8.1 SAP Process Audit Checklist

	BS - Process Audit Checklist
	List of Checkpoints
S.No.	CheckPoint	Phase	Process Area
	Project Preparation
	Project Initiation
1	Is there a Reviewed and approved project initiation document ( Contract / MCA / PO) existing?	Project Preparation	Project Management
2	Have the deliverables, scope & acceptance criteria defined clearly & agreed by the customer?	Project Preparation	Project Management
3	Have the responsibilities of customer defined & agreed with the customer?	Project Preparation	Project Management
4	Has the contract review done by SM/ LOB Head / SBU Head with Commercials & Marketing?	Project Preparation	Project Management
5	Did a handover take place from marketing to delivery and all necessary documents available?	Project Preparation	Project Management
6	Is there a PQM identified for the project?	Project Preparation	Project Management
7	Has the project initiation communicated to PM, PQM & the support teams( Marketing, Commercial, P& Q, HR, Sys admin,Livelink, Basis, ABAP, Remedy as applicable / all stakeholders)?	Project Preparation	Project Management
8	Has the project created in Livelink ( Can be ensured during project initiation communication)?	Project Preparation	Project Management
9	Has the contract reviewed & clarifications taken from SM/ LOB Head / SBU Head, Commercials, Customer & Account Manager?	Project Preparation	Project Management
10	Is the PM / PQM trained on QMS? If not training requirement given?	Project Preparation	Project Management
11	Has the Project Repository checked for similar project documents?	Project Preparation	Project Management
12	Have the SM/ LOB Head, PM, PQM registered in the QMS Portal with the respective roles?	Project Preparation	Project Management
13	Have all the team Members registered in the QMS Portal?	Project Preparation	Project Management
14	Is the Risk Escalation Level available from proposal team?	Project Preparation	Project Management
15	Has the scope, customer objective, customer responsibilities, project standards etc. discussed with the customer and agreed?	Project Preparation	Project Management
16	Has the Project Charter prepared with the right template and complete as applicable?	Project Preparation	Project Management
17	Is project Charter reviewed & approved (Review Records should be available) by SM/ LOB Head as applicable?	Project Preparation	Project Management
18	Has the Project Charter forwarded to customer for approval as applicable?	Project Preparation	Project Management
19	Are responsibilities of the Customer clearly defined and agreed with customer?	Project Preparation	Project Management
20	Is there a clearly defined SLA / monitoring mechanism agreed with the customer ?	Project Preparation	Project Management
21	Has the project registered in the QMS Portal with all relevant information & status as "Ramp Up"?	Project Preparation	Project Management
22	Has the project standards finalized?	Project Preparation	Project Management
	Project Plan Preparation
23	Is Project Quality Plan developed with project process, tailoring and necessary goals (metrics) defined using right template and all sections completely defined?	Project Preparation	Project Management
24	Are reviews identified as an SQA activity for each work product?	Project Preparation	Project Management
25	Deviations if any is agreed with TC?	Project Preparation	Project Management
26	Has the estimation done based on the inputs from contract as well as the scope identified during Project Charter preparation?	Project Preparation	Project Management
27	Is Project Plan developed using right template and all sections completely defined?	Project Preparation	Project Management
28	Does project plan scopes for Stakeholders?	Project Preparation	Project Management
29	Does project plan scopes Responsibilities for TC and PQM	Project Preparation	Project Management
30	Does project plan scopes Responsibilities for Commercial and Sales / Account Management as applicable?	Project Preparation	Project Management
31	Does project plan scope identifies the Critical Dependencies / Success Factors (e.g. critical facility, test groups etc) ?	Project Preparation	Project Management
32	Does project plan scopes Identification of standard tools to be used in the project, even if customer doesn’t specify the tool?	Project Preparation	Project Management
33	Does project plan scopes Identification of reused components for the project?	Project Preparation	Project Management
34	Does project plan scopes Evaluation of needed granularity for tracking (effort, schedule, cost and quality) to meet customer requirements?	Project Preparation	Project Management
35	Does project plan use standard method of estimation e.g. Delphi ?	Project Preparation	Project Management
36	Is “Lesson Learnt” identified as an "end deliverable of project" ?	Project Preparation	Project Management
37	Has the latest QMS documents to be used in the projects identified & documented?	Project Preparation	Project Management
38	Is the Risk Management being done in the project?	Project Preparation	Project Management
39	Has the Risk Escalation Level revisited & updated for the delivery phase?	Project Preparation	Project Management
40	Whether the sources of risks are categorized, impact of the risk is estimated & prioratized? (Impact on Cost, Quality, Schedule etc). Risk should not be generic	Project Preparation	Project Management
41	Has the project organization been established on the basis of the project structure and are the organizational plans (internal/external (for customers and partners)) complete and represented in a clear format?	Project Preparation	Project Management
42	Have the distribution lists been determined and documented to ensure the flow of information?	Project Preparation	Project Management
