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Agile AuditingCALEB BLANDING AND MITCH CHILDOCTOBER 1, 2019

Agenda Introductions YRC Worldwide and Agile Audit Agile Defined Agile and Scrum Concepts and Framework Agile in Practice Key Learnings Q&A2

YRC Worldwide and Agile Audit Holding company with four less than truckload “LTL” operating companiesand a freight brokerage company, HNRY Logistics Each operating company has similar facility audit programs Some audit areas were being missed consistently across the network YRCW IA sought out to find fresh way to address recurring themes “Agile approach” Iterative Collaborative Root Cause and Solutions Oriented3

What does it mean to be agile? Webster's online definition of agile: Marked by ready ability to move with quick easy grace Having a quick resourceful and adaptable character Wikipedia definition of agile software development:An approach to software development under which requirements and solutions evolvethrough the collaborative effort of self-organizing and cross-functional teams and theircustomer(s)/end user(s). It advocates adaptive planning, evolutionary development, earlydelivery, and continual improvement, and it encourages rapid and flexible response tochange. Association for Project Management’s definition of agile project management:An iterative and incremental approach to delivering requirements throughout the projectlife cycle. At the core, agile projects should exhibit central values and behaviours of trust,flexibility, empowerment and collaboration. Other mentions of agile:A set of guiding principles, a mindset, a revolution, a fad4

The Need for Frequent, Effective Communication and CollaborationHow thecustomerexplained it.How theproject leaderunderstood it.How theanalystdesigned it.How theprogrammerwrote it.What thecustomerreally wanted.5

agile / Agile in Internal Auditagile (little “a”)Making the IA process better by reducing inefficiencies inorder to be more “agile” with the goal of addressingdynamic risk landscapes in a nimble way Agile (big “A”)Process improvement methodsRationalization of documentationFlexible and nimble audit plan and risk assessmentAn innovative IA approach that transforms the IA processusing Agile software development values, principles,frameworks, and methods with the goal of addressingdynamic risk landscapes in a nimble and collaborative way Common frameworks Scrum, KanbanIterative and incremental planning and reportingTrusted, empowered, and self-organizing audit teamsMindset shift6

What does it mean to be agile? Who uses agile / Agile? IBM, Microsoft, Cisco, AT&T, Fidelity, Walmart Why? Rapid adaptation to change - the current pace of tech innovation (or more broadly,business) can change an industry quickly, or even revolutionize it Increased collaboration and creativity Removal of Silos Increased speed to market Frequent checkpoints to ensure value is providedSource: ovementd4095d410a617

Agile and Scrum Difference between waterfall, agile and scrum Waterfall Model methodology which is also known as Liner Sequential Life Cycle Model. TheWaterfall Model follows in sequential order, so the model develops systematically from onephase to the next in a downward trajectory. Agile describes a set of guiding principles that uses iterative approach for softwaredevelopment Agile is a practice that helps continuous iteration of development and testing in thesoftware development process. In this model, development and testing activities areconcurrent, unlike the Waterfall model. This mindset allows more communication betweencustomers, developers, managers, and testers. Scrum is a frame work of specific set of rules that are to be followed while practicing Agile withrigid timeboxes and specified ceremonies8

Brief history of Scrum and Agile History of Scrum In 1986 Japanese business experts Hirotaka Takeuchi and Ikujiro Nonaka published thearticle, “New New Product Development Game” noting scrum as a new approach tocommercial product development Result was a framework that focuses on what needs to be done, not how to do it 3 pillars were identified: Transparency - visibility to aspects of process responsible for the outcome Inspection - frequent checks on process to detect undesirable variance Adaptation - adjusting to process as timely as possible History of Agile In 2001, 17 people in the programming world got together in the Wasatch Mountains in Utah In attendance were Agile pioneers Alistair Cockburn and Ken Schwaber Results were the Agile Manifesto and changes in the way of thinking.9

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Twelve Principles of Agile Software DevelopmentGuiding principles that affect the thoughts and actions of how work is performed:1) Our highest priority is to satisfy the customer through early and continuous delivery of valuablesoftware.2) Welcome changing requirements, even late in development. Agile processes harness change forthe customer's competitive advantage.3) Deliver working software frequently, from a couple of weeks to a couple of months, with apreference to the shorter timescale.4) Business people and developers must work together daily throughout the project.5) Build projects around motivated individuals. Give them the environment and support they needand trust them to get the job done.6) The most efficient and effective method of conveying information to and within a developmentteam is face-to-face conversation.7) Working software is the primary measure of progress.8) Agile processes promote sustainable development. The sponsors, developers, and users shouldbe able to maintain a constant pace indefinitely.9) Continuous attention to technical excellence and good design enhances agility.10) Simplicity--the art of maximizing the amount of work not done--is essential.11) The best architectures, requirements, and designs emerge from self-organizing teams.12) At regular intervals, the team reflects on how to become more effective, then tunes and adjustsits behavior accordingly.12

Audit: Traditional/Waterfall vs Agile AuditScoping andPre-AuditSurveyDoCheckSprint 1PlanDemoPlanningDoCheckPlanImproveSprint 2FieldworkDemoPlanImproveAnalysis andTestsDoSprint 3CheckDemoReportingProjectReportDemoImprove Larger scale project planning and execution Smaller increments of work Compile results and report at the end Show the customer and get feedback Adhere to the established process Work on improving your process13

