Quality Assurance/ Quality Control (QA/ QC)

Quality Assurance/ Quality Control (QA/ QC):				be, product development projects should be done in
				accordance with ISO requirements. ISO compliance
GUIDELINES FOR THE POME QUALITYASSURANCE				supports the implementation of project management
PLAN CHECKLIST:				disciplines and controls. If you implement good
This checklist is provided as part of the evaluation				project management practices, you will be naturally
process for the Quality Assurance Plan. The				ISO compliant, and if you implement ISO
checklist assists designated reviewers in determining				requirements you will end up enforcing many sound
whether specifications meet criteria established in				project management practices.
POME'S Project Development Methodology				The purpose of the Quality Controller/ Quality
(POMEPDM). The objective of the evaluation is to				Assurance (QC/QA) in the Projects is to determine
determine whether the document complies with				the applicability of International Standards for
POMEPDM requirements.				‘Guidelines Quality in Project Management'. The
Mentioned below is the DOCUMENT REVIEW				questionnaire refers to project management
CHECKLIST. Its purpose is to assure that				processes to enable a framework for QC/ QA to
documents achieve the highest standards relative to				discuss their application. The questionnaire pertains to
format, consistency, completeness, quality, and				projects of varying complexity, small or large, of
presentation.				short or long duration, in different environments and
Submissions must include the following three				irrespective of the kind of project product. The
documents, and must be presented in the following				content of the questionnaire has been derived form
order: (First) Document Review Checklist, (Second)				the International ISO 10006:1997(E), made accordingly
the Quality Assurance Plan Checklist, and (Third) the				with the POME Methodologies.
Quality Assurance Plan.
				Definition of Categories
The Quality Assurance Plan (QAP) presents a				C = Compliant, N = Non-compliant
framework for activities, which when followed, will				P = Present, A = Absent, X = Not applicable
ensure delivery of quality products and services.				Project Characteristics Checklist Questionnaire
The SDM provides the project standards and				Document Identification
procedures to be used as the basis for the QA				Document Result
group's reviews and audits.				[C/N/P/A/X]
Document Review Checklist:				Implementation/ Observation/ Comments
				1.1
To be completed by Author				Do Project Management Processes exist for planning,
To be completed by Reviewer				organizing, monitoring and controlling all aspects of the
REQUIREMENT				project?
AUTHOR X‑REFERENCE Page #/Section #
AUTHOR COMMENTS
COMPLY
REVIEWER COMMENTS
Y
N				1.2
1.0 GENERAL INFORMATION				Is there an organization that decides to register/
1.1				undertake projects and then assign the project to a
Purpose: Describe the purpose of the Quality				project organization?
Assurance Plan.




				1.3
1.2				Are projects divided into sub-processes/ phases?
Scope: Describe the scope of the Quality Assurance
Plan as it relates to the project.

				1.4
				Is there an organization responsible for monitoring the
				realization of the sub-process/ phase objectives and
				related risks?
1.3
System Overview: Provide a brief system overview
description as a point of reference for the remainder
of the document, including responsible organization,				Quality in Project Management Processes Checklist
system name or title, system code, system				Questionnaire
category, operational status, and system				Document Identification
environment and special conditions.				Document Result
				[C/N/P/A/X]
				Implementation/ Observation/ Comments
				Which project management processes exist
				(documented or not) within the organization e.g. cost,
				resource & time related processes
1.4
Project References: Provide a list of the references
that were used in preparation of this document.


				Do Project Management guidelines and processes
				exist with the organization/ project organization to
				ensure quality?
1.5
Acronyms and Abbreviations: Provide a list of the
acronyms and abbreviations used in this document
and the meaning of each.

				Quality Strategic processes Checklist Questionnaire
				Document Identification
				Document Result
				[C/N/P/A/X]
1.6				Implementation/ Observation/ Comments
Points of Contact:				Have customer and stakeholders needs been clearly
				understood to ensure that all project-related
				processes focus meeting their needs?




1.6.1 Information: Provide a list of the
points of organizational contact (PoCs) that may be				Has/ is the project carried out as a set of planned
needed by the document user for informational and				and Interdependent processes?
troubleshooting purposes.


				Is the clear division of responsibility versus authority
				between the originating organization, project
				organization, customers and stakeholders?

1.6.2 Coordination: Provide a list of
organizations that require coordination between the
project and its specific support function (e.g.,				Do project progress evaluations exist? If so what do
installation coordination, security, etc.). Include a				they evaluate?
schedule for coordination activities.