43	Is a risk mitigation/contingency plan prepared for identified risks?	Project Preparation	Project Management
44	Is there a mechanism to share risk status with affected parties.	Project Preparation	Project Management
45	Is Mechanism of status review (e.g. Project Report, MIS etc) items with higher management in place ?	Project Preparation	Project Management
46	Are the project goals based on SBU/Organization goals? Whether reasons documented if deviating from the SBU/Org goals.	Project Preparation	Project Management
47	Are project team members aware of the deviated process and process is well understood.	Project Preparation	Project Management
48	Does the PES / PSR include the monitoring of all life cycle activities planned in the Project?	Project Preparation	Project Management
49	Are the skills & knowledge needed for each team member (functional and technical) identified at the project level?	Project Preparation	Project Management
50	Is the training schedule(name of the participant, when the training is needed etc…) available?	Project Preparation	Project Management
51	Does the training schedule cover mode of training (self-study, on-job training, classroom training etc.)	Project Preparation	Project Management
52	Are training delivered as planned?	Project Preparation	Project Management
53	Is mentoring done as identified in the Training Plan?	Project Preparation	Project Management
54	Are the re-planning criteria set?	Project Preparation	Project Management
55	Is there any Internal escalation mechanism established? (Should include issue resolution and management among affected parties etc)	Project Preparation	Project Management
56	Is Service Planning in terms of Manpower (identification of delivery/operation manager) done?	Project Preparation	Project Management
57	Does an Escalation mechanism exist with Customer and /or Subcontracting agency? Is that documented and approved?	Project Preparation	Project Management
58	Is Service Planning in terms of Resources - Hardware / software done?	Project Preparation	Project Management
59	Does project scopes Handling of customer supplied products	Project Preparation	Project Management
60	Is the Draft Project Plan forwarded to PQM, TC & SM/ LOB Head for Review?	Project Preparation	Project Management
61	Is Configuration Management Plan sections is completely defined, reviewed and approved?	Project Preparation	Project Management
62	Is there a plan defined for the Configuration Audit?	Project Preparation	Project Management
63	Is project monitored and tracked regularly as per plan with the team? Verify Closure of previous Audit findings	Project Preparation	Project Management
64	Are responsibilities for Change Management defined and members identified?	Project Preparation	Project Management
65	Are the Project baselines identified?	Project Preparation	Project Management
66	Is there a backup procedure for work products?	Project Preparation	Project Management
67	Is release management defined?	Project Preparation	Project Management
68	Has a change order strategy determined?	Project Preparation	Project Management
69	Has the change order procedure agreed upon with the business partners (principal, suppliers etc.), documented and implemented?	Project Preparation	Project Management
70	Has a claims strategy determined, and is the procedure for this documented?	Project Preparation	Project Management
	PES Planning
71	Has the start PES presentation prepared?	Project Preparation	Project Management
72	Has the invitation for start PES forwarded to all support teams?	Project Preparation	Project Management
73	Has the start PES Meeting conducted as scheduled?	Project Preparation	Project Management
74	Has the clarifications taken from all stakeholders?	Project Preparation	Project Management
75	Has Project plan commitments discussed and agreed with Mandatory participants of the Start PES meeting?	Project Preparation	Project Management
76	Has Project plan commitments discussed and agreed with Project Team?	Project Preparation	Project Management
77	Has the PES decision sheet forwarded to all attended the meeting/ invited?	Project Preparation	Project Management
	Project Preparation Phase Closure
78	Has the Project Plan updated based on the feedback in the meeting?	Project Preparation	Project Management
79	Has the Project briefing (Project Overview & Process Overview) done to all team members?	Project Preparation	Project Management
80	Has the Project Charter approved by the client as applicable?	Project Preparation	Project Management
81	Has the re-scheduling of Project Preparation phase done in case of anticipated delay in Project Charter approval (Next Phase can be started parallelly)?	Project Preparation	Project Management
82	Has the project plan walkthrough scheduled & communicated to reviewers?	Project Preparation	Project Management
83	Has the walkthrough of Project Plan done?	Project Preparation	Project Management
84	Has the final Review observations documented?	Project Preparation	Project Management
85	Has the open points verified by PQM for closure?	Project Preparation	Project Management
86	Is there a documented approval available for Project Plan?	Project Preparation	Project Management
87	Has the Project Plan released (after uploading in Livelink, communicate through livelink notification or through e-mail)?	Project Preparation	Project Management
88	Has the Project Kick off meeting done with the customer?	Project Preparation	Project Management
89	Has the Kick off meeting minutes forwarded to all attended the meeting?	Project Preparation	Project Management
90	Has all the activities scheduled in the project preparation phase completed?	Project Preparation	Project Management
