06. INFORMATION TECHNOLOGY DEPARTMENT AUDIT
The Assessment of Research and Development involves a comprehensive evaluation of an organization's R&D processes, technologies, and initiatives, including research design and data management, hardware and software knowledge, IT security, and infrastructure.
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01. ARCHITECTURE
Analysis of the organization's IT infrastructure and systems architecture. It involves assessing the design, structure, and integration of IT components to support the organization's overall IT strategy and objectives.
- Is there a detailed system architecture, integration and service description including documentation and wokflows?
- Are the requirements and specifications of projects and changes implementation defined in a clear and detailed manner?
- Is the progress of projects regularly monitored and the design and architecture adjusted as necessary?
- Is an assessment of the risks and limitations of projects carried out before its implementation?
- Are modeling and simulation tools used to improve the accuracy of changes architecture and design?
- Have contingency plans been defined to deal with possible problems or unforeseen events during the execution of projects?
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02. IT ADMINISTRATION
Administration and management of its IT systems. It involves assessing how effectively the organization maintains, monitors, and supports its systems to ensure their availability, reliability, and security.
- Is the license management and controlling process in place?
- Are servers administration processes in place?
- Are network administration processes in place?
- Does in company exists production and test environments system and integration passports?
- Does in company exists software administration responsibilities and access matrixes?
- What is the level of encryption methods and description of using certificates by employees?
- Company has established security elements, methods and description of secure administration of systems.
- Confident data management and GDPR compliance processes are in place.
- Hardware capacity management and processes are available.
- End-user hardware management procedures available.
- Active directory/user management procedures, adding new users and disabling old is in place.
- There exists mailing lists management for informing the company departments and employees about important mnotes by IT.
- User management matrixes and access procedures in place.
- Production access procedures and matrixes in place.
- Test, Dev, Train platforms lifecycle processes exist and is followed by centralized/decentralized teams.
- Test, Dev, Train platforms change management processes in place and followed.
- Inventory management in place and redular audit is executed at least annually.
- Mobile device management in place and auditable.
- Data Recovery Center (DRC) switch over plan & workflows exists and testing executed at least once a year.
- Do you plan/forecast work with data? What is the quality of data maintenance planning?
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03. PROJECT DELIVERY
Delivery of IT projects. It involves assessing how effectively the organization plans, executes, and controls its IT projects to achieve their objectives within defined timelines and budgets.
- Task management tool and processes exists in sufficient quality.
- Development lifecycle is established and regularly executed.
- Testing lifecycle is sufficient and cover all end-to-end processes.
- Knowledge transfer process and resource redundance is established and adhered.
- Change management process exist and regularly executed.
- Release procedures and deployment approval workflows exists.
- Developers, or automated system track software change log and is possible to audit changes in the system.
- Does company plan, maintain and regularly update deployment plan?
- Does company have business continuity plan in case of expected/unexpected troubles happend?
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04. IDEA MANAGEMENT
Management of ideas and innovation within the IT department or across the organization. It involves assessing how effectively the organization captures, evaluates, and implements ideas for improving IT processes, systems, or services.
- Is the Idea management process established, tracking the changes in product, service, or software development passing a regular prioritisation of new ideas? What is the level of Idea Prioritisation process quality?
- A proper Idea evaluation, profitability and measurement process is on place to enable prioritisation of new ideas?
- Is an evaluation of the feasibility and profitability of new ideas carried out before investing in their development?
- Is market research and competitor assessment conducted to assess demand and potential for the idea?
- Are clear and measurable objectives set for the development and implementation of the idea?
- Is there a rigorous assessment of the risk and uncertainty associated with the idea?
- Are contingency plans and alternatives established in case the idea does not turn out to be viable or profitable?
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05. PROCESS MANAGEMENT
IT process management and optimization. It involves assessing how effectively the organization designs, documents, implements, and improves its IT processes to ensure efficiency, effectiveness, and alignment with business objectives.
- Is in place an IT Policy catalogue that track all the processes in IT department?
- Does the company has business competence centre processes and interaction between busienss and IT?
- Is in place and what is the level quality to track reporting matrixes and track all the reports company generates, their updates and the value of them?
- Primary systems development, implementation and integration project plan avaialable?
- Secondary systems development, implementation and integration project plan avaialable?
- Service-desk systems development, implementation and integration project plan avaialable?
- Terminal network, or other digital network processes and workflows available and maintained?
