Conduct Activity Audit Session¶

(Activity) for Tier: Governance

PURPOSE¶

Audits verify that organizational units are performing in accordance with the organizations defined standard processes.

The audit is performed by an independent auditor who is not a member or part of the organizational unit. The purpose of an audit is to objectively assess the organizational unit’s execution of the company standards and procedures. It should be informative to the individuals involved and used to improve the overall quality of the organization’s processes and work products. Audits are excellent sources of improvement suggestions, since the details of processes are observed and scrutinized.

Audit compliance codes are used to annotate a project’s level of execution for a given activity. There are three compliance codes. The definition of each code is as follows.

Compliant is when an activity is performed properly in accordance with the organizational standard process.

Compliant with Concern is when an activity has been performed but a minor deviation from the organizational standard process has occurred, such as improper field usage or small noncompliance trend noted within the activity sample group.

Not Compliant is when an activity has not been performed in accordance with the organizational standard process.

WHEN¶

Continuously throughout an audit iteration

PARTICIPATING ROLES¶

ACCOUNTABLE
- Process Engineer
RESPONSIBLE
- Process Engineer

INPUTS¶

Audit tasking
Audit criteria

ENTRY CRITERIA¶

Audit Criteria has been baselined, audit scope has been established and audit tasking has been created

SUB-ACTIVITIES¶

Execute Audit Tasking
- Audit Process Execution and Document audit findings within the corresponding audit task
  Tag the audit task with a corresponding compliance code
  
  Document corrective actions(s) to address compliance issues
  
  Set the audit task state to Resolved
- Audit Work Product(s) when indicated in the audit task
  Check for compliance of the work product against the latest activity guidance content
  
  Check for completeness within each section of the work product as per activity guidance content
  
  Check conformance with data management requirements established in the Configuration Management Plan and project procedures
  
  During the audit process, communicate with the project team on their current audit status and allow them to provide evidence as needed
- Record completed work and remaining work hours in the corresponding audit task and set state to resolved.

OUTPUTS¶

Audit Results

EXIT CRITERIA¶

Audit tasking has been resolved, corrective action(s) and compliance codes captured.

NEXT ACTIVITY¶

Review Audit Results