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The CISA® Prep Guide: Mastering the Certified Information Systems Auditor Exam by John Kramer

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2.7. Evaluating Problem Management

When reviewing the problem management processes, you will be assessing the IS organization's ability to identify, examine, and resolve problems that occur in the IS environment. Well-managed governance over the processes and structure that makes up a problem resolution and escalation process can help the IS auditor get an overall comfort level with how unidentified problems may be handled when they occur in areas not previously known or experienced. A problem management system should capture and document all events that are not standard operational events. It should force these events through an evaluation process that determines their cause and the resolution of the issue, tracking the record of the problem through to its conclusion. Ideally, problem tickets are automatically opened when production application programs abnormally end (ABEND), populating the problem tracking system with the available documentation that can facilitate the issue's resolution. This process may be interrelated to the change control process because the changes may cause problems that can be resolved by changes made to the production systems.

It is important to capture and record events that are not obvious problems because they can be symptoms that can lead to a root problem. Only by gathering these seemingly unrelated events and correlating them over time will they lead to a root problem through an in-depth analysis. Problems should be assigned to the affected areas ...

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