Plan and Conduct Audits and Assessments, Lead Auditor or Lead Appraiser

Process improvement work needs an objective evaluation of the effectiveness of the work performed in the organisation.  There are a number of recognised approaches to audits and assessments (see text references).  All of the assessment processes can be used internally for process and performance improvement or as an external benchmark.  Audits and assessments can also apply to any team (both a permanent part of the organisational structure or a temporary structure such as a programme or project).   In general, the following steps are performed:

• Identify a sponsor for the audit or appraisal.
• Identify the scope of the audit or appraisal
• Identify a Lead Auditor or Appraiser
• Prepare a plan for the appraisal
• Review the stated process assets to be covered
• Sample and review various artifacts against the stated processes (off site).
• Open an onsite audit or appraisal and set the scope and identify roles and responsibilities
• Conduct Interviews to confirm the implementation (Institutionalisation) of the processes
• Identify any observations or corrective actions
• Evaluate the findings from the appraisal
• Present the findings at a closing meeting
• Publish a report and lessons learned.

• Sponsor and lead auditor or appraiser appointed
• Plan for the Appriasal agreed
• Process and Products have been evaluated and observations raised.
• Corrective actions identified where effectiveness can be improved.
• Final report presented and published.

• Template Links
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• BMGT_FRM003 Audit Report
• Internal Audit Procedure

• Other links
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Audits and Assessments

• ISO 9001:2015
• TickIT Sector Scheme for ISO 9001:2015
• The Standard CMMI(R) Apprisal Method for Process Improvement (SCAMPI(SM)) from the Software Engineering Institute
• Investors in People(r)
• ISO 15504
• P-CAM - Continuous Appraisal Method (SCAMPI(SM) B/C)  from Process Enhancement Partners.