Project Audit and Review

• Document No.

• Audit Title

• Client / Site

• Conducted on

  Date

• Prepared by

• Location
  Address

• Personnel

• Select date

  Date

Project planning

• Does the project have a formal Project Plan?

  Yes

  Partial

  No

• Action required

• Action Reference

• Are the key elements of a Project Plan present?

  Yes

  Partial

  No

• Project Definition & Scope?

  Yes

  No

• Project Objectives?

  Yes

  No

• Schedule?

  Yes

  Partial

  No

• Cost / Benefit Analysis?

  Yes

  No

• Staffing Requirements?

  Yes

  Partial

  No

• Risk analysis?

  Yes

  No

• Critical Success Criteria (if we meet these, we've met our goals)?

  Yes

  No

• Action required

• Action Reference

• Is a Stakeholder Management plan in place?

  Yes

  No

• Have all stakeholders been identified?

  Yes

  Partial

  No

• Have the scope, objectives, costs, benefits and impacts been communicated to all involved and/or impacted stakeholders and work groups?

  Yes

  Partial

  No

• Have project accountabilities & responsibilities been clearly defined?

  Yes

  No

  N/A

• Have all involved stakeholders and work groups committed to the project?

  Yes

  No

  N/A

• Have all necessary approvals been obtained?

  Yes

  At Risk

  No

• Action required

• Action Reference

• Has a project Communications Plan been developed?

  Yes

  No

• Action required

• Action Reference

• Are funding and staffing resource estimates sufficiently detailed and documented for use in planning and tracking the project?

  Yes

  No

• If no, provide commentary.

• Action required

• Action Reference

• Does a documented project organisational policy & plan (i.e. governance model) exist?

  Yes

  Partial

  No

• Action required

• Action Reference

• Have adequate resources been provided by management to ensure project success?

  Yes

  At Risk

  No

• If no, provide commentary.

• Action required

• Action Reference

• Is current scope of the project substantially different than that originally defined in the approved project plan?

  No change

  Moderate change

  Significant

• Action required

• Action Reference

• Has the approach and development strategy of the project been defined, documented and accepted by the appropriate stakeholders?

  Yes

  At Risk

  No

• Action required

• Action Reference

• Have project management standards and procedures been established and documented?

  Yes

  Partial

  No

• Action required

• Action Reference

• Is there a Steering Committee in place?

  Yes

  No

  N/A

• Action required

• Action Reference

• Is the Steering Committee active in project oversight?

  Yes

  No

  N/A

• Action required

• Action Reference

• Are there procedures in place to effectively manage interdependencies with other projects / systems?

  Yes

  No

  N/A

• Action required

• Action Reference

• Additional comments

Project Management

• Have the key elements of a coherent project management strategy been established?

  Yes

  No

• Project tracking plan & methodology

  Yes

  Partial

  No

• If partial, provide commentary.

• Action required

• Action Reference

• Project status reporting structure & process

  Yes

  No

• Action required

• Action Reference

• Change Management plan & tracking

  Yes

  No

• Action required

• Action Reference

• Issues Management process & tracking plan

  Yes

  No

• Action required

• Action Reference

• Risk Management Plan

  Yes

  No

• Action required

• Action Reference

• Quality Assurance

  Yes

  No

• Action required

• Action Reference

• Configuration Management

  Yes

  No

• Action required

• Action Reference

Project Scheduling & Tracking

• Has a structured approach been used to break work effort into manageable components?

  Yes

  No

• Action required

• Action Reference

• Are team members involved in the development of activity & task decomposition?

  Yes

  Partial

  No

• Action required

• Action Reference

• Are individual tasks of reasonable duration (8–40 hrs)?

  Yes

  No

• Action required

• Action Reference

• Are milestone deliverables effectively tracked and compared to project plan?

  Yes

  No

• Action required

• Action Reference

• Does the detailed project plan identify individual responsibilities for the next 4–6 weeks?

  Yes

  No

  N/A

• Action required

• Action Reference

• Have activity relationships and interdependencies within tasks been adequately identified?

  Yes

  No

  N/A

• Action required

• Action Reference

• Are target dates established for each milestone deliverable?