91	Has the Project Status in QMS portal set to "Live"?	Project Preparation	Project Management
92	Has the approved documents uploaded in Livelink?	Project Preparation	Project Management
93	Has the configuration audit conducted as planned?	Project Preparation	Project Management
	Project Monitoring - Monthly
94	Is QMS Intranet updated with the latest project information?	All Phases after Project Preparation	Project Management
95	Is there any evidence of re-plan when the re-planning criterion is met?	All Phases after Project Preparation	Project Management
96	Is the revised project plan reviewed & released after closure of review observations?	All Phases after Project Preparation	Project Management
97	Is project monitored and tracked regularly as per plan with the team? Verify Monthly PR (completeness etc)	All Phases after Project Preparation	Project Management
98	Is th escalation mechanism followed? (Should include issue resolution and management among affected parties etc)	All Phases after Project Preparation	Project Management
99	Has Project plan changes discussed and agreed with Mandatory participants of the Start PES meeting	All Phases after Project Preparation	Project Management
100	Has Project plan changes if any discussed and agreed with Project Team	All Phases after Project Preparation	Project Management
101	Is compliance to agreed SLA / Commitments with the customer tracked ?	All Phases after Project Preparation	Project Management
102	Is Service Planning in terms of Resources - Hardware / software done and being tracked ?	All Phases after Project Preparation	Project Management
103	Is Service Planning in terms of Manpower done and being tracked?	All Phases after Project Preparation	Project Management
104	Are internal (project team) and, if stipulated in the contract, external (e.g. project steering committee with customers) project status meetings organized and held? MOMs	All Phases after Project Preparation	Project Management
105	Is project monitored and tracked regularly as per plan with the team? Verify Issues, open action items (including RRB, Issue Logs, PR, PES Decision sheet, etc) till closure	All Phases after Project Preparation	Project Management
106	Is project monitored and tracked regularly as per plan with the team? Verify On-site work/team	All Phases after Project Preparation	Project Management
107	Is project monitored and tracked regularly as per plan with the team? Verify Critical dependencies / Critical Success Factors	All Phases after Project Preparation	Project Management
108	Is project monitored and tracked regularly as per plan with the team? Verify Closure of previous Audit findings	All Phases after Project Preparation	Project Management
109	Are projected values of the efforts being used while tracking and re-planning	All Phases after Project Preparation	Project Management
110	Is project using control charts for process monitoring and action plan documented for outliers	All Phases after Project Preparation	Project Management
111	Are improvements in trend tracked and recorded?	All Phases after Project Preparation	Project Management
112	Are all affected parties participating during the project tracking?	All Phases after Project Preparation	Project Management
113	Is actual impact vs. planned impact tracked, on occurence of actual risk?	All Phases after Project Preparation	Project Management
114	Has the Timesheet filled in for the month?	All Phases after Project Preparation	Project Management
115	Has the Project Report for the month is prepared? ( As on 20th)	All Phases after Project Preparation	Project Management
116	Has the Project Report reviewed by PQM for correctness & completeness of the contents & improvement recommendations provided?	All Phases after Project Preparation	Project Management
117	Has Project Report reviewed & recommendations given by SM/ LOB Head & TC?	All Phases after Project Preparation	Project Management
118	Has the PSR scheduled & informed to all concerned?	All Phases after Project Preparation	Project Management
119	Has the PSR conducted as scheduled?	All Phases after Project Preparation	Project Management
120	Has the PSR conducted covers all points given in PSR Checklist?	All Phases after Project Preparation	Project Management
121	Has the root cause identified for the deviations from planned & action planned?	All Phases after Project Preparation	Project Management
122	Has the PSR released to all participants?	All Phases after Project Preparation	Project Management
123	Has the approved documents uploaded in Livelink?	All Phases after Project Preparation	Project Management
124	Is Change Management implemented as defined?	All Phases after Project Preparation	Project Management
125	Is the defined Change Management process followed for changes raised by team members.	All Phases after Project Preparation	Project Management
126	Has the configuration audit conducted as planned?	All Phases after Project Preparation	Project Management
127	Is implementation of QA activities as per defined plan?	All Phases after Project Preparation	Project Management
128	Has the completed Process Audit Checklist forwarded to TC? (10th of every month)	All Phases after Project Preparation	Project Management
129	Are the changes to Project baselines tracked?	All Phases after Project Preparation	Project Management
130	Is the backup procedure for work products implemented?	All Phases after Project Preparation	Project Management
131	Is release management implemented?	All Phases after Project Preparation	Project Management
132	Has a change order strategy determined?	All Phases after Project Preparation	Project Management
133	Has the change order procedure agreed upon with the business partners (principal, suppliers etc.), documented and implemented?	All Phases after Project Preparation	Project Management