				1. J
				Do quality attributes exist within the Project
				Management Process? E.g. approvals, documentation,
Quality Assurance Plan Checklist:				preventative & corrective action, reviews,
				traceability, training, verification, etc
To be completed by Author
To be completed by Reviewer
REQUIREMENT
AUTHOR X‑REFERENCE Page #/Section #				Have management provided and organizational
AUTHOR COMMENTS				structure that is a conducive means to support the
COMPLY				project objectives?
REVIEWER COMMENTS
Y
N
2.0 SCHEDULE OF TASKS AND RESPONSIBILITIES				Does management makes project decisions based on
				data and factual information?
Based on the tasks described in your Project Plan,
provide a schedule of the QA activities for the
duration of the project. Tasks may include, but are
not limited to, those listed below:				Has the project organization established beneficial
				relationships with subcontractors and other
- Identify Standards and Guidelines				organizations?
- Evaluate Software Tools
- Evaluate Facilities
- Evaluate Software Products Review Process
- Evaluate Project Planning, Tracking, and Oversight				Has a project manager been appointed and defined
Processes				with accountability, authority and responsibility for
- Evaluate Requirements Analysis Process				managing the project?
- Evaluate Design Process
- Evaluate Code and Unit Testing Process
- Evaluate Integration Testing Process
- Evaluate Acceptance Testing Process				10.
- Evaluate Release Process				Has a system been put in place to collect and analyse
- Evaluate the Corrective Action Process				the information gained during/ after a project for use
- Evaluate Media Certification Process				in a continual improvement process?
- Certify Non-deliverable Software
- Evaluate Storage and Handling Process
- Evaluate Deviations and Waivers Process
- Evaluate Configuration Management Process				11.
- Evaluate Software Development Library Control				Have provisions been made for self-assessments or
Process				internal audits?
- Evaluate Non-developmental Software
- Perform Configuration Audits
- Evaluate Risk Management Process
				Interdependency Quality Management Processes
				Checklist Questionnaire
				Document Identification
				Document Result
				[C/N/P/A/X]
Quality Assurance Plan:				Implementation/ Observation/ Comments
				Who is responsible for managing all of the
To be completed by Author				interdependencies amongst the project processes?
To be completed by Reviewer
REQUIREMENT
AUTHOR X‑REFERENCE Page #/Section #
AUTHOR COMMENTS				Project Initiation and project plan development
COMPLY				Quality Checklist Questionnaire
REVIEWER COMMENTS				Document Identification
Y				Document Result
N				[C/N/P/A/X]
3.0 SYSTEM DOCUMENTATION				Implementation/ Observation/ Comments
3.1				Does an approved project and quality plan exist? If
Documents by Phase: List and briefly describe the				so is it kept up to date and by whom?
documentation expected to be produced during this
project. Depending on the size of your project, this
may include, but is not limited to, the documents in
the following subsections:				1. H
				Has the project plan been prepared to allow for
				traceability (measuring and assessing objectives/
				deliverables? If not, is there an alternative means of
				traceability?


3.1.1 Initiate Phase:
- Needs Statement				Is the objective of the project to fulfil the
- Project Plan (including WBS)				requirements of a contract? If so are contract
- Configuration Management Plan				reviews performed?
- QualityAssurance Plan
- Feasibility Study
- Cost/Benefit Analysis
- Risk Analysis				Are project organizations determined\ assigned
				projects based on similar projects that have been
				previously undertaken?



3.1.2 Define Phase:				Does the Project Plan consist of a Quality Plan/
- System Support and Acquisition Plan (initial)				Quality approach?
- Functional Requirements Document
- Data Requirements Document
- System Security and Privacy Plan
- Internal Audit Plan				Is the retention of project related records managed?
- Project Plan (updated)


				Are reviews and progress evaluations included in the
				Project Plan? If so do these reviews include
				preventative/ corrective action measures?
3.1.3 Design Phase:
- System/Subsystem Specifications
- Database Specifications
- Program Specifications				What project interfaces exist? Are the identified in
- System Support and Acquisition Plan (final)				the Project Plan and how are they managed? E.g.
- Validation, Verification, and Testing Plan (initial)				liaison with customer/ stakeholders – reporting
- Training Plan (initial)				lines – functions within the project organization.
- Project Plan (updated)