  Yes

  No

• Action required

• Action Reference

• Are corrective actions taken when actual results are substantially different from detailed project plan? Describe.

  Yes

  No

• Describe

• Action required

• Action Reference

• Are changes in deliverable commitments agreed to by all affected groups & individuals?

  Yes

  No

  N/A

• Action required

• Action Reference

• Is the organisation structure for both tracking & controlling project activities work products & costs (effort, schedule & budget) well defined and assigned to a specific individual?

  Yes

  Partial

  No

• If partial, provide commentary.

• Action required

• Action Reference

• Are measurements and feedback mechanisms incorporated in tracking work effort & refining work estimating techniques?

  Yes

  No

• Action required

• Action Reference

• Have procedures for identifying variances from estimates & adjusting the detailed work program been established?

  Yes

  No

• Describe

• Action required

• Action Reference

• Is project work proceeding in accordance with the original project schedule?

  Yes

  No

• If not, have all project delays been adequately accounted for, communicated to all stakeholders and adjustments made in overall project schedule?

  Yes

  No

  N/A

• Describe

• Action required

• Action Reference

• Is there general agreement & acceptance of the current status and progress of the project?

  Yes

  No

  N/A

• Action required

• Action Reference

• Is PERT / Critical Path or equivalent methodology being used? Can you see the critical path on the plan?

  Yes

  No

• Action required

• Action Reference

• Is an industry recognised mechanised support tool(s) being used for project scheduling & tracking? E.g. MS Project, Primavera

  Yes

  No

  N/A

• Action required

• Action Reference

• 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?

  Yes

  No

• Action required

• Action Reference

Project Status Reporting

• Is project status reviewed with senior management at appropriate intervals?

  Yes

  No

• Describe

• Action required

• Action Reference

• Is sufficient detail covered in progress reviews?

  Yes

  No

• Overall status

  Yes

  No

• Project performance (achievements & milestones)

  Yes

  No

• Open issues

  Yes

  No

• Risks

  Yes

  No

  N/A

• Action items

  Yes

  No

• Cost & time performance against plan

  Yes

  No

• Quality metrics

  Yes

  No

  N/A

• Action required

• Action Reference

• Are internal project status meetings held at reasonable intervals?

  Yes

  No

• Action required

• Action Reference

• Are sub-project reviews held at reasonable intervals?

  Yes

  No

  N/A

• Action required

• Action Reference

• Have adequate procedures been put in place for project coordination and status reporting across project boundaries (ie. interdependent development among interfacing systems)?

  Yes

  No

  N/A

• Action required

• Action Reference

• Do project teams & team members report on status / activities / progress?

  Yes

  No

  N/A

• Action required

• Action Reference

Project Estimating

• Are multiple estimation methods being employed?

  Yes

  No

  N/A

• Action required

• Action Reference

• Are current project time & resource estimates reasonable based on the current project stage?

  Yes

  No

• Action required

• Action Reference

• Are actuals compared against estimates to analyse and correct variances?

  Yes

  No

• Action required

• Action Reference

• Are metrics formally captured, analysed and used as a basis for other project estimates?

  Yes

  No

• Action required

• Action Reference

• Is the SQAD estimating methodology being used and followed?

  Yes

  No

  N/A

• Action required

• Action Reference

• Are project team members involved in detailed estimating and scheduling?

  Yes

  No

  N/A

• Action required

• Action Reference

• Are stakeholders aware and supportive of the principles and practices of modern estimation?

  Yes

  No

  N/A

• Action required

• Action Reference

Risk Management

• Was an original risk assessment completed?

  Yes

  No

• Action required

• Action Reference

• Is there a process in place to monitor project risks?

  Yes

  No

  N/A

• Action required

• Action Reference

• Has provision been made to reassess project risks at various project stages?

  Yes

  No

• Action required

• Action Reference

• Have all unresolved risks been documented?

  Yes

  No

  N/A

• Action required

• Action Reference

• Have all unimplemented risk strategies been escalated to an issues log?

  Yes

  No

  N/A

• Action required

• Action Reference

Quality Management

• Has an overall Quality Assurance Plan been developed for the project?

  Yes

  No

• Does the plan address key project elements?

  Yes

  No

  N/A

• Project Planning?