Attributes of ScrumSprint Work-cycles (Time-boxes) Consistent duration (2- to 4-weekwork-cycles) New sprint immediately follows thepreceding sprint Sprint start date andend date are fixedArtifacts Project CanvasBacklogSprint backlogRelease plan / road mapCeremonies Daily stand-upSprint planningBacklog refinementSprint reviewSprint retrospectiveRoles Product Owner Scrum Team Scrum Master14

Terminology and Tools Epic – Concludable Area Point of View – Opinion User Story – a tool used to capture a description of a desired feature from anindividual’s perspective. A user story describes the type of user, what theywant and why.As an auditor , I want to perform a RACI analysis , so that I have anunderstanding of who is responsible, accountable, consulted and informed aboutrelevant processes . Acceptance Criteria – specific conditions under which a user story is fulfilledWhen I am done, I willhave documented a complete RACI matrix for the process. Developing acceptance criteria to define done is critical to success. Especially since teams are designed to be cross-functional, we have toacknowledge that “done” does not look the same way to everyone. Quick exercise - take 30 seconds and think about how you know yourlaundry is done.15

Terminology and Tools Project Backlog – collection of user stories and their associated story points,dependencies (if applicable), sprints, etc. Sprint Backlog – the portion of the project backlog that has been incorporatedinto a current sprint.STORY # SPRINT #EPICUSER STORY1As a , I want to , so that .2As a , I want to , so that .DEPENDENCIES Planning Poker – technique forestimating story points (the effortor relative size of a user story).STORY BACKLOG AUDITOR(S)ACCEPTANCE CRITERIAPOINTS STATUS ASSIGNED (WE WILL KNOW WE ARE DONE WHEN )TASKSWORK PERFORMED Kanban Board – visualization tool thattypically uses sticky notes on a whiteboard tocommunicate workflow status and progress.16

Scrum OverviewSprint Review and DemoDaily StandupElaboration / DiscoveryInputs from CAE,Executive team,Stakeholders,Customers, UsersAudit Product OwnerAudit Scrum MasterAudit Product OwnerIdentify concludableareas and confirmstakeholder buy-inAudit ScrumMasterAudit Scrum team What I didyesterday What I’mdoing today What are myimpediments?Audit ScrumteamAudit ProductOwner Review completed storiesDiscuss points of viewGather feedbackUpdate backlogProject Backlog DemoKey StakeholdersBurndown chartAudit project canvasAudit ProductOwner Define project epics Identify features Risk assessment at theepic level Prioritize epics Build the roadmap Prioritize featuresSprint PlanningAudit ScrumMasterAudit Scrumteam Sprint Goals /Objectives Define / Clarify Risks / Controls Plan / ProceduresStoryRoadmap /Release planAudit ProductOwnerProjectbacklogProjectroadmapPoint of view(EPIC)Sprint backlogDailyStandup2-WeekSprintProjectReportSprint RetrospectiveAudit ScrumMasterActionable (Internal)Process EnhancementsAudit ScrumTeam What I likedWhat I learnedWhat was lackingWhat I long forImprovements17

Key Learnings – Agile and Scrum in Internal Audit Socialization and buy-in is key – senior management, audit clients and the scrumteam Benefits of Internal Audit Scrum Master Training Agile is not one-size-fits-all – variations will occur Company to company Audit client to audit client Audit to audit Scrum team to scrum team Pilot project for adapting to the framework Benefits require timeGet Comfortable Being Uncomfortable18

Key Learnings – Agile and Scrum in Internal AuditAdvantages identified from the YRCW implementation Frequent communication and solicitation of client feedback Stay on task Report more frequently, potential for earlier action plan implementation Increased flexibility and better overall client experience Rigid ceremonial procedure Check and balance on work performed Removal of impediments Continuous improvement of process Defined timelines All stakeholders in the audit have a clear understanding of what is to be expected andwhen Planning dedication After planning, all team members have a clear understanding of what needs andaccomplished and when that requirement must be met19

Key Learnings – Agile and Scrum in Internal AuditHurdles to overcome from the YRCW implementation Agile for audit concerns No perfect parallel audit Some aspects have a “scrummerfall” approach Especially true when approaching thedemonstration / reporting phase Inherent difficulty when working remotely Agile embraces face to face interactions Remote teammates have expressed some frustration with physical proximity Right-sizing client involvement The right level of engagement and involvement can be difficult to find Too little involvement leads to lack of commitment to action plan Too much involvement can lead to inefficiencies Organizing Agile process Agile software or Build your own20

ResourcesAgile Auditing: Transforming the Internal Audit Process,by Rick Wright, October ansforming-the-internal-audit-process-2Agile Manifesto: https://agilemanifesto.org/Scrum Alliance: com, mitch.child@yrcw.comArticles: Understanding The Agile Mindset, by Steve Denning, August 17 This Is Why Fortune 500 Companies Use An Agile Approach To Process Improvement,by Maria Materelli, November mprovement-d4095d410a6121

Questions?22

Agile describes a set of guiding principles that uses iterative approach for software development Agile is a practice that helps continuous iteration of development and testing in the software development process. In this model, development and testing activities are concurrent, unlike the Waterfall model. This mindset allows more communication .

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