				Interaction Quality Management Checklist
				Questionnaire
				Document Identification
				Document Result
				[C/N/P/A/X]
To be completed by Author				Implementation/ Observation/ Comments
To be completed by Reviewer				Over and above the project organization, does the
REQUIREMENT				project consist of project interaction teams? E.g.
AUTHOR X‑REFERENCE Page #/Section #				risk management teams, measuring project
AUTHOR COMMENTS				performance, project communication.
COMPLY
REVIEWER COMMENTS
Y
N				Quality Change Management Checklist Questionnaire
				Document Identification
3.1.4 Build Phase:				Document Result
- Installation and Conversion Plan (initial)				[C/N/P/A/X]
- Test Plan				Implementation/ Observation/ Comments
- User's Manual				Does the project consist of a Change Management
- Operations Manual				approach/ process?
- Maintenance Manual
- Validation, Verification, and Testing Plan (final)
- Training Plan (final)
- Project Plan (updated)				Does the Change Management Process include a
				control mechanism for documentation?



				Project Closure Quality Checklist Questionnaire
3.1.5 Evaluate Phase:				Document Identification
- Test Results and Evaluation Reports				Document Result
- Installation and Conversion Plan (final)				[C/N/P/A/X]
- Project Plan (updated)				Implementation/ Observation/ Comments
				At project closure, are all the project records
				retained for a specified time?



3.1.6 Operate Phase:				At project closure, is a complete project review
- Pilot Test Results				conducted? – Irrespective of the reason for
- Training Material				project closure.
- Project Plan (updated)


				Project Quality Scope related process Checklist
				Questionnaire
3.2				Document Identification
Discipline for Documentation Standard Practices:				Document Result
Describe the criteria that will be applied during review				[C/N/P/A/X]
and evaluation of all lifecycle documents.				Implementation/ Observation/ Comments
				How are the customer requirements translated into
				activities to ensure project objectives are achieved?



				Concept Development Quality Checklist Questionnaire
				Document Identification
To be completed by Author				Document Result
To be completed by Reviewer				[C/N/P/A/X]
REQUIREMENT				Implementation/ Observation/ Comments
AUTHOR X‑REFERENCE Page #/Section #				Have the customer's requirements for both product
AUTHOR COMMENTS				and processes (expressed and implied) been
COMPLY				translated into documented requirements?
REVIEWER COMMENTS
Y
N
4.0 REVIEWS AND AUDITS				Do these documented requirements include
4.1				stakeholder requirements, by which the customer has
Review Process: Define the steps of the review				agreed upon?
process and the procedures that will be used to
conduct reviews.

				Project Quality Scope Development and Control
				Checklist Questionnaire
				Document Identification
4.2				Document Result
Formal Reviews and Audits:				[C/N/P/A/X]
				Implementation/ Observation/ Comments
				Has a project scope been developed?



4.2.1 Lifecycle Reviews: Identify the				Is there supporting evidence of alternative
types of SDM associated lifecycle or non-lifecycle				approaches and solutions?
reviews that will be conducted within each project
lifecycle phase. Include a schedule of reviews and
include how the results of each review will be used
on the project.				Project Activity Definition Checklist Questionnaire
				Document Identification
Typically, the lifecycle reviews include:				Document Result
- Requirements Review				[C/N/P/A/X]
- Design Review				Implementation/ Observation/ Comments
- Specification Review				In the definition of activities, has the project manager
- Preliminary Design Review				project leader involved the personnel who are
- Critical Design Review				responsible for carrying out the activities?
- Test Readiness Review
- Formal Qualification Review
- Production Readiness Review
- Acceptance Test Review				Have the activities been defined in such a way that
- Post-Implementation Review				its outputs are measurable?



				Project Activity Control Checklist Questionnaire
				Document Identification
4.2.2 Audits: Describe the audits that will				Document Result
be conducted on the project and when they will be				[C/N/P/A/X]
scheduled.				Implementation/ Observation/ Comments
				Are the activities defined, carried out in accordance
				to the project plan?


4.3
Informal Reviews: Outline the types of informal				Have reviews been planned on the activities?
reviews that will be conducted.


				Are variations from the defined activities being
				updated on the Project Plan?
4.4
Review Reports: Identify QA reports that will be
produced throughout the project lifecycle and their
uses.

				Time-related Quality processes Checklist
				Questionnaire
				Document Identification
4.5				Document Result
Review and Audit Metrics: Describe the metrics that				[C/N/P/A/X]
will be used to capture management information, and				Implementation/ Observation/ Comments
how they will be analyzed and reported.
				Does a time-related process exist to determine the
				dependencies and duration of activities to ensure
				timely completion of the project?




