Process compliance audits
Submitted by upaliwaghmare on August 9, 2007 - 2:12pm.
Is there any best practice for conducting process compliance audits , do checklists etc. help in actually conducting a process compliance audit ????
any suggestions .. Please come forward and tell me
Thnx in advance :)
For conducting process compliance audit you can make a checklist. This checklist will contains the questions related to diffrent processes which you have defined in your process.Assign weightage to each process.
Sample of checklist for planning phase:-
Is Formal Project Initiation meeting conducted with all team members and relevant stakeholders?
Is MOM (Minutes of Meeting) of Project Initiation meeting shared with all team members and relevant stakeholders?
Is Resource request raised for manpower resources?
Is Resource request raised for H/W and S/W resources?
Is project training requirement communicated to UHGIS L&D department?
Is communication sent to Competency and Solution groups for specific services needed in the project?
Is estimation/ re-estimation done & documented based on original requirements, OOM and all available details?
Are assumptions and risks related to estimation identified and documented?
Is definition of project and sub-project (if applicable) defined and documented for the project?
Is project Management plan is defined?
Is PMP is approved by all stake holders?
Is PMP a defined and managed document?
Is PMP checklist is used for reviewing PMP?
Is scope /Out of scope defined clearly?
Is acceptance criteria is defined.
Is Resource Management Plan is defined and approved?
...............Many other question related to your processes
Is trainin
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Submitted by ANSHIKA on April 17, 2008 - 8:54am.Yes. Checklist helps in conducting the process compliance audits. I also suggest that along with the questions, an option to provide links to the documents/records is provided. This helps the auditors to go through those documents/records and check for the completeness.
I feel that the checklist should be answered by the auditees before the audit (Helps auditee to be made aware of the process compliance requirements). The auditor should go through these questions prior to audit and ask only few important questions to the auditee. This reduces the audit time
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Submitted by shavira9 on May 12, 2008 - 12:42pm.