Audit Checklist 1.

Sr. No 1.00 1.01 Given awareness training Please ensure that all team members are aware on the organization process and documentation. General project Background - Discuss the following with PM Customer back ground, nature of business and Plexus relationship Project scope, application domain & technology Team size, composition and onsite/offshore support Current phase and status, current schedule and sizing model What is the nature of work – bugs fixing, small / large enhancements, production support, help desk, testing and only documentation. Has work flow / work spec document been prepared and submitted to customer or reviewed by any one– (may also be done during planning stage) Application Domain / Technology orientation Special commitments made to customer and acceptance criteria Audit Have all the NCss been closed? Have all the Alerts been closed? Are all the External Review findings been closed? Documents Are documents in the prescribed format/template or has the format been changed? If changed give reasons? Are all documents configuration controlled? Are Documents Reviewed Internally? Are Documents Reviewed Externally? Requirements Contract Does the customer have a master contract with PLEXUS – in the case contract would contain pointers to master contract? If it is internal product development so see some other evidence. Has contract review for the project been done? Have the contract review findings been recorded on the review form? Have all the review findings been adequately addressed? Stage Ok Not OK NC Alert Remarks

2.00 2.01 2.02 2.03 2.04 2.05 2.06 2.07 2.08 3.00 3.01 3.02 3.03 4.00 4.01 4.02 4.03 4.04 5.00 5.01 5.01.01 5.01.02 5.01.03 5.01.04

5.01.05 5.01.06 5.01.07 5.01.08 5.02 5.02.01 5.02.02 5.02.03 5.02.04 5.02.05 5.02.06 5.02.07 6.00 6.01 6.02 6.03 6.04 6.05 6.06 6.07 6.08 6.09 6.10 6.11 6.12 6.13 6.14 7.00 7.01 7.02 7.03 7.04 7.05 7.06 7.07 7.08 7.09

Have MOM been captured for Project Scooping of SOW as well as Creative Brief? Is the Requirements Doc and Essential Register ready? Has the Requirements Doc Reviewed Externally? Have the Client Signed off the Requirements Doc and Essential Register? Prototyping Is the Creative Brief Ready? Is the Creative Brief reviewed? Is the Creative Brief ready and signed off for the iteration if not then mention date for freeze? Is version control applied to designs/HTML? Is base lining being followed for design/HTML for iterations? Is the Prototype reviewed? Internally as well as Externally? Are all defects/issues closed? Analysis Are All Open Issues Of Requirements Document closed? Is the Final version of Requirements Document approved? Is the project going to adopt SSAD methodology or OOAD? In case of OOAD is the Use Case Model And Specifications ready? In case of OOAD is the Analysis Model ready? In case of SSAD is the System Specification Document ready? In case of SSAD is the Functional Specification Document ready? Are all issues of FSD and SSD closed? Are all issues of FSD and SSD closed? Is the Technical Architecture Doc Ready? Has the Technical Architecture been reviewed and findings closed? Is the Capacity Planning Document ready? Is the Capacity Planning Document ready? Are all defects/issues closed? Design Is Design Document ready? Has the Design Documents been reviewed and findings closed? Is Design Model Ready? Is Deployment Planning Document ready? Are Database Standards to be followed ready? Are Coding Standards to be followed ready? Is Unit Test Plan ready? Is System Test Plan ready? Are all defects/issues closed?

8.00 8.01 8.02 8.03 8.04 8.04.1

Project Management Is the handover/takeover complete? Do you have a Vision Statement for the project? Is the Project Management Plan Reviewed Externally? Life cycle Model applicable Which life cycle model applicable. Which processes are mandatory? Are there any umbrella plans or umbrella processes Process Tailoring What are the deviations needed after referring to tailoring guidelines? The tailored process should be documented in project Plan and deviation from need to be filled up. (The deviation forms need to be prepared) Projects Status Report/PSR: Discussed the frequency of projects statuses send to AVP or customers. This frequency needs to be addressed in Project plan Estimation & Resources Have the initial estimates been frozen? Are the timelines being met? State Variance from Estimated Timelines. Discuss number of hours spent v/s estimated Discuss number of lines of code/pages developed What are the task level deviations between actuals and planned? Are there any client slippages and what are the escalations to this effect? Are there any 3rd party slippages and what are the escalations to this effect? Were there any unplanned activities which were executed? If timelines are not being met then specify reasons and state action plan Has the project been re-estimated at re-estimation points? Have re-estimations been communicated to the client? Has client signed off for re-estimations? Validate number of Resources being used to those stated in the MPP Has re-sizing being done as per plan Do you have a Team Skill Set List Client Interaction Is a Interaction Log being maintained? Are MOMs being logged in?

