Process Audit of Automated systems for an Educational Institution.

Background


In accordance to the E-Governance initiative by the Government of India, India's foremost educational institution in the field of Engineering and Technology had migrated all of it's legacy processes to a new web-based Workflow Tool developed by a IT service provider. Even after following a strict SDLC (Systems Development Life Cycle) procedure, conducting User Acceptance Testing (UAT) and full production implementation of the Workflow tool, the IT project team was receiving a large number of bugs reported by the end users on a daily basis.


By engaging Parikar, the educational institution wanted Parikar to-

  1. Understand all automated processes, master processes and reports.
  2. Do the complete check of all functionalities of each process step.
  3. Review the current Change Request Management process.
  4. Check if the back end server has all the data
  5. Review all automated reports for user-friendliness and check if information on

these reports are accurate.



Methodology and Analysis :


The project team commissioned to execute this task, created a list of all processes, master processes and reports to be audited. Data collection templates were created to record the functionality of each process step and every single data field embedded within the process. For testing each of the processes, the project team collaborated intensively with the client IT team to understand the purpose of the process and develop a common understanding of the Requirement Specification Document. After this was done the IT Team provided a physical demonstration of the working of the process and provided Parikar with the relevant credentials to test the process. The project team then conducted rigorous cyclic testing of each process on the test server and recorded every process step and data functionality gap meticulously. Process improvement suggestions and recommendations for inclusion of static information within the tool were also recorded during the testing phase.


After an intensive research on IT Change Management systems and industry best practices a new improved Change Management System was proposed. Several suggestions were made to improve the Change Management documentation and make it more robust and transparent. The data backup for the production server was tested by sampling user/system modified data.




Results


This engagement resulted in the identification of 15% of all the processes tested which failed. The data collection process resulted in recording in excess of 150 processes cum data field specification mismatches. Parikar categorised all of these failures to enable a quicker resolution to the problems by the IT service provider. All of the process maps were updated and re-drawn to represent the process accurately.



A new and improved Change Management process was accepted by the client. As a result of this engagement, the client is now better placed and more confident to undergo the ISO Audit.