				Activity dependency Quality planning Checklist
To be completed by Author				Questionnaire
To be completed by Reviewer				Document Identification
REQUIREMENT				Document Result
AUTHOR X‑REFERENCE Page #/Section #				[C/N/P/A/X]
AUTHOR COMMENTS				Implementation/ Observation/ Comments
COMPLY
REVIEWER COMMENTS				Has the project defined and documented
Y				inter-relationships, logical interactions and
N				interdependencies? E.g. project network diagrams
5.0 TESTING
Identify the roles and responsibilities of the QA
function in relation to testing throughout the various
stages of the project.
				Estimation of duration Checklist Questionnaire
				Document Identification
				Document Result
				[C/N/P/A/X]
6.0 PROBLEM REPORTING AND CORRECTIVE				Implementation/ Observation/ Comments
ACTION
Discuss QA responsibilities and activities concerned				Who is the project responsible for establishing the
with the reporting and tracking of project-related				duration of the activities?
problems and resolutions.



				Has the ‘estimation of duration' been linked to
6.1				project resource planning?
Problem/Issue Documentation: Explain how problems
and issues will be documented.


				Has time allocation been planned for quality practices
				within the project?
6.2
Report Metrics: Describe how metrics from the
above reports will be collected and analyzed to
determine and coordinate corrective actions.
				Has the customer and stakeholder been involved?



7.0 TOOLS
				Schedule development Quality Checklist
Describe the tools that will be used for QA and the				Questionnaire
methodology employed to implement usage of the				Document Identification
mentioned tools.				Document Result
				[C/N/P/A/X]
				Implementation/ Observation/ Comments

				What is the format of the project schedule?
8.0 PROJECT CONTROLS
8.1
Product Control: Identify how QA will monitor the
methods and tools used to maintain and store
controlled versions of system products.				Have key events, milestones, progress evaluations,
				critical and near-critical activities been identified in the
				schedule?


8.2
Supplier Control: Describe the provisions for assuring
that products provided by suppliers meet established				Prior to finalizing the schedule, was the customer/
requirements.				stakeholder involved in a review for approval?




9.0 TRAINING				Schedule control Quality Checklist Questionnaire
				Document Identification
Identify the training activities that will be provided to				Document Result
meet the needs of QA on this project.				[C/N/P/A/X]
				Implementation/ Observation/ Comments

				Changes that affect the project objectives - does
				the customer/ stakeholder agree to these before
				implementation?




				How often is the schedule revised?
CHECKLIST FOR MANAGING OVER ALL PROJECT
QUALITY

Yes
No				Cost-related processes Quality Checklist
N/A				Questionnaire
Remarks				Document Identification
Has the Quality Assurance role been identified and				Document Result
assigned an appropriate level of authority?				[C/N/P/A/X]
				Implementation/ Observation/ Comments

				How are the project costs managed to ensure that
				the project is completed within the original budget
Are project standards and procedures being defined				constraints?
for each area of the project to ensure consistent
delivery in accordance with the quality requirements?


				Cost estimation Quality Checklist Questionnaire
				Document Identification
Do the standards and procedures make reference to				Document Result
material in the knowledge base and simply note any				[C/N/P/A/X]
project-specific additions, exceptions, or				Implementation/ Observation/ Comments
enhancements?
				Have project costs been clearly identified and
				documented? If so, by whom?


Are the standards and procedures in place prior to
the commencement of the work to which they
apply?				Have the project costs been linked to the activity
				definition process?



Are all team members adequately trained in the tools
and standards and procedures for the project				Has the project cost estimation involved significant
environment (or will additional start-up training be				cost related risk? If so how are these managed?
required)?



				Has the project budget been established based on
Is each member of the team personally committed				the project cost estimation process and is it
to abide by the standards and procedures?				accordance with the approved accounting procedures
				within the organization?



Is the team involved in the ongoing development and
adoption of the standards (to promote a sense of				Budgeting Checklist Questionnaire
ownership by the team)?				Document Identification
				Document Result
				[C/N/P/A/X]
				Implementation/ Observation/ Comments

Are formal structured walk-throughs and reviews				Is the project budget consistent with the project
being conducted in accordance with the standards				requirements, assumptions, risks and contingencies?
and procedures (e.g., the proper people attend,				Is this documented?
minutes are taken and distributed, and action items
are assigned and followed up)?