8.05 8.05.1 8.05.2

8.06 8.06.1 8.06.2 8.07 8.07.01 8.07.02 8.07.03 8.07.04 8.07.05 8.07.06 8.07.07 8.07.08 8.07.09 8.07.10 8.07.11 8.07.12 8.07.13 8.07.14 8.07.15 8.08 8.08.01 8.08.02

8.09 8.09.01 8.09.02 8.09.03 8.09.04 8.09.05 9.00 9.01 9.01.01 9.01.02 9.01.03 9.01.04 9.01.05

Risks: Risk management plans – identify the risks Help identified the risks Discuss each risk with the PM - probability and impact, prioritize, mitigation plan, and contingency plan Have all the Risk been Identified, Analyzed and preventive action taken? Project Management Plan Configuration Management Configuration Management Plan Is the Configuration Plan Ready? Is it Reviewed? Discussed the configuration management process to be followed for the project CM been identified Discussed which tool(s) are planned for version control, etc. Discuss the merit of the tool(s) Discussed with AVP for information on tools for deciding which can be used, in case tools usage is not already planned Change Management Is the Baseline Register being maintained? How many Change Requests have been received and are expected? Is the CR log being Maintained? Is Impact Analysis being done for the Change Request? What is the resolution time taken for Change Requests? How many Change Requests are being absorbed? Is there a deviation in the timelines forecasted due to Change Requests? Are you maintaining a Backup Register? Development Discuss stage of development Does the stage of development match with that mentioned in the PMP Code Review Has the code been reviewed? Has the database configuration reviewed? Testing Is the Test Plan Ready? Is it Reviewed? Acceptance criteria has been properly understood and defined in the Test Plan

9.02 9.02.01 9.02.02 9.02.03 9.02.04 9.02.05 9.02.06 9.02.07 9.02.08 10.00 10.01 10.02 11.00 11.01 11.02 12.00 12.01 12.02

12.03 12.04 12.05 12.06 12.07 12.08 12.09 12.10 12.11 12.12 12.13 13.00 13.01 13.02 13.03 13.04 13.05 13.06 13.07 13.08 13.09 13.10 13.11 14.00 14.01 14.02 14.03 14.04 14.05 14.06 14.07 14.08 14.09 14.10 14.11 14.12

Has the critical path being defined? Have the quality goals been carefully defined. Are acceptable levels of slippage being defined? Are they realistic? Has care been taken to distinguish focus areas if it is a product development? There should be more stringent controls for product development Do you have a separate Test Environment? At what stage is the Testing process? Unit/System Is the application reviewed Internally? Are Defects being logged in the Defect Log? What is the numbers of Defects tracked in the Internal Review – open, close, severity analysis, Type of defect analysis? Is the application reviewed Externally? What is the numbers of Defects tracked in the External Review – open, close, severity analysis, Type of defect analysis? Compare the Internal and External Review findings. Deployment Is the Target Server In Environment Ready? Has the Client been Communicated? Have the Risks been Identified? Is there a Fallback policy? Have All Concerned Notified, Pre Deployment? Is the Essential Register Ready? Is the Release Register for Deployment? Is there a Schedule For Release? Has the Deployment been Signed off? Do you have Client Signoff for Deployment? Is the User Manual Ready? Post Acceptance / Project Closure Have sent the Client Intimation Letter? 2 Weeks in Advance? Do you have Client Sign Off On Final Deliverable? Has the final delivery been made? What are the outstanding deliverables? Have you sent Client Acceptance Letter? Do you have Receipt Of Acceptance For The CAL? Have All Contractual Obligations been Met? Has Payment been Received In Full? Has the project completion report been prepared? Does it contain - project write up, significant achievement/issues/events, Has AVP reviewed the project completion report? Lessons learnt -- do's and don't been made? Process issues -- Best practices, Suggestion for improvement been documented Has the projects metrics reports been prepared

14.13 14.14 14.15 14.16 14.17 14.18 14.19

Have you completed the Project Knowledge Collection? Does this contain “Value Additions” Have you Archived Project Code/Documents? Have Other Departments been Intimated? Has project end presentation been given? Have projects end performance appraisals been done? Have all resources been released Has archival process and required data send to Central Repository?

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