Information
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Document No.
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Audit Title
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Client / Site
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Conducted on
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Prepared by
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Location
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Personnel
Project Planning
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Select date
Project planning
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Does the project have a formal Project Plan?
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Action required
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Action Reference
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Are the key elements of a Project Plan present?
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Project Definition & Scope?
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Project Objectives?
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Schedule?
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Cost / Benefit Analysis?
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Staffing Requirements?
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Risk analysis?
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Critical Success Criteria (if we meet these, we've met our goals)?
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Action required
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Action Reference
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Is a Stakeholder Management plan in place?
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Have all stakeholders been identified?
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Have the scope, objectives, costs, benefits and impacts been communicated to all involved and/or impacted stakeholders and work groups?
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Have project accountabilities & responsibilities been clearly defined?
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Have all involved stakeholders and work groups committed to the project?
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Have all necessary approvals been obtained?
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Action required
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Action Reference
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Has a project Communications Plan been developed?
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Action required
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Action Reference
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Are funding and staffing resource estimates sufficiently detailed and documented for use in planning and tracking the project?
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If no, provide commentary.
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Action required
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Action Reference
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Does a documented project organisational policy & plan (i.e. governance model) exist?
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Action required
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Action Reference
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Have adequate resources been provided by management to ensure project success?
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If no, provide commentary.
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Action required
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Action Reference
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Is current scope of the project substantially different than that originally defined in the approved project plan?
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Action required
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Action Reference
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Has the approach and development strategy of the project been defined, documented and accepted by the appropriate stakeholders?
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Action required
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Action Reference
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Have project management standards and procedures been established and documented?
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Action required
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Action Reference
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Is there a Steering Committee in place?
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Action required
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Action Reference
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Is the Steering Committee active in project oversight?
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Action required
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Action Reference
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Are there procedures in place to effectively manage interdependencies with other projects / systems?
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Action required
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Action Reference
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Additional comments
Project Management
Project Management
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Have the key elements of a coherent project management strategy been established?
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Project tracking plan & methodology
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If partial, provide commentary.
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Action required
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Action Reference
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Project status reporting structure & process
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Action required
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Action Reference
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Change Management plan & tracking
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Action required
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Action Reference
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Issues Management process & tracking plan
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Action required
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Action Reference
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Risk Management Plan
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Action required
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Action Reference
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Quality Assurance
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Action required
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Action Reference
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Configuration Management
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Action required
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Action Reference
Project Scheduling & Tracking
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Has a structured approach been used to break work effort into manageable components?
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Action required
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Action Reference
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Are team members involved in the development of activity & task decomposition?
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Action required
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Action Reference
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Are individual tasks of reasonable duration (8–40 hrs)?
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Action required
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Action Reference
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Are milestone deliverables effectively tracked and compared to project plan?
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Action required
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Action Reference
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Does the detailed project plan identify individual responsibilities for the next 4–6 weeks?
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Action required
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Action Reference
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Have activity relationships and interdependencies within tasks been adequately identified?
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Action required
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Action Reference
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Are target dates established for each milestone deliverable?
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Action required
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Action Reference
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Are corrective actions taken when actual results are substantially different from detailed project plan? Describe.
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Describe
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Action required
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Action Reference
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Are changes in deliverable commitments agreed to by all affected groups & individuals?
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Action required
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Action Reference
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Is the organisation structure for both tracking & controlling project activities work products & costs (effort, schedule & budget) well defined and assigned to a specific individual?
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If partial, provide commentary.
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Action required
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Action Reference
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Are measurements and feedback mechanisms incorporated in tracking work effort & refining work estimating techniques?
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Action required
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Action Reference
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Have procedures for identifying variances from estimates & adjusting the detailed work program been established?
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Describe
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Action required
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Action Reference
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Is project work proceeding in accordance with the original project schedule?
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If not, have all project delays been adequately accounted for, communicated to all stakeholders and adjustments made in overall project schedule?
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Describe
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Action required
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Action Reference
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Is there general agreement & acceptance of the current status and progress of the project?
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Action required
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Action Reference
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Is PERT / Critical Path or equivalent methodology being used? Can you see the critical path on the plan?
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Action required
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Action Reference
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Is an industry recognised mechanised support tool(s) being used for project scheduling & tracking? E.g. MS Project, Primavera
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Action required
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Action Reference
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Is it possible to track all classes of project work (e.g. scheduled, un-scheduled, defect repair, etc.)? Can you compare work done to the baseline?
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Action required
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Action Reference
Project Status Reporting
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Is project status reviewed with senior management at appropriate intervals?
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Describe
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Action required
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Action Reference
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Is sufficient detail covered in progress reviews?