				Cost Control Checklist Questionnaire
				Document Identification
Are appropriate test plans and procedures in place				Document Result
and being followed?				[C/N/P/A/X]
				Implementation/ Observation/ Comments

				What is the process for project purchasing/
				expenditure requirements?
Will the deliverables being produced meet the user's
requirements?


				Has this process been documented and
				communicated to those responsible for authorizing
Are records being kept by the Quality Assurance role				expenditure or authorizing work that may have cost
of quality problems, recommendations and actions?				implications?




Are effective measurement techniques being used to				Are project expenditure records reviewed, managed
identify the levels of quality and productivity being				and maintained?
achieved and to provide a baseline for continuous
improvement?


				Are the root causes for budget variances, both
				favorable and unfavorable identified? If so, is this part
Is project data being analyzed to determine trends				of a project budget review?
and norms and to identify when quality threshold or
target levels are not being achieved?


				Resource-related Quality processes Checklist
				Questionnaire
Have quality improvement sessions been conducted				Document Identification
between the Quality Assurance Manager and the				Document Result
project team to develop solutions to delivery				[C/N/P/A/X]
problems and to explore opportunities for				Implementation/ Observation/ Comments
improvement?
				Has resource planning and control been applied on the
				project?


Are corrective actions being monitored for
effectiveness in eliminating the cause of problems?
				Resource Quality planning Checklist Questionnaire
				Document Identification
				Document Result
				[C/N/P/A/X]
In any cases where corrective action is not taken or				Implementation/ Observation/ Comments
is ineffective, has the problem been escalated to the
Quality Management function outside the project				Does a resource plan exist for the project?
team?



				Resource Quality control Checklist Questionnaire
				Document Identification
Subject				Document Result
Quality Audit				[C/N/P/A/X]
Purpose				Implementation/ Observation/ Comments
To manage project risk and provide suggestions for
improvement through periodic review of progress				How does the project ensure that the remaining
and compliance with engineering methodology				resources are sufficient to meet the project
Scope				objectives?
All projects & renewals shall undergo quality
audit to a level and frequency determined in
accordance with this procedure

