Project Management Processes – Audit Checklist & Quality Assessment

Project Name:   _____________                                                                                               ___                                                                                  

Audit Date(s):  _________________________                                                                          __

Project Manager: _____                                                                                                                _

Project Auditor: ______________                                                                     ______________

Project Management Process: Initiating

Indication:

1 = Not Addressed    2 = Adequate 3 = Well Covered

No.

Particulars

1.1

Is the project statement of work received from the project sponsor or initiator?

1.1.1

Does the project idea have been initiated to meet a business need?

1.1.2

Does the project align with the strategic plan of the organisation?

1.1.3

Is the product scope document clearly presented?

1.2

Is the business case created and approved?

1.3

Is an agreement made with the project sponsors?

(Memorandum of understanding / Letters of agreement / Service level agreement / written agreement / contract / letter of intent)

1.4

Is the project provided with any sort of organisational processed assets?

1.5

Are the factors related to enterprise environment considered in the project?

2.1

Are the judgements of the experts utilised in assessing the inputs of the project?

2.2

Is the project charter developed using any guide of facilitation technique?

3.1

Is the project charter authorised by client or sponsors?

3.1.1

Does the project charter present all assumptions and constraints of the project?

3.1.2

Does the project charter capture the high level requirements?

4.1

Does the project charter present the list of all stakeholders?

4.2

Is the project based on a contract or a result of procurement activity?

4.2.1

Are the names of the suppliers presented in the stakeholder list?

5.1

Is the stakeholder analysis conducted for the project?

5.2

Are the profile analysis meetings undertaken to identify the primary stakeholders?

6.1

Is a stakeholder register prepared and maintained?

Project Name:   _____________                                                                                                  _                                                               

Audit Date(s):  _______________________                                                                            __                                                                         

Project Manager: 

Project Auditor: _____________                                                                     ______________

Project Management Process: Planning

Indication:

1 = Not Addressed    2 = Adequate 3 = Well Covered

No.

Particulars

1.1

Are the high level constraints of the project presented in the charter?

1.2

Are the outputs from other processes been included in the PM plan?

1.3

Are the factors related to enterprise environment considered in developing the PM plan?

1.4

Does the PM plan considers or involves any organisational process assets?

2.1

Are the judgements of the experts used to develop the PM plan?

2.1

Is the project management plan developed using any facilitation techniques such as conflict resolution, brainstorming, and problem solving?

3.1

Does the project management plan include the following items:

3.1.1

· Execution, monitoring and controlling plan

3.1.2

· Change & stakeholder management plan

3.1.3

· Communication management plan

3.1.4

· Schedule management plan

3.1.5

· Configuration management plan

3.1.6

· Cost management plan

3.1.7

· Human resource management plan

3.1.8

· Scope statement and scope management plan

3.1.9

· Quality management plan

3.1.10

· Risk management plan

4.1

Is the scope management plan developed using the approved subsidiary plans for project management?

4.2

Is the project charter considered while developing the scope management plan?

4.3

Are the factors of enterprise environment considered while developing the scope management plan?

4.4

Are the organisational process assets considered while developing the scope management plan?

4.5

Are the judgements of the experts used to develop the project scope plan?

4.6

Is the project scope plan developed using any facilitation techniques such as conflict resolution, brainstorming, and problem solving?

4.7

Is the scope management plan developed on the basis of the requirements of the project?

5.1

Does the scope management plan clearly present the requirements of the project?

5.2

Is the process of collecting resources presented in the requirement management plan?

5.3

Does the stakeholder management plan present the communication requirement to deal with the resource management activities?

5.4

Are the requirements of the project developed using the project charter?

5.5

What sort of techniques and tools have been utilised to collect the requirements? Please mention.

5.6

Is the matrix to trace requirements been created in the PM plan?

6.1

Are the activities for executing, monitoring and controlling process have been developed using the scope management plan?

6.2

Is the project scope statement developed using the project charter?

6.3

Are the organisational process assets considered while developing the scope statement?

6.4

Are the judgements of the experts used to develop the project scope statement?

6.5

Is the product analysis technique used in the project planning?

6.6

Are facilitated workshops conducted to develop project objectives and constraints?

6.7

Does the project scope statement present the primary deliverables, constraints and assumptions?

7.1

Does the Scope management plan guide how to create the WBS (Work Breakdown Structure)?

7.2

Are the factors of enterprise environment considered while developing the WBS?

7.3

Is the WBS developed considering the organisational process assets?

7.4

Is the decomposition technique used to create the WBS?

7.5

Are the judgements of the experts used to develop the WBS?

7.6

Is the scope baseline approval available for the project?

8.1

Is the management of the project schedule influenced by the project approval requirement and milestone schedule in the project charter?

8.2

Are the factors of enterprise environment considered while developing the project schedule plan?

8.3

Are the organisational process assets considered while developing the project schedule plan?

8.4

Are the judgements of the experts used to develop the schedule management plan?

9.1

Is the activity list developed for the project?

