Adaptive Processes

Auditors Training

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.
Contents
Adaptive Processes

• 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
Simpler, Faster, Better 2
Adaptive Processes
 Adaptive Processes

You must undergo Introduction to Quality

and Quality Management System Training
prior to attending this course
What are Audits?
Adaptive Processes

• 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

Simpler, Faster, Better 4

Adaptive Processes
In Simple Terms….
Adaptive Processes

• 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

Simpler, Faster, Better 5

Adaptive Processes
Why there is so much resistance to
Audits? Adaptive Processes

• 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

Simpler, Faster, Better 6

Adaptive Processes
Why most audits are ineffective?
Adaptive Processes

• Most auditors have a fault finding mind-set

• Unable to add value to the Project
• Past focus

Simpler, Faster, Better 7

Adaptive Processes
The Real Purpose of Audits
Adaptive Processes

• 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!!!

Simpler, Faster, Better 8

Adaptive Processes
How to make an Audit effective?
Adaptive Processes

• 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

Simpler, Faster, Better 9

Adaptive Processes
How to make an Audit effective?
Adaptive Processes

• 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

Simpler, Faster, Better 10

Adaptive Processes
Types of Audits
Adaptive Processes

• 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

Simpler, Faster, Better 11

Adaptive Processes
Projects Success depends on…
Adaptive Processes

• 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

Simpler, Faster, Better 12

Adaptive Processes