STEP				Personnel-related processes and project organizational
WHO				structure Quality Checklist Questionnaire
STEP NOTES				Document Identification
INPUT				Document Result
Completed Engineering Methodology Qualification				[C/N/P/A/X]
Tool, Engineering Balanced Scorecard template,				Implementation/ Observation/ Comments
Engineering Schedule, Engineering Plan, Risk
Management Plan				Has a project organizational structure been
1				established?
Project Manager / Project Engineer
Determine scope & timing of planned audits
Refer to the completed Engineering Methodology
Qualification Tool for the project to identify if
Engineering Quality Audits are mandatory or optional				Is the project organizational structure encouraging for
for the project. The qualification tool determines				communication and co-operation between the project
this based upon the assessment of technical risk				participants?
& complexity and project duration. Where
audits are required, use the following guidelines to
determine the broad scope of planned audits for the
project. Once agreed, identify the proposed Audit
regime / dates in the Project or Engineering Schedule.				Is the project organizational structure appropriate for
- Notwithstanding the following guidelines, planned				project scope, size and local conditions?
Quality Audits:
- Should not be performed more frequently than
once per month
- Are generally triggered by achievement of selected
milestones				Does the project organizational structure identify
- Scope and frequency should be based upon an				customer/ stakeholders?
assessment of engineering risk, agreed between the
Project Manager and Project Engineer
- For projects that are large AND either technically
complex OR technically high risk (as determined by
the Methodology Qualification Tool:				Are accountability, authority, responsibility and job
- At each major milestone gate i.e.				descriptions defined and documented?
- Milestone Gate 1 - After Release of Scope to
Design phase i.e. planning completed, design
commenced
- Milestone Gate 2 - After initiating the build
process i.e. after commencing significant build,				1. H
configuration or programming activities				How often is the project organizational structure
- Milestone Gate 3 - After initiating the Installation				reviewed for validity and adequacy?
Process i.e. after commencing one or more significant
installation activities
- For any of the lesser milestones deemed at risk
e.g.:
- Upon completion of Concept Design & Review				Staff allocation Quality Checklist Questionnaire
- Upon completion of Functional Design &				Document Identification
Review				Document Result
- Upon completion of Detailed Design & Approval				[C/N/P/A/X]
- Start or completion of Head End Set up				Implementation/ Observation/ Comments
- Start or completion of Static Graphics
- Start or completion of Programming				Was selection criteria prepared for staff allocation?
- Start or completion of off-site Assembly &
Manufacture
- Start or completion of Database (point) Building
- Start or completion of Head End Configuration
- Start or completion of Graphics Programming				Has education, knowledge and experience been
(dynamic point allocation)				accounted for allocation of project staff?
- Before commencement of Staging & FAT
- During the Installation phase i.e. at key milestones
through installation process
- Before commencement of commissioning
- Upon completion of Customer Acceptance testing				Has the project manager been involved in the
- Upon project completion				appointment of key team members?
- For projects that are small AND technically
"standard" AND low risk (as determined by the
Methodology Qualification Tool)
- Planned Quality Audits are optional
- It is recommended that Project Managers select a				Is project staff efficiency and effectiveness being
random sample of projects and/or project engineers				monitored (subcontractor's or not)?
technicians to be audited to give confidence that
these types of projects are following appropriate
engineering practice, and to help grow the engineering
competency of team members who may not have
benefited from recent involvement in large, high risk				Team Development Quality Checklist Questionnaire
project audits.				Document Identification
Unplanned Quality Audits				Document Result
- Unplanned Quality Audits may occur at any stage in				[C/N/P/A/X]
response to an undesirable event or major change				Implementation/ Observation/ Comments
e.g.
- Major process failure				Is the project team being recognized and rewarded?
- Customer complaint
- Change of key personnel
- Major design change
2
Project Manager / Project Engineer				Does the project environment encourage excellence,
Identify suitable auditor				good working relationships, trust, respect and open
The selection of auditor should be agreed with the				communication?
Team Leader, provided the Team Leader is not also
the Project Manager for the project, or other local
Operations Manager. When selecting auditors, the
following should be considered:
- Independence - NOT directly involved in delivery				Project Quality Communication-related processes and
of the project (e.g. not the Project Manager or				Planning Checklist Questionnaire
Engineer for the project) and is not likely to be				Document Identification
influenced				Document Result
- Competence - recognised for their knowledge and				[C/N/P/A/X]
skill in the type of activities being audited				Implementation/ Observation/ Comments
- Observant & perceptive - able to identify
things of greatest concern, to understand and adapt				Does the project plan consist of a communication
to the particular project circumstances				plan?
- Persistent & thorough - but not pedantic or
single-minded, able to evaluate efficacy of alternative
approaches
- Will often be a Project Manager, Team Leader or
nominated Auditor from a similar business, but NOT				What media is being used to transmit project
from the project				communiqués?
For long duration, high risk projects, it may be
beneficial to use a number of different auditors
throughout the project life cycle.
Once the auditor has been agreed, ensure that they
are informed of and available for the planned audit				How often are project communications been
schedule / dates.				transmitted?
3
Project Engineer
Prepare for Audit
