Plan For Audit

(Activity) for Tier: Governance

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PURPOSE

The goal of this activity is to perform the planning necessary to execute an audit cycle. Prior to initiating a given audit cycle, stakeholders will need to define an audit plan. This plan will need to include the timeframe of the audit cycle, what processes and/or work products will be audited, which project teams or organizational units will be audited, and a schedule of auditing Events. Once defined, the plan will need to be reviewed with primary stakeholders to gain concurrence and support.

WHEN

Continuous.

PARTICIPATING ROLES

INPUTS

  • ISI Quality Assurance Plan
  • Audit Results

ENTRY CRITERIA

  • The ISI Quality Assurance Plan is available for reference.

SUB-ACTIVITIES

  1. Call Planning Meeting

    • The facilitator will schedule a meeting with appropriate stakeholders
    • Reference the ISI Quality Assurance Plan to determine the method of recording meeting minutes
    • Kick off the meeting by recording attendance

  2. Determine Activities and/or Work Products for Audit

    • When selecting a list of activities and/or work products to be audited, consider the following:

      • Organizational needs
      • Project request
      • Business Unit or individual Project Audit trend results over time
      • Recently deployed process

  3. Prepare Audit Criteria

    • Review the Audit WBS for the activities and/or work products selected for audit to determine if the audit criteria has been baselined and no process changes have occurred since the baseline was established.

    • If audit criteria has been baselined, simply review the material to ensure your understanding of the criteria.

    • If the audit criteria has not been baselined:

      • If a previous audit criteria is available, review the criteria and note any improvements to make the audit more effective.
      • Meet with the other members of the audit team to review all proposed changes, and come to consensus on the audit criteria for each of the processes and/or work products that will be audited.
      • Select ‘Baselined = Yes’ on the activity requirement to baseline newly agreed upon audit criteria.

  4. Prepare Project for Audit

    • Identify the auditor responsible for executing the audit.
    • Create audit tasking for activities to be audited.
    • Link audit tasking as a child to the activities functional requirement.
    • Set iteration and area path according to audit iteration and project being audited in the audit task.
    • Notify project team of planned audits.

OUTPUTS

  • Audit criteria
  • Audit tasking
  • Meeting minutes

EXIT CRITERIA

  • Audit planning meeting has been conducted, meeting minutes captured and Audit tasking has been created and assigned for execution

SEE ALSO

  • ISI Quality Assurance Plan

Process Guidance Version: 10.4