A GIS Audit Framework for Sustainable GIS Applications and Services

Abstract

Geographic Information System (GIS) is diverse in its components, applications, industry standards and implementation. In an organizational setting, this diversity can result in data inconsistencies, inoptimal system performance, high operational costs, and misalignment with organizational goals among others. The extent to which GIS is utilized should be audited to ensure effectiveness, efficiency, accuracy and alignment with organizational goals. There is however no standardized list of parameters to be used as a reference for optimal GIS audit. This study addressed this challenge by developing a GIS audit framework as a foundation for GIS audit. As a framework, it offers a structured set of key parameters to be considered during the audit process. Co-design and experimentation designs were applied through collaborative engagement with GIS users during framework development. Qualitative research methods that included literature review and reductive approach were used to identify audit parameters across different GIS development levels. The methodology comprised GIS audit parameters identification, framework design, framework testing & validation. Four thematic areas that generally relate to the basic GIS components were used as basis for organizing the audit parameters, i.e., data, software, GIS competency and procedures. The parameters were identified through a reductive approach by breaking the complexity associated with each thematic area. The framework was then organized as a matrix of parameters for each thematic area in rows, with the columns containing the audit goal, audit questions and audit subjects as indicators which are qualitatively measured. The framework was tested and validated through a mock audit exercise, where purposive sampling technique was used to select auditees that use GIS frequently. The audit revealed considerable compliance to the audit requirements. In a parameter rating scale of 1 (lowest) to 5 (highest), data quality, software utilization, personnel competency and procedures scored 2, 1, 3 and 3 respectively. This validates the GIS audit framework and the need to streamline workflows to enhance efficiency. The audits also validated that framework parameters correspond generally to those parameters used by auditees to evaluate their GIS processes. In general, the framework conforms to GIS operational requirements and addresses expectations of most users. The parameters are comprehensive and optimal in assessing GIS operations. The framework is available in an excel format to enable users generate checklists for specific audit purpose and scope. Periodic review is recommended and possible further research could be done to integrate AI in GIS audit process.