9.2

Are the features of the activities utilised to develop the project schedule?

9.3

Is the milestone list presented in the project plan?

10.1

Is the lag or lead effectively defined in the activity plan?

10.2

Is a network diagram created in the project plan?

10.3

Is the precedence diagramming technique used to develop the schedule model?

10.4

Is the dependency determination technique used to develop the process of sequencing the activities?

11.1

Is a resource breakdown structure developed for the project?

11.2

Are the activity resource requirements calculated for the task packages?

11.3

Is a resource calendar presented in the project plan?

12.1

Are the judgements of the experts used to estimate the activity duration?

12.2

Are the following technique used to estimate the activity duration:

12.2.1

· Parametric Estimation Technique

12.2.2

· Analogous Estimation Technique

12.2.3

· Three Point Estimation Technique

12.2.4

· Group Decision Making Technique

12.2.4

· Reserve Analysis

13.1

Is a project schedule developed for the project?

13.2

Is the schedule network analysis method used to create the project schedule?

13.3

Is the critical path technique used to create the project schedule?

13.4

Is the critical chain technique used to create the project schedule?

13.5

Is the resource optimisation method used to adjust the project schedule?

13.6

Is the schedule compression method used to adjust the duration of the project schedule?

13.7

Is the schedule baseline developed and approved by the sponsor or client?

14.1

Is the cost baseline presented in the project plan?

14.2

Are the activity cost estimation made for the project?

14.3

Are the supporting documents for estimation of cost presented with the cost forecast?

14.4

Are the funding requirements determined utilising the cost baseline?

14.5

Is any of the project document updated on the basis of budget requirements?

15.1

Does the project management plan present the quality metrics to measure the quality of the project?

15.2

Are the quality checklist developed to measure the performance of the activities?

15.3

Is a project improvement plan developed to improve the project activities?

16.1

Is a risk register developed and maintained for the project?

16.2

Is qualitative risk analysis conducted to identify the risks?

16.3

Is quantitative risk analysis conducted to identify the risks?

16.4

Is a risk mitigation plan developed to eliminate the threats?

17.1

Is a procurement management plan developed for the project?

17.2

Is the procurement statement developed on the basis of the project baseline?

17.3

Does the procurement documents have been created and utilised to request proposal from the suppliers?

17.4

Is the make-or-buy analysis conduct in the project?

17.5

Is a source selection criteria included in the procurement plan?

Project Name:   _____________                                                                                                  _                                                               

Audit Date(s):  _______________________                                                                            __                                                                         

Project Manager: ____                                                                                                                _

Project Auditor: ____________                                                                        ______________

Project Management Process: Executing

Indication:

1 = Not Addressed    2 = Adequate 3 = Well Covered

No

Particulars

1.1

Has judgement of the experts been taken into account to direct and lead the project management process?

1.2

Has the team developed management information system for the project?

1.3

Has the team arranged meetings to discuss direction and execution steps?

1.4

Have each of the deliverables been included in the management plan?

1.5

Has the team collected the entire work performance data?

1.6

Have any change requests been considered for the project at the earlier stages?

1.7

Has the requested changes been included in the project management plan?

2.1

Have the team used any quality management tools and techniques? (Provide detail information)

2.2

Have quality audits been performed to decide the fulfilment of project related actions?

2.3

Has the team performed process analysis in the project work?

2.4

Have requests for change been developed and addressed to develop change control procedure?

3.1

Has the project involved any virtual teams?

3.2

Has the staff members been allocated to particular teams?

3.3

Has the resource calendar been included the schedule of each of the project team members?

3.4

Has multi-criteria selection analysis been utilised to assign project teams?

4.1

Have interpersonal skills of team members been developed?

4.2

Has proper training and development been designed to increase skills and competencies among the staffs?

4.3

Has performance assessment been taken into account in the project work?

4.4

Have tactical team building actions been promoted to influence the collaboration of team members?

5.1

Have performance appraisal of project been performed?

5.2

Has any particular conflict management techniques been taken into consideration in the project work?

6.1

Has effective communication strategy and process been followed as per the communication planning?

6.2

Has the initial planning been updated following the current performance?

7.1

Have any bidder conferences been arranged in the project work?

7.2

Have the project used proposal evaluation technique to identify the seller?

7.3

Has the contract between purchaser and seller been performed?

8.1

Has the team developed any issue log to increase stakeholder engagement?

Project Name:   _____________                                                                                                  _                                                               

Audit Date(s):  _______________________                                                                            __                                                                         

Project Manager: ____                                                                                                                _

Project Auditor: _____________                                                                   _____________   _

Project Management Process: Closing

Indication:

1 = Not Addressed    2 = Adequate 3 = Well Covered

No.

Particulars

1.1

Has the expert judgement been consulted at the time of project closure?

1.2

Have the team completed the entire closure documents related to the project?

2.1

Has the team considered any procurement auditing according to the process management planning?

2.2

Has the documentation been safely recorded?

2.3

Have all process been closed and signed off by the two parties to end the agreement in a formal way?