  Yes

  No

• Project Management?

  Yes

  No

• Quality Assurance (QA)?

  Yes

  No

• Action Required

• Action Reference

• Does the QA process provide objective verification of adherence to applicable standards, procedures & requirements?

  Yes

  No

• Action Required

• Action Reference

• Are all key components of an QA plan present?

  Yes

  No

  N/A

• QA plan

  Yes

  No

• Action Required

• Action Reference

• Configuration Management (CM)

  Yes

  No

  N/A

• Action Required

• Action Reference

• Development standards & methods

  Yes

  No

  N/A

• Action Required

• Action Reference

• Methodology

  Yes

  No

• Action Required

• Action Reference

• Testing Standards & Methodology

  Yes

  No

  N/A

• Action Required

• Action Reference

• Naming Conventions

  Yes

  No

  N/A

• Action Required

• Action Reference

• Technology Architecture

  Yes

  No

  N/A

• Action Required

• Action Reference

• Metrics

  Yes

  No

  N/A

• Action Required

• Action Reference

• Are the results of QA reviews provided to affected groups & individuals?

  Yes

  No

• Action Required

• Action Reference

• Are adequate resources provided for the QA function?

  Yes

  No

  N/A

• Action Required

• Action Reference

• Are QA resources experienced?

  Yes

  No

  N/A

• Action Required

• Action Reference

• Are the QA processes in place and being effectively used?

  Yes

  No

• Action Required

• Action Reference

• Is there a set of procedures defining the scope, procedures and deliverables defining Quality Control?

  Yes

  Partial

  No

• Action Required

• Action Reference

• Are quality metrics defined?

  Yes

  No

• Action Required

• Action Reference

• Is there a set of procedures to capture, analyse and act on quality metrics?

  Yes

  Partial

  No

• Action Required

• Action Reference

Configuration Management (CM)

• Has CM been implemented for this project?

  Yes

  No

• Action Required

• Action Reference

• Has an industry recognised CM version management & control tool been implemented?

  Yes

  Partial

  No

• Action Required

• Action Reference

• Is CM version management and control effectively linked with the testing function to ensure integration and regression testing have been performed?

  Yes

  Partial

  No

• Action Required

• Action Reference

• Has an automated Change Management tool been implemented?

  Yes

  No

  N/A

• Action Required

• Action Reference

• Is the CM function adequately staffed?

  Yes

  No

  N/A

• Action Required

• Action Reference

• Is the Testing Coordination function separate from the development staff?

  Yes

  No

  N/A

• Action Required

• Action Reference

Management Procedures

Vendor Management

• Is there a formal set of procedures (for status reporting, contract negotiation & review, time/invoice reconciliation, etc.) supporting Vendor Management?

  Yes

  Partial

  No

• Action Required

• Action Reference

Issues Management

• Is there a formal set of procedures supporting Issues Management?

  Yes

  Partial

  No

• Action Required

• Action Reference

• Is there any form of automated support for Issues Management?

  Yes

  No

  N/A

• Action Required

• Action Reference

• Are issues raised, assessed, actioned, and resolved in a timely and efficient manner?

  Yes

  Partial

  No

• Action Required

• Action Reference

Stakeholder Management

• Is there a formal set of procedures supporting Stakeholder Management?

  Yes

  No

• Action Required

• Action Reference

• Is it standard practice to formally commit stakeholders to the project via agreements?

  Yes

  No

  N/A

• Action Required

• Action Reference

• Does a comprehensive set of Stakeholder Agreements exist?

  Yes

  No

  N/A

• Action Required

• Action Reference

• Do we have statements delineating what each stakeholder has agreed to do?

  Yes

  No

  N/A

• Action Required

• Action Reference

Resourcing

• Are adequate resources provided for project execution?

  Yes

  No

  N/A

• Action Required

• Action Reference

• Are Project Staff adequately experienced?

  Yes

  At Risk

  No

• Action Required

• Action Reference

• Are all resource assumptions documented?

  Yes

  No

• Action Required

• Action Reference

• Time / Date that audit completed

  Date

• Debrief provided

• Actions acknowledged

• Actions loaded to AIM

• Auditee

  Sign

• Auditor

  Sign