ABM Know
Head O ffice: ABM House, Plot N o. 268, Link
Process Compliance Che
Document Revision History
Author Details
Sr. No Version Creation Date DD-
Created By
MMM-YY
Template Revision History
Author Details
Sr. No Version Creation Date DD-
Created By
MMM-YY
1 1.0 Ms. Manisha Mittal 26-Dec-18
2 2.0 Ms. Manisha Mittal 18-Mar-19
3 3.0 Ms. Manashi Banerjee 26-May-20
4 4.0 Ms. Manashi Banerjee 10-Jun-20
5 5.0 Ms. Shreya Sawaitul 31-Mar-22
ABM Knowle dge ware Lim it e d
Head O ffice: ABM House, Plot N o. 268, Linking Road, Bandra (West), Mumbai- 400 050
rocess Compliance Checklist - Projects
Review Details Approver Details
Reviewed Date
Changes incorporated in briefs Reviewed by Approved by
DD-MMM-YY
Review Details Approver Details
Reviewed Date
Changes incorporated in briefs Reviewed by Approved by
DD-MMM-YY
First Baseline Ms Vimla Varghese 28-Dec-18 Ms Vimla Varghese
Added "Instructions" sheet with definition
Ms Vimla Varghese 18-Mar-19 Ms Vimla Varghese
for Major/ Minor Non compliance
Updated checkpoints & PCI Calculation Ms Vimla Varghese 26-May-20 Ms Vimla Varghese
Updated checkpoints Ms Vimla Varghese 11-Jun-20 Ms Vimla Varghese
Updated PCI Index threshold of
*ALERT : from >75% to >90%,
Ms. Manashi Ms. Manashi
* CAUTION : from 75%-85% to 90%- 31-Mar-22
Banerjee Banerjee
94.99 and
* ON TRACK : from <85% to <95%
Approver Details
Approved Date DD-
MMM-YY
Approver Details
Approved Date DD-
MMM-YY
28-Dec-18
18-Mar-19
26-May-20
11-Jun-20
31-Mar-22
ABM
Head O ffice: ABM House, Plot N
Audit Name TSCL
Audit Cycle IA-14
S.No Checkpoint/Questions
Project Initiation and Planning
1 Is Work Order / SOW received?
2 Is project life-cycle decided?
3 Are knowledge, resources and skill requirement identified?
4 Is PM identified by management?
5 Is Project Team identified by management?
6 Is project created on tool?
7 Is high-level cost and effort estimated by management?
8 Is high-level schedule defined? Is it managed using tool?
9 Is the size and effort estimation done?
10 Is the size estimation concept clear to all planners?
Is Client kick-off meeting conducted? Is client kick-off presentation
11 prepared?
12 Is Client kick-off MOM prepared?
13 Is internal kick-off meeting conducted?
14 Is internal kick-off presentation prepared?
15 Is MOM prepared?
16 Is MOM circulated to all relevant stakeholders?
17 Are the action items tracked to closure?
18 Is WBS and schedule of activities and resource allocation established?
19 Are project risks identified and analyzed?
20 Are project opportunities identified and analyzed?
21 If POC, Is third party tool requirement identified and established?
22 Is IPMP documented?
Is following subplans mentioned in IPMP?
A. Resource Plan(Required skills w.r.to domain, technical,soft-
skill,process identified)
B. Estimation Plan
C. Release & Sprint Plan
D. Audit Plan
E. Metrics Plan
F. Peer Review Plan
G. Test Plan
H. V&V Plan
I. Risk & Opportunity Management Plan
J. Configuration Management Plan
K. Change Management Plan
L. MPM Plan
M. CAR Plan
N. DAR Plan
23 O. Transition Plan
24 Is project deliverables and milestones defined?
25 Is project defined processes identified?
26 Is project KPIs identified?
Are stakeholder involvement and communication mechanism
27 established?
28 Are risks identified along with their mitigation and contingency Plan?
29 Is skill gap analyzed and training needs identified?
30 Is the transition activity executed as per plan?
31 Is data management strategy established for the project?
32 Is assumption, dependency and constraint identified & documented?
Is tailoring need identified? Is the tailoring need approved by SEPG
33 Head?
34 Is IPMP reviewed and approved?
35 Is IPMP circulated to all stakeholders and their buy-in is agreed ?
Project Execution, Monitoring, Control and Closure
36 Is Project execution carried out as per established plan?
Have requisite training imparted for knowledge and skills necessary for
37 the project?
38 Is Project environment established?
39 Is work assigned to teams?
40 Is daily stand up meeting with team member conducted?
41 Is Impediment register for stand up meeting prepared?
42 Is Scrum meeting with relevant stakeholder conducted on daily basis?
43 Is data for KPI/ measurement collected?
44 Are stakeholders and communications managed as per plan?
45 Are risks being handled as per plan mitigation/ contingency?
46 Have the work products and task plan updated with actual data?
47 Are project parameters monitored against plan?
48 Is project monitioring carried out as per IPMP?
Are periodic project progress and senior management review conducted
49 as planned?