- Gather the audit documentation and reference
material including:				Does ‘Project Progress Reports' form part of
- Completed Engineering Qualification Tool and the				the project communications?
Balanced Scorecard template for the project - to use
to record the audit outcomes
- Completed Balanced Scorecard from previous audit
s (where relevant) - to identify prior corrective
actions or suggestions for improvement that should				Information Management Quality Checklist
be reviewed				Questionnaire
- Copies of relevant procedures or procedure flow				Document Identification
charts - to use as a prompt for things to look for,				Document Result
questions to ask, and to capture observations during				[C/N/P/A/X]
the audit				Implementation/ Observation/ Comments
- Copy of the up-to-date project or engineering
schedule - to show the current progress of the				How does the project manage the following:
project and thus indicate the main focus of the audit				- Preparing
- Ensure the Auditor receives the above information				- Collecting
well in advance of the audit				- Classifying
- Confirm the date and place where the audit is to				- Distributing
take place and the persons to be in attendance				- Filing
- Ensure that those to be in attendance understand				- Updating and
the scope of the audit and make arrangements to				- Retrieving information
be able to provide the necessary evidence of
conformance with relevant procedures &
standards at the time of the audit
4
Auditor / Project Engineer				Do project meetings consist of meeting agendas?
Conduct engineering audit
The Engineering Balanced Scorecard shall be used as
the basis of recording the outcomes of the
engineering audit, including:
- Who conducted the audit				Communication Control Quality Checklist Questionnaire
- Which procedures were audited - the scope				Document Identification
- Overall performance assessment against the				Document Result
requirements of relevant procedures				[C/N/P/A/X]
- What objective evidence was sighted				Implementation/ Observation/ Comments
- Major observations, Corrective Actions or
Suggestions for Improvement				Is the project communication plan monitored and
For 2nd and subsequent audits, the Balanced				reviewed to ensure it continues to meet the needs
Scorecard worksheet should be copied to a new tab				of the project?
in the workbook so that there is a separate
scorecard worksheet for each audit performed.
The Scorecard is not an exhaustive list of questions
& issues but should be used as an aide memoir
or prompt to the auditor. Likewise, copies of				Risk-related processes, Risk identification, Risk
procedures and procedure flow charts should also be				Assessment and Risk Control Quality Checklist
used as aids to memory; to help ensure that				Questionnaire
essential issues are not overlooked. Where				Document Identification
necessary the auditor may need to deviate from the				Document Result
content of the Scorecard to investigate an issue or				[C/N/P/A/X]
concern with a view to establish if any corrective				Implementation/ Observation/ Comments
action is required.
The auditor should:				How often are risks identified through the project life
- Review all outstanding Corrective Actions and				cycle?
Suggestions for Improvement form previous audits
- Seek and record objective evidence of
conformance with the requirements of the relevant
procedures
- Assess and score overall performance against each				How are these risks managed?
procedure relevant to the current audit. Note that
procedures targeted for the audit would be
expected to include:
- All procedures identified as 'applicable to the project'
AND included in the most recently completed				1.5 3
milestone/s				Is probability of the occurrence and impact of the
- Procedures identified as 'applicable to the project'				identified risk assessed?
AND included in the next or subsequent incomplete
milestones WHERE the input or initiating event
for the procedure has occurred. In such cases, the
procedure should be marked as 'applicable to current
project status' and assessed accordingly.				1.6 4
Identify Corrective Actions or Suggestions for				What techniques are being used in the project to
Improvement. These should be recorded and used				prioritise, manage and record the identified risks and
in a constructive manner to assist the project to				their resolutions?
effectively manage risk and deliver customer
satisfaction.
Identify Best Practice examples and significant
opportunities to improve the engineering procedures,
tools and/or processes				1.7 5
5				Are risks that may impact time schedules or project
Project Manager				budget, identified and maintained separately?
Presentation of audit results & recommendations
- The completed Audit Scorecard should be
forwarded to the Engineer's manager and the Project
Manager.
- Where the overall audit result falls below the				1.8 6
accepted benchmark value, a Corrective Action OFI				Does the project plan consist of a contingency plan?
should be raised against the Engineer and the
scorecard attached to the OFI. The Scorecard
prompts for this action when the result falls below
the accepted benchmark.
- Suggestions for improvement of the Engineering				1.9 7
Methodology should be forwarded to the relevant				Do project risks form part of project progress
Procedure Owner. Suggestions for improvement will				reports?
often arise from cases where the audit has identified
performance as 'above standard' or 'best practice'.
OUTPUT
Audit plan confirmed, Completed Engineering Balanced
Scorecard, Suggestions for improvement of				Purchasing-related processes, Purchasing Planning and
Engineering Methodology, Corrective Action OFI				Control Checklist Questionnaire
raised where appropriate.				Document Identification
				Document Result
Subject				[C/N/P/A/X]
Calibration (Inspection, Measuring and Test				Implementation/ Observation/ Comments
Equipment)
Purpose				Does the project plan consist of a procurement /
Provide a means of calibration and maintenance of				purchasing process?
test and measuring equipment, to ensure that
correctly performed measurements and inspections
will yield accurate results.
Scope
Applies to all site locations using Inspection,				Does the process cover internal and external
Measurement and Test Equipment.				acquisitions?

