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TOPIC: Audit preparedness

Audit preparedness 2 years 5 months ago #4344

  • Joe Muccianti
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I have watched the video provided by PMPrepCast regarding an audit by PMI, but it did not answer the following question.

If I am so unlucky to be audited (and I say unlucky because it is just another hoop to jump through), will I have to provide some sort of Excel (or otherwise) spreadsheet documenting my hours in detail and also provide other proof of activities, like a project plan, or charter, or any other documents discussed in the application? Many of these things are confidential and my previous employer would not like me to share them. Some of them are in Quality systems and cannot be retrieved (as well as being confidential).

Or is the audit process simply having a sponsor or other stakeholder verifying through a review and signature of the application's wording? If so, I proactively sent each sponsor my project wording for the application to ensure that they are in line with what I wrote, and ultimately, what I performed while managing the project.

Thanks!

Audit preparedness 2 years 5 months ago #4345

  • Ayo O
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Joe,

The audit is very straightforward as long as you have provided accurate information on your PMP application.
Once your application is selected for an audit, you will get an "Audit Package" in your online PMI profile. This comprises Experience verification forms, proof of your 35 contact hours of PM Education and proof of your formal Education (Degree certificates, transcripts etc).

The Experience verification form is a PDF file that you need to print out and send to people you named on your application to verify your experience. It is just for them to agree or disagree with the hours you have shown on your application by appending the form with their signature. They then seal it in an envelope, sign across the seal and return it to you. You then mail this (with copies of your 35 contact hours certificate and copies of your degree certificate/transcripts) to PMI.

My application was audited and I can say confidently that the PMI folks are pretty efficient. I sent out the complete audit package on a Monday and it got to them on a Wednesday - 2 days later. It only took them 1 hour to approve my application - the same day they got the package.

Good Luck!
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Last Edit: 2 years 5 months ago by Ayo O.

Audit preparedness 2 years 5 months ago #4346

  • Joe Muccianti
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Thank you Ayo.

So you are confirming that the extent of the audit is simply to have the sponsor verify what I have written (along with contact hours and degree).

I looked on the FAQs on PMI's site and question 11 states: If the projects and/or programs listed were completed in a highly classified environment, or a company is very sensitive about proprietary information being seen by other employers or individuals outside the company, how should this be handled?

PMI is very sensitive to this situation, and encourages candidates to have the information verified in a way that is consistent with company practices and policies. Candidates may black out any proprietary information so as long as there are no changes or omissions to the original information provided to us. PMI may also provide a letter of intent to any managers or supervisors upon request.


This caused me some confusion since it seems to elude to me having to provide detailed information regarding the project (see BOLD). It seems like they are indeed asking for the project documents since I wouldn't know what else I would need to black out? My application itself does not have proprietary information on it, but rather high-level summary of what I did, thus no need to black out there.

I have truly and honestly performed what I say I performed, but just want to know if I need to be prepared with documents I might not necessarily be able to provide due to my original post.

Audit preparedness 2 years 5 months ago #4347

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Question 11 of the FAQs states: "If the projects and/or programs listed were completed in a highly classified environment, or a company is very sensitive about proprietary information being seen by other employers or individuals outside the company, how should this be handled?

PMI is very sensitive to this situation, and encourages candidates to have the information verified in a way that is consistent with company practices and policies. Candidates may black out any proprietary information so as long as there are no changes or omissions to the original information provided to us. PMI may also provide a letter of intent to any managers or supervisors upon request."


What would I be blacking out if I am not providing actual documentation? If I can't provide confidential information because it is contained in a Quality system and is marked confidential, how do I, as Cornelius says in the video, "Have everything you have written documented".

So during the verification process, do I need to provide these documents or is it ONLY a verification by the person to vouch for me? I want to know, because if I have to retrieve or send confidential information to prove what I've written, that will be an impossible feat.

Obviously, I can prove that I have a Masters degree and contact hours through PMPrepCast. Are the documents that are being referred to documents that I have created now to understand where my hours went and what I did? Or are the documents the PM Plan, the Req. Matrix, etc (documents that are confidential).

Audit preparedness 2 years 5 months ago #4348

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Why are my responses not going through?

Audit preparedness 2 years 5 months ago #4349

  • Dawn Upperman
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Hello Joe,

The verification process only requires verification from the sponsors you listed on your application. I was audited myself so I am familiar with the process. If you are confident that the sponsors you listed will verify your information, you should be OK. PMI would most likely request documentation if one or more of those sponsors could not verify the information on your application. It would be a good idea to have another way to verify your information just in case. PMI allows extra time to submit any additional requested documentation. Good luck!
Last Edit: 2 years 5 months ago by Dawn Upperman.

Audit preparedness 2 years 5 months ago #4350

  • Ayo O
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Joe Muccianti wrote:
Thank you Ayo.

So you are confirming that the extent of the audit is simply to have the sponsor verify what I have written (along with contact hours and degree)..

Absolutely. You don't need more than those documents to pass the audit.
MSc, PMP
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OSP International LLC
Last Edit: 2 years 5 months ago by Ayo O.
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