Is MPSR prepared for all instances including risks, issues, defect log,
50 audit findings?
Are L4, L5 practice implementation been communicated to Sr.
51 Management as part of MPSR?
52 Is MOM of Review Meetings prepared?
53 Is MOM of Review Meetings shared with senior management?
54 Are the action items of Review Meeting tracked to closure?
Are work products, IPMP revised and updated based on decision taken in
55 meeting?
Are Deviations in KPIs being monitored and corrective actions being
56 applied?
Are project risks, issues and action items being tracked towards closure
57 and updated based on latest state?
Are project issues being tracked towards closure and updated based on
58 latest state?
Are project action items being tracked towards closure and updated
59 based on latest state?
60 Is acceptance for all project deliverables received?
61 Is project data archived?
Are learning's, best practices, measurements/KPI's, risks, standards
62 related to project shared at organization level?
Are project closure formalities concluded i.e. Project Closure Report
63 created, reviewed and approved?
64 Is project closure report shared with SEPG?
Are resources updated on work environment standard? Is it used to
65 identify Work Environment Issues?
Any additional resource(human, software, hardware) or training need
66 been communicated to Sr. Management?
67 Is estimation and planning revised when required?
Requirement Development and Management
68 Have requirements been received from relevant agency?
69 Have requirements been analyzed and understood?
70 Is Gap analysis questionnaire prepared?
71 Are queries in Gap Analysis tracked to closure?
Have User, System & Software requirements been analyzed, understood
72 and documented?
73 Have requirement document reviewed and verified?
74 Are review comments logged and tracked to closure?
Are additional requirements and change requirements, being tracked
75 and controlled?
76 Is requirement document reviewed and approved by Customer?
77 Is sign-off obtained from customer on requirement document?
78 Is Mapping of requirement with component requirement established?
79 Is Traceblility matrix prepared?
80 Is Traceblility matrix reviewed and approved?
Technical Solution (Design & Codng)
Is design solution selected considering all available alternatives and has
81 it been documented?
82 Is design evolved and documented?
83 Is design document reviewed using checklist and approved?
84 Is make/buy/reuse analysis performed for the design solution?
85 Are design document review comments logged and tracked to closure?
Is coding performed as per the design and coding guidelines/ standards,
86 as applicable?
87 Is the development environment ready and available for purpose?
Has code review and verification been performed and defects logged and
88 tracked to closure?
Are unit test cases documented, reviewed, verified and approved by
89 relevant stakeholder?
90 Are unit test cases executed and defects logged and tracked to closure?
Are internal integration/hardware/system/application etc., test cases
91 documented, reviewed, verified and approved?
92 Is internal testing executed and defects logged and tracked to closure?
93 Has traceability matrix updated?
94 Has product and product components allocation updated?
95 Is Release note prepared and build sent to testing?
96 Is user-manual prepared and reviewed?
97 Is training material prepared, reviewed and approved?
Product Integration
Is product integration strategy, procedure,sequence and qualification
98 criteria defined and documented?
Is product Integration environment and product components available
99 for integration?
Has the integrated system been offered for verification and/ or validation
as planned, and for integrated testing to concerned stakeholder, as
100 applicable.
Has work product been prepared for delivery to next stage of lifecycle,
where applicable, as per release plan along with release note post
101 release audit, where applicable?
Verification
Are Review/ Verifications procedures and qualification Criteria
102 established?
103 Is the type of review for each work product identified?
104 Are the reviewer(s) identified?
105 Are the artifacts available for peer review?
Are the identified work products reviewed/ verified as per plans
106 relevant?
107 Are all review observations tracked and or closed as applicable?
108 Are rework effort captured?
109 Are work products under review updated and approved?
Validation
110 Is Test Plan prepared?
Are work products or product components to be tested/ validated
111 identified?
112 Are features to be tested or not to be tested identified?
113 Is Testing Team members identified?
114 Is Test plan reviewed?
115 Are review comments recorded and tracked to closure?
116 Is test plan updated and approved?
117 Is approved test plan shared with relevant stakeholders?
118 Is validation environment established?
119 Has test cases prepared?
120 Has test cases reviewed and validated?
Are Integration test cases documented, executed, and interfaces
reviewed and verified internally to ensure readiness of interfaces and
121 product?
122 Is testing effort recorded?
123 Is testing conducted as per test plan?
Are all issues/ observations recorded, tracked and fix for closure by
124 relevant stakeholders?