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06. CHANGE MANAGEMENT
Managing changes in IT systems, applications, infrastructure, and processes. It involves assessing how effectively the organization plans, implements, and controls changes to minimize disruption, ensure stability, and maximize the benefits of IT changes.
- An effective change control process is formally defined, well documented and understood. Strict advance customer notification process is followed, prior to executing the change.
- A formal visio or other chart drawing and change control system exists and audit inspection have access to adequate and up-to-date drawings to understand the process steps.
- Does the company have a process to assure the timely review, distribution and implementation of all customer engineering standards/specifications and changes including a record of the date on which each change is implemented in production
- Does company maintain the main challenges that organization faces in terms of change and change management and applying improvements regularly?
- Does the company company handle resistance to change from employees? Is there diversity pf all key people?
- Are in place key indicators that organization uses to measure the success of a change project?
- Does organization involve employees in the change process and ensure they are motivated to do so?
- Does your organization ensure that implemented changes are maintained in the long term and integrated into the organizational culture?
- Does companby have technical support procedures that adjust post-implementation support of changes, or new ideas?
- Do you regularly release and forecasting releasing new functionalities into production? What is the level of planning and coordination quality?
- Do you have an analysis team in department and what is the level of analysis quality?
- Do you have an architect, or architecture board who approve all tasks for developers? What is the quality of new development review quality before coding?
- Do your developers regularly provide support of releasing new functionality into production? What is the level of quality of their support?
- Do your code passing testing before applying into production? What is the quality of testing?
- Is a proper release documenation on place that contains changes in every release including updates for business purpose? What is the level of release documentation quality?
- Do you have deployment approval, notfication and communication to business and customers about installing/installed release?
- Do you execute pre-deployment Use Acceptance Test (UAT) before production? What is the UAT quality?
- Do you have centrlized/decentralized deployment management in place? What is the quality of usual deployment?
- Do you have any post-deployment testing of production after the release? What is the quality of post-deployment testing?
- Do you update documentation and organize new funcionality user training? What is the quality of the process?
- Do you update documentation and organize new funcionality user training? What is the quality of the process?
- Do you have a rollback plan for functionality release in case of failure of core business functionality? What is the level of rollback procedure?
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07. TECHNICAL SUPPORT
Providing technical support for IT systems, applications, and infrastructure. It involves assessing how effectively the organization handles user requests, troubleshoots technical issues, and resolves problems to ensure the smooth functioning of IT services.
- Is work management based on task management system? And this task management system uses sufficient mandatory fields for regular work load and performance reporting?
- Does company use Incident management procedures? How well they work?
- Does company employees execute incident root cause analysis when incident happend?
- Does company IT use problem management procedures? How well they work?
- Is there in place bug fixing lifecycle that instruct development about the priority and timing for resolution of the bug?
- Is technical support aware about deployment process and is aware about all changes made in production?
- Is planned engineering work process in place and technical support is informed about changes deploying to the production received from development team?
- Are in place operations metrics and KPIs enabling transparence of "Business as usual" work load?
- Does technical suport team execute business period closing procedures (End of Day, End of Month, End of Year) for accounting and management reporting purpose? What's the quality and timing of outputs?
- Does development department has access to production system without necessity to notify technical support abpout accessing production?
- Is L1 technical support work routine operations processess described properly and their adherence is controled on reuglar basis?
- Is L1 problem management process established? And what is the process adherence quality?
- Is there any regular prioritization meeting that define next days work focus of L1 technical teams?
- Is L2 technical support work routine operations processess described properly and their adherence is controled on reuglar basis?
- Is L2 problem management process established? And what is the process adherence quality?
- Is L3 technical support work routine operations processess described properly and their adherence is controled on reuglar basis?
- Is L3 problem management process established? And what is the process adherence quality?
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08. SERVICE-DESK
Operation and management of the service desk or help desk. It involves assessing how effectively the organization handles user requests, incidents, and service-related inquiries to provide timely and efficient IT support.
- Overal service-desk processes processes are in place and follwed by service desk or helpdesk teams.
- Critical incident notification in case of system/process unavailability is in place and followed by all employees of the company.
- Deployment notification is in place and all company know about the deployment of new version of the product to the production system.
- Does organization define "good customer service" in the context of service desk?
- Does organization measure the success of your service desk in terms of customer satisfaction and issue resolution?
- Does organization handle wait times for customers seeking help from service desk?
