Quality Management_300_Quality Proccess Audit Procedure

Transcription

1 Quality Management_300_Quality Prccess Audit Prcedure Last Updated: 05/17/2017 Audience: CWDS Service Teams, PMO Frequency: As needed After reading this prcedure, the audience will be able t understand the prcedure fr preaudit, audit and cntinuus imprvement activities assciated with Prcess Audits. A Prcess Audit is a systematic investigatin f a specific prcess r prcedural area. Quality Prcess Audits are used as an apprach t determine whether prject activities cmply with the prject s quality plicies, prcesses, and/r prcedure and whether the appreciate cntrls are being applied. Overview: A Quality Prcess Audit is a systematic investigatin f a specific prcess r prcedural area. Quality Prcess Audits are used as an apprach t determine whether prject activities cmply with the prject s quality plicies, prcesses, and/r prcedure and whether the appreciate cntrls are being applied. The Quality Prcess Audit helps t ensure that the prject is executing the day-t-day prcesses in accrdance t the apprved plans and apprach. As with the Prduct Review, a Prcess Audit is an effective quality imprvement tl t enhance the cnsistency f the prcess and the verall quality f the prduct. Fr the purpses f Quality Assurance, a prcess is defined as: Prject management prcesses that are executed by prject staff (e.g. risk and issue prcess, change cntrl prcess, schedule management prcess). System Develpment prcesses that are executed by the digital service teams (e.g. cnfiguratin management prcess, requirements develpment and management prcess, sprint planning prcess, sprint executin prcess, training executin). Tls used by Prject staff (e.g. SharePint, Pivtal Tracker, Prject website). Prcess Audit Wrkflw: The wrkflw defined belw depicts the prcess audit steps necessary t ensure that the prject is executing the day-t-day prcesses in accrdance t the apprved plans and apprach. The wrkflw is divided int pre-audit prcesses, audit prcesses, and cntinuus imprvement prcesses as described belw: Quality Management_300_Quality Prcess Audit Prcedure Page 1

2 The Pre-Audit Prcess Establish the purpse and scpe f the audit Establish the audit criteria Obtain infrmatin required fr planning Develp the Audit Checklist Observe the Executin f theprcess Cmpare executin t Plan Are there nncnfrmance issues? N End The Audit Prcess Yes On-Ging Examine trends ver time and identify prcess imprvements Cmplete Prcess Audit Frm and nte areas f nncnfrmance Cntinuus Imprvement Prcess The Pre-Review Audit: Prcedure Steps The fllwing table lists the prcedural steps fr executing the tasks necessary in the pre-audit phase f a Prcess Audit: Step Descriptin 1. Establish the purpse and scpe f the Prcess Audit in cmpliance with defined intervals. Cmplete sectin 1 f the Prcess Audit Frm and get apprval frm the PMO Prject manager befre prceeding with the Audit. 2. Establish the audit criteria fr cnfrmance, affectivity and efficiency: Quality Standards Quality Criteria Quality Acceptance 3. Obtain infrmatin required fr planning the prcess audit, including but nt limited t: Quality Management Plan and/r Quality Metrics Plan Dcument Management Plan (internal dcuments) Deliverable Management Plan (external deliverables and wrk prducts) PMBOK, CA-PMF, IEEE r ITIL reference material Statement f Wrk fr develpment team r cnsultant vendr 4. Assess Prcess against the Prcess Audit Checklist: Defined standards t measure against Defined reference material t be used in the assessment Defined checklist f items t be included Quality Management_300_Quality Prcess Audit Prcedure Page 2

3 Step Descriptin 5. Fill ut sectin 3 and prvide link t Quality Checklist and Cmment Lg (if any). The Audit Prcess: Prceudre Steps The fllwing table lists the prcedural steps fr executing the tasks necessary in the audit phase f a Prcess Audit. Step Descriptin 1. The main task f Quality Prcess Audit is t judge hw effective the CWS-NS quality management prgram is at identifying and reducing prcess mistakes and t prvide guidance fr imprving quality assurance effrts. Quality Prcess Audits fcus n Cmpliance, Efficiency and Effectiveness criteria: Cmpliance Efficiency Effectiveness After bserving executin f prcess, is it in cmpliance with the dcumented Plan? Is it in cmpliance with the prject r Plan standards (OSI, PMBOK, IEEE, ITIL, etc.? If it is ut f cmpliance, shuld the prcess be amended r shuld the Plan be amended? Verify that prcesses and prcedures are develped, cmmunicated, implemented, mnitred, and cmplete. Can we perfrm this task r activity in a smarter manner? Have we eliminated all duplicative tasks r manual effrts, where apprpriate? What is psitive abut the current prcess? Alternatively, what prcess areas need imprvement? Culd we perfrm this task differently? Is this prcess still needed? Are best practices and metrics emplyed t identify issues, prgress, perfrmance, etc.? D we knw what ur custmer s expectatins are regarding this prcess? Are we meeting ur custmer s expectatins cnsistently? Are we psitined t meet ur custmer s future needs? 2. Plan n cnducting Prcess Audits as per the prject schedule: Type f Audit Interval Cnducted By PM Prcesses (each f the main knwledge areas f PMI): Schedule Management Risk & Issue Management Requirements Management Change Management Cnfiguratin Management Gvernance Every 6 mnths Quality Assurance Manager, Schedule Manager and Risk Manager Quality Management_300_Quality Prcess Audit Prcedure Page 3