Step
Who
Steps/Notes
1				Does the project organisational structure identify the
Location Management Team				interfaces with sub-contractors?
Identify resources in each location to manage and
monitor the equipment Calibration Status Register and
process.
2
Process Owner				Has project purchasing/ procurement been reviewed?
Determine the equipment used for Inspection,
Measuring and Testing for the location and include in
the Calibration Status Register. The Calibration
Status Register includes the following information:
- Model Number / Description				Documentation of requirements checklist
- Serial Number				Questionnaire
- Date Checked / Date Due				Document Identification
- Equipment Owner				Document Result
- Storage Location				[C/N/P/A/X]
Note that equipment used for "Indication Purposes				Implementation/ Observation/ Comments
Only" is not required to be recorded in the Calibration
Status Register. These items shall be marked as				Does purchasing documentation exist for the
"Indication Purposes Only - Not Calibrated" or similar.				project?
Adhesive labels are available from SETON for this
purpose.
3
Process Owner
Any equipment found to be faulty is to have a				Have the customer requirements been included into
Company Reject Tag affixed.				the purchasing/ procurement documents?
Equipment repairs are conducted in-house or sent to
a subcontractor for repair is repair is a commercially
viable option.
4
Process Owner				Do the purchasing documents go through a review
Remove test equipment from service if found to be				process to ensure that all requirements are
beyond repair.				completely specified?
Faulty equipment is to be recycled, destroyed or
disposed of by an approved method.
Update the Calibration Status Register and retain
records of disposal for a minimum of two years.
5				Evaluation of sub-contractors and Sub-contracting
Process Owner				Quality Checklist Questionnaire
Calibration shall be performed:				Document Identification
- Periodically on or before the due calibration date				Document Result
- Following an occurrence which could have impaired				[C/N/P/A/X]
the accuracy established at the last calibration				Implementation/ Observation/ Comments
- After any repair is carried out on the equipment
- Following initial purchase of new equipment (where				Have project related sub-contractors been evaluated
an adequate calibration certificate did not accompany				that may impact on the project? . E.g. technical
the equipment).				experience, delivery times, quality system and
- Functional testing shall be performed on static wrist				financial stability.
straps weekly or before use.
- Static Mats shall be tested monthly.
In the case where a manufacturer specification does
not exist a specific set of calibration specifications will
be developed. Qualified technical personnel within				1.10 2
Company using existing calibrated equipment shall				How does the project manage project-relevant
calibrate the instrument.				information being supplied to subcontractors?
6
Process Owner
Where required, equipment will be calibrated to
manufacturers specifications by a laboratory whose
standards can be traced to National or International				1.11 3
Standards. Equipment requiring NATA certification shall				How are subcontractor tenders evaluated?
be forwarded to a certified provider for compliance
testing.
This may also be the case for the calibration of
specialist equipment.
7				Contract control Quality Checklist Questionnaire
				Document Identification
Process Owner				Document Result
Where equipment is found to be outside the required				[C/N/P/A/X]
calibration limits, corrective action is necessary.				Implementation/ Observation/ Comments
Evaluation should be made to determine the effects
on completed work and to what extent				Does the project consist of a process to ensure that
reprocessing, re-testing, recalibration or complete				all contract requirements, due dates and records are
rejection may be necessary. In addition, investigation				met?
of cause is important to avoid recurrence.
This may include review of calibration methods and
frequency, training and adequacy of test equipment.
Where equipment is found to be out of calibration
but continues to operate in a satisfactory way to				How often are the contracts verified to ensure the
provide safe limit indication, the unit may be placed				performance of each subcontractor meets the
back into service and used for indication purposes				contract requirements?
only. Test equipment shall be deemed as used for
indication purposes if it has been approved for that
purpose by the authorised nominated person.
Where equipment is deemed as suitable for indication
only, calibration labels must be removed and the				Are all contracts, prior to project closure, verified and
equipment register updated to reflect the				updated?
equipment's status.
8
Process Owner
Calibrated equipment available for service will have a
Company Calibration Status sticker affixed, clearly				POME Prescribe:
displaying the calibration details. Where possible, the				About Risk Management:
equipment will be safe guarded from adjustments				ü There is no such thing as a zero-risk project:
which would invalidate the calibration setting.				There is no such thing as a risk-free life.
If this label is not present, or due date exceeded, the				ü If you want to understand a risk fully, identify
equipment shall be deemed un-calibrated.				its causes as well as its effects.
Update the Calibration Status Register and maintain				ü How do you respond to risks? POME
copies of the Calibration Reports or records from the				emphasized on risk analysis on a dedicated chapter.
Certified Calibration provider.				ü When a project is desperately troubled, first
Note:				take action to contain the damage then worry about
				recovery, just the way a first aid or rescue teams
Testing of electrical equipment is to be carried out in				first "contain the damage" and consider other options
accordance with Testing of electrical equipment				after the victim's condition stabilizes.
procedures.				ü Checklists for risks: Trouble sometimes stems
Checklist for managing project quality management				from omissions. It is easy to "forget" key
processes in pome breakdown structure:				components of a work package. A checklist reduces
If your company is ISO certified, or if it aspires to				the potential of leaving out important considerations.

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