Case Study
IT Process Compliance Assessment
Monitoring system activity and time logs against defined workflows, flagging deviations, and following up to reinforce process compliance.
- Focus
- Process compliance
- Context
- Distributed project teams
- Tools
- Project management systems, SOPs
- Role
- Project Manager
Overview
Across two project management roles, I monitored how teams followed defined processes in their project management systems, and I helped set the standards those processes were measured against.
Risk & objective
In distributed teams, processes drift. Skipped steps, inconsistent handling, and incomplete records make delivery harder to trust and harder to explain. The objective was to compare actual activity with the defined workflow, spot deviations early, and bring work back in line.
Approach
- Set the standard. Establish company-wide SOPs and governance frameworks that define how work should be done (Repurpose House).
- Decide what shows compliance. Use project management system activity and time logs as the evidence of whether the process was followed.
- Review the evidence. Check activity and time logs against the defined workflow (Engin8).
- Identify deviations. Note where actual practice differs from the standard.
- Follow up. Raise each deviation with the people involved and reinforce the expected process.
- Reduce the need for manual checks. Implement workflow automation that reduced reliance on real-time meetings and increased team productivity by 50% (Engin8).
Controls
| Control | Risk it addresses | Evidence |
|---|---|---|
| Documented SOPs and governance frameworks | Inconsistent practice and unclear accountability | Written procedures and defined responsibilities |
| Activity and time-log monitoring | Work done outside the defined process going unseen | System activity and time records |
| Follow-up on deviations | Repeated deviations with no correction | Record of follow-up actions |
| Workflow automation | Reliance on meetings and manual coordination | Automated workflows in the project system |
Compliance assessment worksheet
| Criterion (from SOP) | Evidence reviewed | Result | Follow-up |
|---|---|---|---|
| Work is recorded in the project system | System activity | Conforms | None |
| Time is logged against tasks | Time logs | Deviation | Remind owner, review next cycle |
| Tasks follow the defined workflow steps | Task history | Deviation | Clarify the step in the SOP |
| Handover is documented | Task notes | Conforms | None |
Result
More consistent workflows, with deviations identified and followed up, and a 50% increase in team productivity after workflow automation.
Through an audit lens
A compliance assessment follows a set path: criteria, evidence, test, finding, and follow-up. I have used that path on process compliance, and I have also written the criteria in the form of SOPs. That helps me tell the difference between a process that is not followed and a process that is poorly defined, which is a distinction good audit findings make.
Skills demonstrated
Details are anonymized to protect confidential business data. Figures are limited to those on my resume.
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