134	Are changes to the contract (claims) identified, recorded and documented consistently?	All Phases after Project Preparation	Project Management
135	Are the changes to the contract(claims) processed correctly and asserted / defended fairly but persistently?	All Phases after Project Preparation	Project Management
136	Are major defects (from reviews and testing) analyzed and corrective and preventive actions planned and taken	All Phases after Project Preparation	Project Management
	Project Closure
	Go-Live / One month before Project Completion Date
137	Has the Acceptance Certificate & Feedback Form forwarded to customer?	During Closure	Project Management
138	Has the Go-Live Sign off received from customer (for Implementation / Upgrade Projects)?	During Closure	Project Management
139	Bills forwarded for payment as per contract terms?	During Closure	Project Management
140	Has all activities completed in the project as given in the project plan?	During Closure	Project Management
	Post Go-Live & Support / Project Completion
141	Has the Acceptance Certificate & Feedback of Project received from customer?	During Closure	Project Management
142	Has the copy of Customer Feedback forwarded to TC?	During Closure	Project Management
143	All bills settled or any invoice pending payment?	During Closure	Project Management
144	Has the project end Project Report prepared ?	During Closure	Project Management
145	Has the lessons learnt from the project documented?	During Closure	Project Management
146	Has the End PES presentation prepared?	During Closure	Project Management
147	Has the invitation for End PES forwarded to all support teams?	During Closure	Project Management
148	Has the End PES Meeting conducted as scheduled?	During Closure	Project Management
149	Has the PES decision sheet forwarded to all attended the meeting/ invited?	During Closure	Project Management
150	Has the Skills Inventory Database (Resume) of the team members updated?	During Closure	Project Management
151	All documentation uploaded in Repository (Livelink) for safe keeping of records?	During Closure	Project Management
152	Final Configuration audit is conducted for the project?	During Closure	Project Management
153	Has all Reusable& Best Practices handed over to / shared with SEPG?	During Closure	Project Management
154	Has all Hardware used in project released?	During Closure	Project Management
155	Has Software if any used in project removed?	During Closure	Project Management
156	Has the Training Materials & Records handed over to Training Coordinator?	During Closure	Project Management
157	Have all personnel in project released after completing appraisal and handing over the appraisal sheets to HR?	During Closure	Project Management
158	Has the Project documents (PP, End PES documents, Lessons Learnt) are uploaded in the QMS Portal?	During Closure	Project Management
159	Has the Project Status set to "Completed" in the QMS Portal?	During Closure	Project Management
160	Has the Risk Database updated / shared with SEPG?	During Closure	Project Management
161	Has Livelink access for the Project Team updated?	During Closure	Project Management
162	Has the completed Process Audit Checklist forwarded to TC?	During Closure	Project Management
	Engineering Activities
163	Are Gaps analysed (Implementation projects)?	BBP	Engineering
164	Are projects requirements agreed with the customer and evidence of agreement is available (sign off etc.)	BBP	Engineering
165	Is Tracebility Matrix maintained ?	All Phases after Project Preparation	Engineering
166	Is the responsibility of the requirement management/approval defined?	All Phases after Project Preparation	Engineering
167	Is there established tracking mechanism of status of the requirements at each stage (analysis, development, approval and changes in requirement) of requirement engineering	All Phases after Project Preparation	Engineering
168	Are all the agreed deliverables (e.g. BBP / Business Specification, FS, TS, Customization Document etc) produced as per the defined process? (Make sure on sample basis that the output is consistent with the input)	All Phases after Project Preparation	Engineering
169	Has the sign off on the deliverables received as defined in the projectplan?	All Phases after Project Preparation	Engineering
170	Is project using formal review methods?	All Phases after Project Preparation	Engineering
171	Are the review methods for the work products selected as per the defined procedure and are evident in the plan	All Phases after Project Preparation	Engineering
172	Is operation concepts and scenario documented	Realization	Engineering
173	Is there a coding standard defined and verified its implementation?	Realization	Engineering
174	Are documents and code reviews are performed?	Realization	Engineering
175	Are the Test activities planned (as a part of project plan or separate test plan), reviewed and approved?	Realization	Engineering
176	Is test coverage for the project defined?	Realization	Engineering
177	If test plan is developed separately, verify if Test Plan is developed using right template and all sections completely defined	Realization	Engineering
178	Is Test environment planned and reviewed with the development team	Realization	Engineering
179	Is Testing done as per plan	Realization	Engineering
180	Whether Test documents and Test code reviews are performed?	Realization	Engineering
181	Is test report for all the testing done available	Realization	Engineering
183	Is live run performed (Implementation projects)?	Go-Live & Post Go-Live Support	Engineering
184	Are the bugs recorded?	All Phases after Project Preparation	Engineering
185	Are the recorded bugs tracked to closure?	All Phases after Project Preparation	Engineering