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Practical Guide
to
Auditing the Software Development Process
November 22, 2008
Bruno Collet, MBA
Independent Project Manager & Auditor
bruno@brunocollet.comwww.brunocollet.com
Owner, Synapsys Canada
www.synapsys.ca
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Practical Guide to Auditing the Software Development Process © Bruno Collet, MBA, Independent Management Consultant2
T
ABLE OF
C
ONTENTS
Introduction ___________________________________________________________ 3
Definition__________________________________________________________________ 3
Top three principles of auditing _______________________________________________ 3
The auditor ________________________________________________________________ 3
SD audit and transition management___________________________________________ 4
Phases ____________________________________________________________________ 4
Initiating the audit ______________________________________________________ 4
Defining the mission_________________________________________________________ 4
Identifying the stakeholders __________________________________________________ 5
Planning the audit __________________________________________________________ 5
Kicking-off the audit ________________________________________________________ 5
Analyzing the organization _______________________________________________ 6
General information about the organization_____________________________________ 6
Role of SD in the organization_________________________________________________ 6
Technologies, platforms, tools, and paradigms ___________________________________ 6
Evaluating SD process___________________________________________________ 7
Sources of information_______________________________________________________ 7
Client perspective___________________________________________________________ 8
Team perspective ___________________________________________________________ 8
Management perspective____________________________________________________ 10
Evaluating organizational structure _______________________________________ 10
Evaluating tools and technologies_________________________________________ 11
Testing evaluation results _______________________________________________ 12
Reporting audit results__________________________________________________ 12
Structure of the audit report and presentation __________________________________ 12
How to choose and assess alternatives _________________________________________ 13
Following up _________________________________________________________ 14
Plan of engagements________________________________________________________ 14
Champions _______________________________________________________________ 15
Coaching _________________________________________________________________ 15
Conclusion ___________________________________________________________ 15
References ___________________________________________________________ 16
Practical Guide to Auditing the Software Development Process © Bruno Collet, MBA, Independent Management Consultant3
Introduction
The purpose of this document is to summarize the process for auditing softwaredevelopment (SD) practices. Although business and academic sources extensivelycover both auditing and SD processes, there is surprisingly little information about auditapplied to SD. This document briefly describes the SD audit process based on publiclyavailable information as well as personal experience in SD auditing and in IT projectmanagement.
Definition
The purpose of an SD audit is to assess SD practices in the target organization in orderto recommend improvements to help the organization achieve its business objectives.Although the scope of an SD audit can vary, it typically encompasses SD processes,organizational structure, and tools and technologies. In essence, the goal of the SD auditis to optimize SD's effectiveness and efficiency.Note that an SD audit is
not
an IT audit. Although there is some overlap, the IT auditdeals primarily with IT operations.
Top three principles of auditing
We should keep in mind the top three principles of auditing:1. Unaudited information lacks sufficient credibility to form a reliable base fordecision making.2. Auditing requires more than common sense. It requires a systematic approach ingathering evidence, and specialized knowledge (SD management in our case).3. Auditors must be independent from the organization they audit. Their work mustbe carried out objectively and impartially.
The auditor
The SD auditor should have the following characteristics:
−
Excellent communication and interpersonal abilities
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Management consulting skills to formulate recommendation based on clearevidence and flawless analysis techniques
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Experience in SD management, as project manager for example
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Experience in IT management, as development or IT manager for example
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