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Overall status
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Project performance (achievements & milestones)
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Open issues
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Risks
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Action items
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Cost & time performance against plan
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Quality metrics
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Action required
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Action Reference
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Are internal project status meetings held at reasonable intervals?
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Action required
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Action Reference
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Are sub-project reviews held at reasonable intervals?
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Action required
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Action Reference
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Have adequate procedures been put in place for project coordination and status reporting across project boundaries (ie. interdependent development among interfacing systems)?
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Action required
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Action Reference
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Do project teams & team members report on status / activities / progress?
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Action required
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Action Reference
Project Estimating
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Are multiple estimation methods being employed?
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Action required
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Action Reference
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Are current project time & resource estimates reasonable based on the current project stage?
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Action required
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Action Reference
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Are actuals compared against estimates to analyse and correct variances?
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Action required
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Action Reference
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Are metrics formally captured, analysed and used as a basis for other project estimates?
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Action required
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Action Reference
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Is the SQAD estimating methodology being used and followed?
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Action required
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Action Reference
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Are project team members involved in detailed estimating and scheduling?
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Action required
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Action Reference
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Are stakeholders aware and supportive of the principles and practices of modern estimation?
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Action required
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Action Reference
Risk Management
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Was an original risk assessment completed?
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Action required
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Action Reference
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Is there a process in place to monitor project risks?
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Action required
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Action Reference
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Has provision been made to reassess project risks at various project stages?
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Action required
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Action Reference
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Have all unresolved risks been documented?
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Action required
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Action Reference
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Have all unimplemented risk strategies been escalated to an issues log?
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Action required
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Action Reference
Quality Management
Quality Management
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Has an overall Quality Assurance Plan been developed for the project?
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Does the plan address key project elements?
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Project Planning?
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Project Management?
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Quality Assurance (QA)?
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Action Required
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Action Reference
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Does the QA process provide objective verification of adherence to applicable standards, procedures & requirements?
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Action Required
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Action Reference
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Are all key components of an QA plan present?
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QA plan
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Action Required
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Action Reference
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Configuration Management (CM)
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Action Required
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Action Reference
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Development standards & methods
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Action Required
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Action Reference
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Methodology
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Action Required
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Action Reference
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Testing Standards & Methodology
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Action Required
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Action Reference
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Naming Conventions
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Action Required
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Action Reference
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Technology Architecture
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Action Required
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Action Reference
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Metrics
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Action Required
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Action Reference
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Are the results of QA reviews provided to affected groups & individuals?
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Action Required
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Action Reference
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Are adequate resources provided for the QA function?
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Action Required
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Action Reference
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Are QA resources experienced?
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Action Required
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Action Reference
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Are the QA processes in place and being effectively used?
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Action Required
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Action Reference
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Is there a set of procedures defining the scope, procedures and deliverables defining Quality Control?
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Action Required
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Action Reference
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Are quality metrics defined?
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Action Required
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Action Reference
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Is there a set of procedures to capture, analyse and act on quality metrics?
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Action Required
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Action Reference
Configuration Management (CM)
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Has CM been implemented for this project?
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Action Required
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Action Reference
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Has an industry recognised CM version management & control tool been implemented?
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Action Required
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Action Reference
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Is CM version management and control effectively linked with the testing function to ensure integration and regression testing have been performed?
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Action Required
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Action Reference
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Has an automated Change Management tool been implemented?
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Action Required
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Action Reference
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Is the CM function adequately staffed?
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Action Required
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Action Reference
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Is the Testing Coordination function separate from the development staff?
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Action Required
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Action Reference
Management Procedures
Management Procedures
Vendor Management
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Is there a formal set of procedures (for status reporting, contract negotiation & review, time/invoice reconciliation, etc.) supporting Vendor Management?
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Action Required
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Action Reference
Issues Management
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Is there a formal set of procedures supporting Issues Management?
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Action Required
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Action Reference
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Is there any form of automated support for Issues Management?
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Action Required
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Action Reference
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Are issues raised, assessed, actioned, and resolved in a timely and efficient manner?
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Action Required
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Action Reference
Stakeholder Management
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Is there a formal set of procedures supporting Stakeholder Management?
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Action Required
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Action Reference
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Is it standard practice to formally commit stakeholders to the project via agreements?
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Action Required
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Action Reference
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Does a comprehensive set of Stakeholder Agreements exist?
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Action Required
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Action Reference
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Do we have statements delineating what each stakeholder has agreed to do?
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Action Required
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Action Reference
Resourcing
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Are adequate resources provided for project execution?
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Action Required
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Action Reference
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Are Project Staff adequately experienced?
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Action Required
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Action Reference
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Are all resource assumptions documented?
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Action Required
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Action Reference
Close out
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Time / Date that audit completed
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Debrief provided
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Actions acknowledged
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Actions loaded to AIM
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Auditee
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Auditor
