Audits

Audits are a planned, independent, and documented assessment that can be used to determine whether:

• agreed-upon requirements are being met
• procedures are being followed
• procedures are as effective as they could be
• claims made as part of a business acquisition are true

Compliance Audits

A compliance audit is designed to determine whether or not specific activities have been performed according to documented procedures (SOPs). In a compliance audit, the "rules" (SOPs) are not questioned. The objective is to determine compliance with the rules and the outcome is usually binary - passed or failed.

Compliance audits are most often performed on behalf of Management and frequently are structured as a third party audit - meaning someone outside the organization is called in for this task.

Compliance audits are typically performed for those companies in regulated industries.

Quality and Process Audits

A Quality Audit focuses on identifying the underlying cause of software quality problems. A Process Audit focuses on determining if the current process (written or not) is as effective as it could be. There are obvious benefits in having a third party perform Quality/Process Audit. First and foremost, a third party can provide an objective technical assessment of a company's software development process without any hidden agendas or organizational issues. A third party brings a fresh perspective to the table that's unbiased and unburdened by the outcome. Process Audits can be very effective in identifying software development and/or testing practices that may not be as effective as they could be. Again, having a third party perform this type of audit can be more effective than using internal auditors because the third party has no personal stake in the outcome.

Due Diligence Audits

Due Diligence is the intense examination of a target business for a merger or acquisition by a prospective buyer and it can be described as fact-finding to assist in determining whether to buy the business at all, how much to pay for the business and how to structure the acquisition. The principal purpose of Due Diligence is to verify assertions made by the Seller and to identify caveats that may not have been disclosed to the Buyer. It is a reasonable investigation about the state of affairs of the business to be acquired, focusing on matters which may have an effect on the future of the business.

More specfically, a due diligence audit is performed to help a buyer understand details of the development process, degree of regulatory compliance, etc. of a target company. Due diligence audits are often performed in conjunction with the legal staff of the acquiring company.

The Audit Report prepared as a result of a Due Diligence Audit is extremely critical as it often impacts the business decision of the acquiring company.

Planning for an Audit...

Each audit begins with an Audit Plan that identifies what, when, where, and who. The Audit Plan is reviewed and approved prior to the audit. Members of the client's staff are encouraged to participate on the Audit Team. Once the audit is completed, an Audit Report is prepared, and if requested, a detailed "gap analysis" is provided.

Let my experience in software engineering, training, facilitating and auditing, help you plan for and conduct a cost-effective audit. I have developed an audit process that can minimize disruption while providing the most meaningful results. This approach provides the best return on investment.

Project Retrospectives

A Project Retrospective is a tool used to examine what occurred on a project in order to extract wisdom. Norman Kerth likens a retrospective to an archeological expedition. Unlike post- mortems, which tend to devolve into gripe sessions, a retrospective is a much more useful and productive experience.

Using Kerth's book as a reference, I help plan and facilitate an effective and productive project retrospective. I supplement Kerth's techniques with my own experiences in facilitating post-mortems and retrospectives. Some examples of topics covered are:

• What is Wisdom
• Business Motivation
• Initial Set of Ground Rules
• Creating Safety
• Defining Success
• Project Facts and Artifacts
• Project Timeline
• Closing Thoughts and Observations

A Retrospective Assessment Report is also prepared that includes the information raised and discussed during the retrospective along with specific recommendations for action.

Let my experience in software engineering, training, andfacilitating help you plan for and conduct an effective retrospective.