M.

Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Project Management

AD NC OFI
Standard Area/Procedure/Process Comments
Project Planning
7.1 If project is a design build which tool helps
with the planning
(SQF 380 Design Plan)

7.1 Upon award of contract are proper

communications opened up with owner?

7.1 How is the superintendent selected for the

project?
(Nature of project and availability, qualifications)

7.1 Once contract is awarded a thorough

review of documents is completed.
(What documents are reviewed)

7.1 How are errors or omissions that are found

in contract documents resolved?
(Through discussion with Owner or Consultant)

7.1 How are jobs kept on track?

(Schedule, is one provided for this project?)

7.1 Procurement of sub-trades/suppliers

including schedule review relative to project
plan?
(Has contract been issued)

7.1 Required verification, validation monitoring

and inspection and test activities specific to
project.
(IT Plan, outside testing results, calibrated equipment
used on site)

7.1 Have records been established for

reference purposes at various stages of the
project?
(Binder set-up, RFI’s, CO’s etc.)

7.1 Has the contract documents required to

complete the project been supplied to sub-
trades and suppliers? (Transmittal)
4.2.3
4.2.4
6.2
6.3/6.4
7.6
1
SQF 681 rev004
January 13, 2012
 M. Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Project Management

AD NC OFI
Standard Area/Procedure/Process Comments
Design Control
7.3 Explain the various stages involved in a
design build project.
(Design Plan SQF 380)
7.3 What are the design and development
stages?
(30%, 60%, 90%, 100%)

7.3 What review and verification takes place at

each stage?
(Updated drawings & specs provided by consultant).

7.3 What responsibilities does a Project

Manager have in regards to the project?
(Control over design activity)

7.3 How are customer requirements

determined?
(Owner’s statement of requirements, project
specifications & drawings)

7.3 How are the performance expectations of

the design consultants addressed? (Contract,
purchase order)

7.3 What document addresses the verification

and validation activities that occur
throughout the design phase?
(SQF 380 Design Plan)

7.3 What records of the design process are

maintained?
(Design Plan, change estimates, shop drawings,
meeting minutes)

7.3 Does the design include:

 Functional performance requirements
 Statutory and regulatory requirements
 Information from previous similar
designs

4.2.3
4.2.4
6.2
6.3/6.4
7.6
2
SQF 681 rev004
January 13, 2012
 M. Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Project Management

AD NC OFI
Standard Area/Procedure/Process Comments
7.3 What kind of record retention is kept by the
Project Manager?
(Verification and validation activity, design changes
and minutes of meetings)

Procurement
7.4 How are suppliers chosen?
(Approved supplier list, Supplier information form)

7.4 How long are suppliers kept on the

approved supplier list?
(Until their performance is evaluated as poor on the
supplier evaluation)

7.4 What steps are taken when a supplier fails

to deliver services as stated in their
contract?
(Management will contact the supplier and make an
effort to resolve the situation)

7.4 What steps are taken when there is a

product or service delivered that does not
meet specification?
(Non-conformance is issued)

7.4 When are the supplier evaluations

completed and who are they completed on?
(Supplier contract over $250,000 or if the Project
Manager deems one is necessary)

7.4 When are purchase orders required? (For all

transactions where critical products and services are
being requisitioned)

7.4 Does the purchase order contain sufficient

information to clearly describe the product
or service required and reference contract
documents where appropriate?

7.4 Invoices are matched to the Purchase order

and are approved.
(Ask for an example)

4.2.3
4.2.4
6.2
6.3/6.4
7.6
3
SQF 681 rev004
January 13, 2012
 M. Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Project Management

AD NC OFI
Standard Area/Procedure/Process Comments
Project Control
7.5.1 Has the superintendent been provided all
the proper documentation to complete
project?
(Transmittal show what has been sent to him).

7.5.1 What is involved in having the shop

drawings reviewed?
(Ask to see log)

7.5.1 Once shop drawings are approved who

receives copies?
(Site, Office and Sub-trade)

7.5.1 How is it determined what inspection and

testing is required?
(Contract documents, IT Plan)

7.5.1 Who is responsible for inspection and

testing?

7.5.1 What is involved in the closeout

procedures?
(Maintenance manuals, approved shop drawings,
substantial performance) (Look for examples).

7.5.1 IF commissioning is a part of the close out

procedures. What is involved in this?
(Commissioning company is hired)

Validation
7.5.2 Have the critical aspects of the project been
identified and are they consistent with the
requirements of the external quality
standard and definition of validation?
(Confirmation, through the provision of objective
evidence, that requirements for a specific intended use
or application have been fulfilled)

7.5.2 Have the controls of special processes

identified in contract documents been
included in the inspection and test plan?

4.2.3
4.2.4
6.2
6.3/6.4
7.6
4
SQF 681 rev004
January 13, 2012
 M. Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Project Management

AD NC OFI
Standard Area/Procedure/Process Comments
7.5.2 Has validation been repeated as required
ensuring all conditions in the IT Plan or
consultant’s findings have been applied?
Traceability
7.5.3 How is the level of control over a project
determined?
(Specifications, Owner requirements – Special Testing
and Inspection, Security Requirements)

7.5.3 When specifications require traceability,

what records are taken?
(Test results, certifications by suppliers etc.)

Customer Property
7.5.4 What types of controls are used to preserve
customer property? (Site security)

7.5.4 Is a thorough check done upon assuming

responsibility of customer property? Are
these documented to verify condition as it
relates to damage, quantity and
identification?

7.5.4 How is a product treated if received

damaged.
(Red tagged)

7.5.4 How are nonconforming items treated?

(Disposal, rework or repairing in accordance with
arrangements made by owner).

7.5.4 When damage occurs to the facility or

property supplied by the owner, what
actions are taken?
(Damage is fixed as dictated by the contract or written
agreement)

Preservation of Site
7.5.5 Who is responsible for determining special
processes that may be required to ensure
actions are consistent with expectation of
the Owner?
(Project Manager along with Superintendent)

4.2.3
4.2.4
6.2
6.3/6.4
7.6
5
SQF 681 rev004
January 13, 2012
 M. Sullivan & Son Limited INTERNAL AUDIT CHECKLIST

Area Audited:
Auditor:
Date of Audit:

Company Process: Project Management

AD NC OFI
Standard Area/Procedure/Process
7.5.5 What steps are involved in the turnover of a
project to ensure preservation of product
has occurred? (Consultants review and
deficiency list)
Customer Satisfaction
8.2.1 What steps are taken to ensure customer
satisfaction? (Customer Satisfaction
Survey, meeting with Owner)

8.2.1 What is done with a completed survey?

(Sent to document controller to input into
spreadsheet. Trend analysis is reviewed by
management).
Control on Nonconforming Materials
8.3.2 When will the Project Manager get involved
in a site non-conformance. (Based on the
severity of the N/C the Project Manager will
have to make a decision on whether the
product can be repaired, returned or
scrapped)
Corrective and Preventative Action
8.5.2 & How is Project Management involved in
8.5.3 corrective and preventative action?

What are the stages of responsibilities?

4.2.3
4.2.4
6.2
6.3/6.4
7.6
6
SQF 681 rev004
January 13, 2012