Phase End Audit: Done at every phase end such as Requirement Analysis, Design, Code and Test phases for development projects.

Checklist for Phase End Audit:

1. Are the NCRs of the previous Audits closed?

2. Have requirements been elicited, prioritized and validated?

3. Have the Client approved to the FSD / Design / relevant phase work products?

4. Is size and efforts were estimated after the FSD was approved?

5. Is the effort distribution mentioned in Project Metrics same as that mentioned in MS project Schedule?

6. Have the reviews been performed on the work products?

7. Was causal analysis performed for the phase, have suitable action items been identified?

8. Is a DP checklist prepared, as planned? Was it used in the phase? Has it been enhanced as needed?

9. Is the Functional Configuration Audit / Physical Configuration Audit conducted ?

10. Have all defects been closed?

11. Have the Traceability matrix updated?

12. Are all the planned metrics collected?

13. Are the sub-process such as preparation, review and rework monitored and controlled during the progress of this phase and corrective action if any, recorded in metrics sheets?

14. Are the inferences on the overall process performance based on the sub-process performance documented in metrics sheets?

15. Are the data available in the metrics sheet verified against the source?

16. Is the corrective and preventive action taken quantitatively within the phase?

17. Is correlation for variance data, predictions inferences appropriate for the process and sub-process variances observed in metrics sheets?

18. Have Decision Analysis & Resolution been applied in project as identified in the Project plan?

19. Is consistency maintained for the inference data and actual variance observed in metrics sheets?

20. Are changes to the schedule tracked & updated?

21. Are the changes in the schedule affects the project’s delivery date? If so, have the Client been informed the same?

22. Are support groups informed about schedule changes affecting them?

23. Are the support group commitments revised accordingly?

24. Is the Risk Mitigation Plan reviewed periodically?

25. Has the status of risk plan been updated?

26. Are all the work products been audited before delivery?

27. Have the Change Control Form generated for each change requested?

28. In case of major changes, has the approval for the same be obtained from respective authority before initiating work on the same?

29. Have the complaints from the client are recorded?

30. Are Client complaints tracked and closed?

31. Are all the team members recorded their efforts till date?

32. Are the Periodic reviews conducted in the planned frequency?

33. Have the effort on review & rework noted down?

34. Have the process database been updated with all the completed documents?

35. Is Master List of Project Documents updated?

36. Is the Access Control Library updated for changes?

37. Does the Requirement Tracebility Matrix contain the physical file name for source code mappings?

38. Is the total Number of requirements identified in Requirement Tracebility Matrix in sync with Functional Spcification Document?

39. Does Requirement Tracebility Matrix consist of bi-directional traceability mapping?

40. Is the build verification done before Testing?

Also See:

Work Product – FSD Audit Checklist