Goal

Audit Question

Audit Definition

Audit Method

Audit Frequency & Reports

Responsibility & Reporting

GIS strategic vision & alignment

Assess effectiveness of GIS strategy in fulfilling overall

system goals and objectives

Are the planned initiatives consistent with overall strategy being accomplished by the GIS

Strategic plan

Implementation plan

Management plan

Communication plan

Standard operating procedures (SOPs)

Business continuity plan

Review aspects of system utilization, governance and funding to identify current or future needs and directions.

Engagements and feedbacks

Observations e.g. effect of GIS staff leaving or coming in

SWOT analysis

Quarterly basis

GIS Program Manager

Senior management

Implementation

Assess GIS adoption & implementation within specified structure

Is the GIS achieving the intended goals and objectives

Activities schedule & workflows

Statements of work

Competency plan

Review quality of implementation through output examination

Daily to monthly

GIS Program Manager

Communication plan

Examine enhancement in information flow & collaboration within the GIS

What strategies exist to ensure information flow

Communication plan

Feedback plan

Review feedback to ensure the communication is understood by stakeholders

monthly or quarterly

GIS Program Manager

Quality of system outputs

(deliverables- products and services)

Certify the value of created products and services

Do the products and services comply to quality standards for the specified GIS applications

Quality management plan

Quality control manual

Performance plan

Quality assurance program and quality rules

Existing GIS data policies and standards

Validate data for compliance by tracking uncertainties, outliers, errors & anomalies

Assess client’s satisfaction from their feedback

Daily production

Weekly data reviews

Data quality tests

GIS Program Manager

Data Creation and Update

Establish procedures for geospatial data & information that meets desired industry standards, rules and best practices

Is the collected data fit for purpose and does it fit industry standards?

Existing geospatial data creation policies and standards

Data Dictionary (Metadata & database description)

Documentations

Quality controls

Established procedures for data creation

Data update notifications

Automated data update mechanisms

Data update intervals specific for each dataset type

● Imagery

● Topographic

● Cadastre

● Elevation

● Geodetic

● Administrative boundaries

● Attribute

● Metadata

GIS Program Manager

Data modification, dissemination, accessibility

Assess the safety of GIS information from unauthorized access, modification or deletion

Is there proper data dissemination and protection method and will sensitive data remain confidential?

Data modification & dissemination plans.

Document protocols for confidential data

Data user identity mechanism

Automated monitoring of data movements.

Data surveillance through tracking.

Data access control matrix & monitoring techniques

Data watermarks

Daily controlled and restricted environment

GIS Program Manager

Senior management

Data redundancy checks

Assess system performance risks and losses associate with redundant data and storage requirements

Does data redundancy affect GIS performance and storage requirements

A centralized database

Data catalogued and graded

Data storage repository

Procedures on data categorization

Prioritize system data in terms of ready for use, ready to delete and potential elimination

Review data completeness, accuracy, integrity, timelines and applicability

Weekly review of system GIS spatial database

GIS Program Manager

GIS technology: components, equipment and information sharing

Monitor effectiveness of the GIS technology that meets system goals

Does the GIS catching-up with the changing GIS technology and other existing systems integration mechanism

GIS components keep pace with technology

Interoperability: concepts in terms of formats & standards required for data exchange & information sharing

Examine data, technology and workflows to determine current GIS technology trends & software upgrade

Established procedures for data conversion for incompatible formats

Daily operations

Timely software licensing/update

GIS Program Manager

Hardware and network infrastructure

Establish adequacy in hardware and network setup that provide best performance and meet expected GIS loads

Does the hardware and network configuration provides acceptable response time and a conducive working environment

Networks, Workstations and Servers

Data storage and backup options

Hardware and network performance monitoring software

Use network management protocol

Monitor new developments in hardware and network performance through online research or vendors

Daily monitoring of hardware/network performance in terms of

● CPU cores

● CPU speed

● RAM

● Operating System

● Hardware and network response

● Hardware and network failures

● Storage space and backup options

● Severs

GIS System Engineer

Network Administrator

GIS Standard Operating Procedures (SOPs)

Assess sound work methods that produces consistent products and services with least time possible and minimal errors

Are there existing SOPs that defines GIS operational requirements and do procedures conform to existing standards

Documented

procedures

GIS conformance to existing policies and standards

Document Management System

Check documentation of procedures

Check compliance of procedures to existing standards

Measure work efforts and credibility

Automate document management

Annual review and update of SOPs

Review of conformance to standard operating Procedures during job production

GIS Program Manager

GIS support & maintenance

Examine support for GIS as a service for excellent delivery of products and services

Are the resources in good condition to run operations of GIS

GIS implementation & operation practices

Risks mitigation measures

Technical supports, After service warranties & support guarantee to customers

Review efficiency of operations through reduced time loss, maximum performance, increased profitability and broadened competitive edge

Timely, monitoring, upgrades & maintenance controls

GIS Program Manager

System Engineer

GIS developer

Network Administrator

GIS System administrator GIS programmer

GIS security

Review GIS quality and safety measures

What are the overall GIS security measures in place

Data security guidelines

Data Privacy guidelines

Access and usage controls

Physical security

Potable device policy

Review of:

● System access & usage risks

● Information uniqueness

● Physical security measures

● Data storage and backups

● Monitor logs for access control violation

Daily security assessment

Daily data backups

GIS user

GIS Program Manager

Resource Accountability

Assess resources accountability that supports the continuity of GIS

Are the resources used wisely and of the right choice and condition?

Resources inventory,

Identified knowledge, roles & functions of GIS resources. Instrument calibration

Firmware updates

Assessment of physical and internal condition of GIS resources

Allocate staff responsibility for GIS resources

Calibration & firmware update procedures

Routine evaluation

Timely maintenance, update, calibration & servicing of equipment

GIS user

GIS Program Manager

Staff development programs

Examine GIS personnel to build on existing knowledge and skills

What are the existing gaps in the GIS that calls for development programs

Training & staff development programs

Review changes & improvements on

● Technical work outputs

● Software use

● Staff attitude towards the GIS

Measure work performance difference especially after staff transition

Routine evaluation of gaps that may require training or development programs

GIS Program Manager

Senior management

Funding

Assess sufficiency of funds to support and sustain the GIS

Is there enough fund to cater for the GIS requirements

Initial capital & operating budget

Funding decisions that compromise system performance

Review of cost and benefit analysis

Review of procurement procedures

Monthly (Operational budget changes as system matures)

Senior management