Adaptive Processes

Adaptive Processes Consulting Pvt. Ltd.An ISO 9001:2000 Certified Company

www.AdaptiveProcesses.com

This document is the property of and proprietary to Adaptive Processes Consulting Pvt. Ltd. Contents of this document should not be disclosed to any

unauthorized person. This document may not, in whole or in part, be reduced, reproduced, stored in a retrieval system, translated, or transmitted in any

form or by any means, electronic or mechanical.

Auditors Training

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

2

Contents

• What are Audits?• Why Audit?• Who is an Auditor?• How to Audit?

– Knowledge of Auditing Principles– Knowledge of management system– Knowledge of the project / process– Audit Reporting

• Auditing : Dos and Donts

Adaptive Processes

You must undergo Introduction to Quality and Quality Management

System Training prior to attending this course

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

4

What are Audits?

• A systematic and independent examination to determine whether quality activities and related results comply with planned arrangements and whether these arrangements are implemented effectively and are suitable to achieve objectives. - ISO 8402

• A Quality Audit is a structured review of other quality management activities. The objective of quality audit is to identify lessons learned that can improve the performance of this project or of other projects within the performing organization. : PMBOK 2000

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

5

In Simple Terms….

• An audit checks whether it is possible to meet the project objectives

• An audit is a check on the health of a project

• An audit checks whether project procedures enable smooth flow of work

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

6

Why there is so much resistance to Audits?

• Seen as a fault finding exercise• Project Managers don’t feel they get any

value out of the exercise• Seen as a mere ritual for certification

purpose• Seen as Check List filling exercise• Past focused in stead of being future

focused– Focus is on What did not happen– Unable to point out current deficiencies which

could impact future

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

7

Why most audits are ineffective?

• Most auditors have a fault finding mind-set

• Unable to add value to the Project• Past focus

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

8

The Real Purpose of Audits

• Identify potential risks that the project is facing or likely to face

• Learn Best Practices from the Project• Share Best Practices from your project / your

past experience • Elicit key concerns that the PM has • See if you can help the PM in some aspect• Check process compliance to defined plan and

organizational management system

Compliance is important but not every thing about an audit!!!

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

9

How to make an Audit effective?

• Helping the PM in identifying aspects (risks, potential issues) that he / she might have missed

• Provide suggestions on issues that the PM is facing

• At least be a forum for the PM to let out his / her concerns

• Comeback and organize help for the PM• Identify possible improvement areas for the

project• How to improve the efficiency of the process

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

10

How to make an Audit effective?

• Provide due credit to positive observations also

• Include other members other than the PL/PM

• Audit aspects which are in initial phases to indicate what could be the impact rather than auditing only through the rear view mirror

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

11

Types of Audits

• First party audit– Internal audit– Implementation and Improvement

• Second party audit – By the customer / customer representatives– Contractual fulfillment

• Third party audit – By Auditing Firms like BVQI, KPMG, TUV

etc.– Implementation and Improvement– Compliance to standards requirements

Adaptive Processes

Simpler, Faster, BetterAdaptive Processes

12

Projects Success depends on…

• Customer Focus• Project Leadership• Involvement of Team• Process Approach• System Approach to Management• Continual Improvement• Factual Approach to Decision making• Mutually Beneficial Relationship

Focus of audit is to check if the project is on track to achieve success