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Project Audit Execution Process

Objectives

Objectives of audit execution are to:

  1. Perform the audit activities according to the Internal Quality Audit plan
  2. Find out non-conformance issues
  3. Report the identified non-conformances and audit findings

Process Entry/Exit Criteria

Entry Criteria Exit Criteria
  • An audit is planned and communicated
  • Auditees are notified about audit commencement
  • Internal Quality Audit Checklist is prepared
  • All performed processes and associated work products are evaluated against audit criteria
  • Audit results are compiled, documented and properly communicated

Process Inputs/Outputs

Inputs Outputs
  • Organizational/Project Internal Quality Audit Plan
  • Internal Quality Audit Checklist
  • Executed/Filled Internal Quality Audit Checklist
  • Audit Summary Report
  • Corrective and Preventive Action Request(s)

Tasks

  1. Lead auditor and audit team conduct the opening meeting with the key team members of Auditees.
  2. Lead auditor distributes the audit activities among the audit team according to audit plan as required.
  3. Audit Team conducts the audit by evaluating performed processes/activities and associated work products against audit criteria according to Internal Quality Audit checklist
  4. Audit Team records the audit findings in the Internal Quality Audit checklist.
  5. After completion of evaluation and verification, audit team conducts the Auditors meeting to discuss and consolidate audit findings.
  6. During the auditors meeting, audit team categorizes the findings in major or minor non-conformances and observations.
  7. Audit Team conducts an audit closing meeting with Auditees to discuss consolidated audit results and get their agreement on all non-conformance issues.
  8. Audit Team prepares an audit summary report to document audit observations and summary of all non-conformances using Audit Summary Report Template.
  9. Audit Team document each agreed upon major and minor nonconformance, as well as an observation, requires action using Corrective and Preventive Action Request Template
  10. Lead Auditor communicates the Corrective and Preventive Action Request(s) and Audit Summary Report to Auditees
  11. Lead Auditor sends Audit Summary Report to relevant stakeholders and concerned roles in the upper management hierarchy.

For Organization Level Audits relevant stakeholders may include:

    • Chief Executive Officer
    • Process Engineering Lead
    • Software Engineering Process Group Lead
    • Operation Manager/Quality Assurance Manager/Development Manager (depending on that audited dept. comes under which Manager’s hierarchy)

For Project Level Audits relevant stakeholders may include:

    • Chief Executive Officer
    • Development Manager
    • Quality Assurance Manager
    • Process Engineering Lead
    • Software Engineering Process Group Lead

Guidelines for Audit Execution

Following are the guidelines for the core audit activities during audit execution:

  1. Opening Meeting: 
    Lead auditor conducts the Opening Meeting in which:

    • Audit team and auditee should be introduced
    • The scope of the audit may be reviewed
    • The audit team may describe the audit process, clarify any administrative matters and solicit the auditee’s input
    • Logistic and the time for the closing meeting may be determined
  2. Actual Audit:
    • Audit Team may conduct the interviews of auditee(s)
    • Audit Team should observe that the performed process is tailored from the standard process according to the guidelines and work products are produced as planned
    • The audit team should check the records/evidence of work activities
    • The audit team should record the audit findings on the audit checklist
  3. Audit Team Meeting:
    • Audit Team should sit together to discuss and agree on the audit findings
    • The audit team should examine audit findings and categorize in major, minor and observations
    • A draft Audit Summary Report may be prepared at this stage to present audit results in the closing meeting which can be updated after closing meeting as required.
  4. Closing Meeting:
    • Audit Team should appreciate auditee for help and coordination
    • Audit Team should invite the auditee to ask questions for clarification
    • Any outstanding diverging opinion between the audit team and the auditee should be discussed and resolved by logical arguments.