125 Is RCA done for the defects logged?
126 Is the test summary report prepared and shared as necessary?
127 Is Defect prevention meeting conducted on defined interval?
Configuration Management
128 Is CM Plan defined as part of IPMP/ or maintained separately?
129 Does the project use automated tool for CM?
130 Are access rights defined in CM Plan and implemented in CM tool ?
131 Is directory structure defined in CM Plan?
Are naming & labeling conventions of artifacts defined in CM Plan and
132 followed?
133 Is CI items identified in CM plan?
134 Is version control defined in CM Plan and followed?
135 Is base line criteria for artifacts defined in CM Plan?
136 Are all the artifacts put under version control and baselined?
137 Is backup, restoration & roll-back strategy defined in CM Plan?
Are backup and restoration logs maintained and restore points verified
138 for usability?
Is Configuration Status Accounting document available, in case of
139 manual configuration management?
140 Is Change Management strategy defined in CM Plan?
Is impact analysis carried out and documented, and fixes identified for
141 change requests (internal & external)?
Are the modified/created artifacts as result of CR implementation
142 reviewed and tested?
143 Are results of reviews/testing logged and tracked to closure?
144 Are CM audits conducted as planned?
145 Are CM audit findings logged & tracked to closure?
Is the Traceability matrix updated and verified post change
146 implementation?
147 Are all issues and observations of CM review been tracked and closed?
DAR
148 Is DAR strategy planned in IPMP, where applicable?
Is DAR applied where necessary for taking calculated and weighted
149 decision?
Are risks and rationales associated with alternative decisions recorded
150 and considered in DAR?
Is approved DAR Report/Feasibility Report and decisions therein
151 available and shared as needed?
Measurement & Analysis
152 Are Key Performance Indicators defined in IPMP?
153 Is data collection strategy (methods and techniques) for KPI's defined ?
154 Is analysis method for KPI's defined?
Is analysis carried and deviations beyond the defined threshold values
155 identified?
156 Are corrective actions identified and executed?
Are the actual results of KPI's shared with SEPG team on an ongoing
157 basis?
Managing Performance and Measurement
158 Are Project objectives defined?
159 Is BO, QPPO and sub-process measures concept is with PM?
160 Is Project Metrics Plan prepared?
161 Is targets set within organizational targets?
162 Is any data quality approach being followed?
163 Is outlier analysis done in PPB prepared by SEPG? Is RCA performed?
Is PPM run available for as per defined frequency W0,W1,W2 for each
164 sprint using quantitative & statistical technique?
165 Are the earlier PPM run records available in project repository?
Are the actions been taken to address PPM run issues? If required, is
166 CAR triggered?
167 Is critical subprocess identified?
168 Is control chart run available for monitoring critical subprocess?
169 Is training happened to run PPM & control chart?
170 Is audit happening to verify HM activities?
PQA
171 Is the process audit and work product audit happening as per frequency?
172 Are the previous audit finding closed within schedule?
173 Are the audit findings communicated to relevant stakeholders?
CAR
174 Is the trigger of CAR identified in IPMP?
175 Is root-cause--analysis performed using any standard method?
Are the corrective/preventive actions identified against RC ? Is the action
176 owner, target dates identified?
Is the sub-process / measure on which corrective/preventive action
177 impacts, identified?
Are the targets(Mean, SD, USL, LSL) for the above
178 sub-process/measure, QPPO identified?
Is the outcome analysis using quantitative & statistical techniques
179 performed for sub-process/measure, QPPO after closure of action items?
Is CAR conclusion documented? Is necessary action taken in case CAR is
180 not effective?
ABM Knowle dge ware Lim it e d
ice: ABM House, Plot N o. 268, Linking Road, Bandra (West ), Mumbai- 400 050
Audit Date 28-Mar-22
Process Compliance Index 80.00
Remarks (If
Status Type of NC any)
Yes
Yes
Yes
Yes
No Minor 8
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No Major 12
Yes
Yes
No Major 7
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes 1
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No Minor 9
Yes
Yes
No Major 11
NA
NA
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
NA
NA
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No Major 10
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No Major 6
Yes
Yes
Yes
Yes
Yes
No Major 3
Yes
NA
NA
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
No Major 4
NA
Yes
Yes
Yes
Yes
Yes
No Major 13
Yes
NA
Yes
Yes
NA
NA
Yes
Yes
Yes
No Major 5
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Major
Minor
9
2
Type of NC
Sr.No Category Description
Based on objective evidence, the absence of, or a significant failure to
implement and/or maintain conformance to the requirements of the
applicable standard. (i.e. the absence of or failure to implement a complete
1 Major Management System clause of the standard); or
A situation which would on the basis of available objective evidence, raise
significant doubt as to the capability of the Management System to achieve
the stated policy and objectives of the customer.
Represents either a management system weakness or minor issue that could
lead to a major nonconformance if not addressed. Each minor NC should be
2 Minor
considered for potential improvement and to further investigate any system
weaknesses for possible inclusion in the corrective action program.