4 Step Descriptin Cmmunicatin Management Scpe Management Cntract Management Prcurement Management Dcument Management Testing Every PI/Release Quality Assurance Manager, Develpment Team, Develpment Sprint Planning Every PI/Release Quality Assurance Manager, Develpment Team, Develpment Sprint Reviews Every PI/Release Quality Assurance Manager, Develpment Team, Develpment Release Planning Every PI/Release Quality Assurance Manager, Develpment Team, Develpment Implementatin Every PI/Release Quality Assurance Manager, Develpment Team, Develpment 3. Observe the executin f the prcess. This can ccur in many different frums, including but nt limited t: Attend Meetings where the prcess is executed and bserved Review perfrmance r status reprts where the results f the prcess are dcumented Interview SMEs that are end-users f the prcess r recipients f the prcess utcme 4. Cmpare executin ff the prcess t the apprved Plan by reviewing detailed steps within the Plan and aligning the steps with the prcess executin that was bserved: Internal Prcess cmpare executin f prcess against internal apprved dcument. External Prcess cmpare executin f prcess against cntract SOW fr system integratr and apprved Plan and DED. 5. Identify areas f nn-cnfrmance in sectin 2. Designate the areas by stplight status: Green Satisfactry N crrective actin necessary. Risks/Issues may exist and cntain apprpriate mitigatin r reslutin steps and the prject is addressing them.n impact t prject schedule, budget r quality. The current risk t the verall prject and quality is lw. Yellw Cautin There may be a need fr crrective actin nw r quite sn. Risks/ Issues ften are nt identified r cntain stale mitigatin r reslutin steps. Mderate impact t schedule, budget r quality. The current risk t the verall prject and quality is Mderate. Red - Critical - Escalated fr immediate crrective actin. Risk mitigatin is nt effective r issue reslutin is nt timely. Critical prcesses are nt Quality Management_300_Quality Prcess Audit Prcedure Page 4

5 Step Descriptin effective and are resulting in delays r rewrk. Significant impact f 10% r mre t schedule r budget. There is a significant risk t the prject. Blue - Nt enugh data is available t decide abut prject health. The Cntinuus Imprivement Prcess: Prcedure Steps The fllwing table lists the prcedural steps fr executing the tasks necessary in the cntinuus imprvement phase f a Prduct Review: Step Descriptin 1. After Audit 1 is cmplete, cmpare the results f Audit 1+ t the baseline t determine if any trends exit. Lk fr cntinued majr and minr areas f nncnfrmance and determine f underlying prcesses and prcedures frm ancillary practices need t be mdified as a result. 2. On-Ging Observe Executin f the Prcess. 3. Make recmmendatins fr prcess imprvement r crrective actin and add stries t the apprpriate prduct backlg. Sample Prcess Audit Template: A template has been created and is available fr use as a Quality Prcess Audit Frm. Quality Management_300_Quality Prcess Audit Prcedure Page 5

6 Sectin 1 - Intrductin Type f Prcess Audit State Prcess Digital Service Team Date f Assessment Name f Prcess Name f Dcument that Gverns the Prcess Audit Cnducted By Prcess Other Prcess Prcess r Technical Area Impacted Prject Management Prcess Area: Technical Oversight: Agile Prcess: Sectin 2 Prcess Audit Results Dcumentatin Reviewed r Prcesses Observed Prcess Audit Criteria Stplight Status Cmments Cmpliance t Apprved Plans/Standards Efficiency f Prcess Effectiveness f Prcess Overall Quality Recmmendatin fr Acceptance Sectin 3 - Links Quality Checklist Link Prcess as Executed is Acceptable (n changes required) Prcess as Executed Requires Prcess Imprvements (revisins required fr all Yellw Stplights) Must be addressed Immediately Must be addressed in next sprint Prcess as Executed is Unacceptable (significant changes/rewrite are required fr all Red stplights) Other Dcument Links Quality Management_300_Quality Prcess Audit Prcedure Page 6