ABC

INTERNAL QUALITY AUDIT PROCEDURE

Version : 2.0

Date : 25-Apr-12

Revision History

Versio Date Brief Reasons for Author Reviewer Approved

n No this version By
2.0 25-Apr-12 Procedure modified for Simoni Stephain Stephain
quality models,
selection of auditors
and new logo added
 ABC company

Internal Quality Audit Procedure V-2.0

Table of Contents

1. Purpose 3
2. Scope 3
3. Responsibility 3
4. Reference / Related documents 3
5. Entry Criteria 3
6. Inputs 3
7. Process Description 4
7.1 Audit Planning 4
7.2 Audit Preparation, Conducting & Reporting 4
7.3 Audit Summary and Analysis 4
8. Exit Criteria 4
9. Outputs 5
10. Tailoring Guidelines 5

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 ABC company

Internal Quality Audit Procedure V-2.0

1. Purpose

This procedure provides guidance for planning and implementation of Internal Quality
Audits at ABC. These audits are expected to cover processes and relevant work-
products.

2. Scope

IQA covers projects, services and support functions and based on CMMI-DEV and CMMI-
SVC.

3. Responsibility

 SEPG Manager for planning

 Auditors for implementation
 CEO for overall review & approval

4. Reference / Related documents

 Project Planning Procedure

 Project Tracking Procedure
 Training Procedure

5. Entry Criteria

 List of on-going projects

 Feedback from management

6. Inputs

 List of on-going projects

 Feedback from management
 Previous audit findings
 IQA Rolling Plan

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 ABC company

Internal Quality Audit Procedure V-2.0

7. Process Description
7.1 Audit Planning

 SEPG maintains the list of the Auditors based on the agreed criteria with the
management.
 The criteria for selection of Auditors include parameters, where person has
 Undergone the required model ( CMMI-DEV, CMMI-SVC) training in this /
other org
 Earlier experience as auditor in this / other org
 Exposure to the kind of projects / services in this org
 SEPG team plans for audits for the projects, services and support functions
 The frequency of audits will be not more than 3 months for support functions
like SEPG, Training, & Senior Management etc.
 Further, the feedback from the customers, management and engagement
type will also be considered for selection of projects for the audit
 SEPG informs audit schedule to the auditee teams for their preparation.

7.2 Audit Preparation, Conducting & Reporting

 The Auditor will prepare for the audit by gathering any previous audit findings
and status
 The deliverables planned in the project and sprint plans
 Based on above, the auditor conducts audit by reviewing, perusing required
documents, interviewing auditee members
 The session will also be used to identify the process strengths as well.
 Non-conformities observed if any will be upfront informed to auditees, to plan
for required and acceptable resolution
 The non-conformities (NC) are categorized and allowed following time-lines
for resolution
 Major NC is given max 15 working days
 Medium NC is given max 10 working days
 The NCs are entered into the IQA NCR Tracker mentioning the details and
follow-up

7.3 Audit Summary and Analysis

 Audit findings are tracked regularly to closure or escalated to CEO upon the
delay in closure of findings as per agreed dates.
 For every audit cycle, the findings are analyzed for type of non-conformities,
Process Areas of non-conformities, duration (min, max, average) taken for
closure
 The audit data is also analyzed to get the areas of NCs over recent audit
cycles

8. Exit Criteria
Audits conducted and findings provided

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 ABC company

Internal Quality Audit Procedure V-2.0

9. Outputs
Internal Audit Rolling Plan
Audit Schedule
NCs Summary & Tracker
NCs Analysis ( covered as Metrics Performance Report )

10. Tailoring Guidelines

Due to business exigencies / constraints, few units / projects may not be audited as
planned but will get covered at least once a year

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