents go through a review Comments 3. Do projectAre risks that mayof meeting agendas? or project budget, Print Date: 2001/11/01 meetings consist impact time schedules identified and maintained separately? Are all contracts, prior to project closure, verified and updated? Document Result [C/N/P/A/X] 40 37 34 31 Findings ReportReference name & path: C:Pages-AuditQuestionnaire.doc Document 1. Version Number: How often are risks identified through the project life cycle? 4. Is project staff efficiency and effectiveness being monitored (subcontractors or not)? 2. 2. Is the project organisational structure encouraging for communication and co?operation between the project participants? Does the process cover to transmit project communiqu?s? internal and external acquisitions? What media is being used

2. How are these risks managed? 3. 3. Is the project organisational structure appropriate for project scope, size and local conditions? aAuthor: Silvia Tavares Does the project organisational structure identify the interfaces Print How often are project communiqu?s transmitted? Date: 2001/11/01 with sub?contractors?
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4. Does the project organisational structure identify customer/ 4. stakeholders?