Review Audit Results

(Activity) for Tier: Governance

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PURPOSE

Reviewing audit results is an ongoing collaborative effort to ensure consistency with audit approach, findings and appropriate use of compliance codes. This activity will ensure any mistakes or inconsistencies which were potentially overlooked during the initial audit are discovered. Regularly reviewing audit results will increase the quality of how we objectively evaluate project execution of organizational processes as well as allow for trending discussions across projects.

WHEN

Twice a week or as needed

PARTICIPATING ROLES

ENTRY CRITERIA

  • Audit tasking has been executed, compliance codes captured and ready for team review.

SUB-ACTIVITIES

  1. Prepare for Audit Review

    • Process Engineer will schedule a series of meetings (minimum twice a week) and include all appropriate stakeholders.
    • Create a Review work item
    • Capture the number of work items to be reviewed
    • Capture reviewees
    • Capture the start time of the review

  2. Review Audit Results

    • Review the results of the audit with the Process Group.

    • Focus on consistency in auditing and appropriate use of compliance codes and corrective actions.

    • Record team review results within the review work item. The team must come to consensus on all changes necessary prior to accepting the compliance code. Once consensus has been achieved assign one of the following standard organizational criteria:

      • As is - No changes necessary, compliance code stays.
      • Minor changes - Small/simple changes are necessary, compliance code stays.
      • Major changes - Major/many changes are necessary, compliance code is changed

    • Make necessary changes to the Task work item State based on the audit review and finalize the audit results.

    • Record completed work and remaining work hours in the corresponding audit task and keep state resolved if a noncompliance is needed, set to closed if a noncompliance is not needed.

    • Capture the end time of review within the review work item.

  3. Create and assign Noncompliance Work Item(s)

    • Based on execution gap(s), generate noncompliance work item(s).
    • Within the noncompliance work item description field, record the proposed corrective action(s).
    • Link the noncompliance work item as a child to the relevant audit task.
    • Assign the noncompliance work item(s) to the Development Manager and set the state to active.
    • Create a new noncompliance work item for recurring execution gap(s).

  4. Create Improvement Proposal

    • Create a User Story for the ASG Backlog When:

      • Audit tasking cannot be executed due to ambiguous or confusing language within the activity.
      • Audit results (trending) across projects indicate a new best practice.

EXIT CRITERIA

  • Review work item metadata has been captured.
  • Audit results have been reviewed to ensure consistency with audit execution and use of compliance codes.

SEE ALSO

Process Guidance Version: 10.4