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Checklist Baseline Audit

This document is a baseline audit checklist that assesses whether a software project's code, documentation, and other configuration items (CIs) meet the standards for baselining outlined in the project's configuration management plan. The checklist contains over 30 check items across various categories like project management, requirements and design, build, process, and infrastructure. It also includes sections to record the assessment of each item, notes, evidence, and whether any non-conformities were logged as defects. At the end, it summarizes the number of passing, non-passing, and not applicable items and provides a space to suggest whether the baseline passed audit, should be audited again, or other feedback.

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439 views

Checklist Baseline Audit

This document is a baseline audit checklist that assesses whether a software project's code, documentation, and other configuration items (CIs) meet the standards for baselining outlined in the project's configuration management plan. The checklist contains over 30 check items across various categories like project management, requirements and design, build, process, and infrastructure. It also includes sections to record the assessment of each item, notes, evidence, and whether any non-conformities were logged as defects. At the end, it summarizes the number of passing, non-passing, and not applicable items and provides a space to suggest whether the baseline passed audit, should be audited again, or other feedback.

Uploaded by

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© © All Rights Reserved
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Baseline Audit Checklist

Project Code:
Auditor(s): Note the observation, findings
detected over the audit, refer to
Auditee(s): Select a value in the the evidence, record supporting t
Audit date:<DD-MMM-YY> combo box the findings
Effort spent on audit (person-hour):

Check Item Assessment Note


Is the product baseline conducted as per CM Plan?
Are the required CIs baselined in Archive folder as appropriate
CSCIs below?
Project Management
Proposal / External WO
Estimation
Internal WO
Schedule
CM Plan / Project Plan
Requirement & Design

Reqs supplied by customer


Requirement Specifications
Design
Build

Source code
Test Plan
Test cases/scripts
Test data/result
Installation guide/ User Manual
Process
Guideline, standards, templates, checklists
specific in project

Infrastructure
Are the information (status, version, …)
on the hardware, software, tools, and/ or operation environments
identified properly in Baseline report (No need to folder baseline)?

Have CIs in the baseline been reviewed and approved?

Are the findings/ comments adequately logged into DMS as


defects?

Have all the defects identified for the CIs been closed before
baseline point ?
Is baseline code, clean compiled in an environment that mirrors the
deployment environment?
Have deliverables been passed final inspection?

Does baseline report match with the actual CIs in project folder?

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the evidence, record supporting t
combo box the findings

Check Item Assessment Note


Is naming convention defined in CM Plan followed for all the CIs in
the baseline?

Is record of changes to CIs defined clearly?

Has the CI Identification been correctly updated?


If there is any change to CIs, is the status regularly updated in
Change Control Report?

Is the changes-related information is maintained adequately


(Date, Event, Action Taken, Affected CIs, ...)?
Are the changes to requirement reviewed before they are
incorporated?
If the baseline is revised due to a CR, is the CR approved?

Has traceability been mapped for completeness from requirements


to the baselined CIs?

Is Backup performed as defined in CM plan


Has the latest version of anti-virus been used for virus control?
Does the project folder structure follow CM plan?

Does access right follow CM Plan?

In case the access right is granted to non-project members for


special purpose after approved by PM or a project member is out of
the team, is the access right is revoked since expiry date?

Have all the gaps identified in previous baseline audits been closed?

For Project Assets Management


Are the physical assets placed into a physically secure storage
area?
Are the software and information assets managed on company
server by CC?

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the evidence, record supporting t
combo box the findings

Check Item Assessment Note


Is Assets Handover Note available and informed to Assets
Management Officer especially for Customer’s physical assets used
to develop the project?

When returning assets, at project closure time or due-date of


returning assets, is a similar handover note available and informed
to Assets Management Officer?
Do other requirements of the assets storage and transmission follow
CM guideline?
<Add more rows if needed>

* Summary
Number of 'OK' items 0
Number of 'NOK' items 0
Number of 'N/A' items 0

* Suggestion

[ ] - Pass
[ ] - Audit again
[ ] - Other

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