- Does organization ensure that your service desk employees have the necessary skills to effectively resolve customer issues?
- Does organization ensure that customer information is secure and confidential when communicating with service desk?
- Does service desk use proper messaging and voice scripts to route customer requirement/complaint to the proper direction?
- What is the level of Monitoring systems and services including uptime and availability?
- Is L0 technical support routine operations processess described properly and their adherence is controled on reuglar basis?
- Are common steps and problems solving by L0 technical specialists described for easier train another person?
- Is the wikipedia, intranet, or other knowledge base available for routine L0 oeprations?
- Do exist in company procedures for improving the L0 - IT Operatons type processes Improvement?
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09. COMPLIANCE
Compliance with relevant laws, regulations, industry standards, and internal policies within the IT function. It involves assessing how effectively the organization identifies, implements, and monitors compliance requirements to ensure adherence and mitigate risks.
- Is there a process to ensure parts, product, and materials comply with environment and regulatory requirements and what is the quality level of auditing it?
- Are all regulations and standards strictly being followed and there exist process to follow up incident cases?
- Is a detailed record of all project processes and activities kept for compliance and auditing purposes?
- Are regular inspections and evaluations carried out to ensure that projects complies with all occupational health and safety regulations?
- Are all records, reports and other documents necessary to comply with legal and regulatory requirements properly documented and filed?
- Are all personnel involved in projects provided with adequate training on applicable regulations and policies?
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10. HUMAN RESOURCES
Managing human resources within the IT department or across the organization. It involves assessing how effectively the organization recruits, develops, and retains IT personnel, as well as ensuring their compliance with policies, procedures, and industry best practices.
- There is in place resource matrix, inclduing salaries and allocation plan.
- There is in place human resource motivation program and processes and KPIs.
- Are the right staff with the necessary skills and competencies available to carry out projects?
- Are clear and measurable objectives established for the personnel involved in projects?
- Are staff provided with adequate education and training to develop their skills and knowledge?
- Are succession plans established and adequate continuity of key projects personnel ensured?
- Are clear policies established for conflict management and the treatment of complaints and complaints?
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11. FINANCE & ADMINISTRATION
Financial and administrative practices and processes within the IT department or across the organization. It involves assessing how effectively the organization manages its IT budgets, financial resources, and administrative functions to support IT operations and align with overall business objectives.
- Is there exists finance plan, project budgets, tracking and approval processes?
- Has a detailed and realistic budget been prepared for all company projects? Is there any under-estimation or over-estimation problems?
- Is project spending regularly tracked to ensure it stays on budget?
- Are cost-benefit analysis to assess the financial viability of the project?
- Are clear financial objectives set and regularly reviewed to ensure that they are being met?
- Are the possible financial risks of the project taken into account and are contingency plans established to minimize them?
- What is the level of budget administration quality including over-estimation and under-estimation?
- What is the quality of reviewing of Act of Acceptance for delivered work by IT suppliers?
- What is the quality of control of received invoices against contracts and signed Acts of Acceptance?
- What is the quality of work tracking and approval mechanism?
- Does the company use any timesheeting system or other mechanism to control attendence?
- Does the IT department monthly report to executive management and what is the level of report quality?
- Does the IT department quarterly report to executive management and what is the level of report quality?
- Do you monthly track System Performance report and what is the quality of IT systems perfromance?
- Do you at least twice a month review Man Power Performance to understand occupancy of the employees and what's the quality of the review?
- Often, internal systems work slow. Do you track performance of internal work management tools? What is the quality of working tools speed?
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12. MANAGEMENT
Management of IT functions, projects, and resources. It involves assessing how effectively the organization plans, organizes, and oversees its IT operations, projects, and strategic initiatives.
- Are communication matrixes on place and understandable by all employees and other stakeholders?
- Does company have escalation matrix and is it followed?
- Does company has some business dashboard where all employees can see the necessary progress and troubles?
- Does company use auditable electronic document workflow?
- Is IT department responsibility matrix in place for IT operations and project needs?
- In work with vendors, are there 3rd party communication matrixes at one place?
- Is there in place an Internal SLA (Service Level Availability) procedures and calculation methodology to follow the work?
- Does the IT deparmtnet have a service catalogue that brief the rest of the company about the activity purpose and usual timing to do that action?
- Do you used shared task and collaboration tools and how eficient it is in real life experience?
- Do the company use central ERP (Enterprise Resource Planning) system and what it is the level of processes maturity?
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