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Wiley CIAexcel Exam Review 2014: Part 2, Internal Audit Practice by S. Rao Vallabhaneni

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Audit Procedures

In order to assure the adequacy and reasonability of the help desk function and hot-line services, conduct the following audit procedures:

  • Determine whether predefined problem isolation and determination procedures are available and that they are documented.
  • Ascertain whether problem logging, tracking, and resolution procedures are available and that they are clearly documented. Inquire whether standard time guidelines are defined for problem resolution.
  • Assess whether procedures are clearly established and reported as to the location of problem sources (i.e., problems resulting from a terminal, host computer, operating system, terminal controller, telecommunications circuits, third-party system, in-house application program, remote/local printer).
  • Verify that contact names and phone numbers in the data processing department are available for problem reporting and routing.
  • Find out if procedures are clear and complete in terms of handling a user problem, such as a user forgot a password, a password has expired, the system denies access although the password is correct, or a user cannot get through an application system because the system requires a multiple-level password.
  • Assess whether a call list is available showing whom and how to contact people within the organization, such as data security, technical support, application support, end users, and third-party system support outside the organization.
  • Determine the availability of problem escalation procedures ...

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