IS Problem Management Function Review

Control Objective:

The IS performance in meeting its commitments to provide a scheduled level of information processing service is being reviewed periodically by management to assure that all problems encountered during processing are recorded, analyzed, and resolved in a timely manner.

Control Requirements [Per University Computing Resources Policy]:

1. Records are maintained to evaluate the IS department's actual performance in meeting information processing service schedules. [Review status: not achieved]

2. Management uses performance records to manage the scheduling of its service activities. [Review status: not achieved]

3. Key application programs that are experiencing performance erosion are documented as to any recurring pattern or trend. [Review status: not achieved]

4. The elapsed time of any delays are recorded for all variations. [Review status: not achieved]

5. The reasons for delays in the scheduled processing of applications are identified by the information processing operations management in terms of the responsible source of the delay. [Review status: not achieved]

6. Management has determined, by a survey of the user departments, if the information processing operations schedules maintained by the IS conform to their needs. [Review status: not achieved]

7. Information processing goals have been established by management for performance measurement purposes. [Review status: not achieved]

8. Both accurate and complete results are being reported and user department perceptions of IS department's reporting procedure conform to the data being gathered by this procedure. [Review status: not achieved]

9. The IS department has established formal procedures for managing or controlling information processing problems. [Review status: not achieved]

10. All problems encountered by the information processing operations are being recorded. [Review status: partially achieved]
11. Significant and recurring problems are being identified and actions are being taken to prevent their recurrence. [Review status: not achieved]

12. Priorities have been established for how quickly specific problems must be resolved. [Review status: not achieved]

13. Selected processing problems were resolved on a timely basis by the designated member of the DP department and the record of the problem resolution was complete and reasonable. [Review status: not achieved]

Control and Risk Evaluation:

Overall, the control requirements were not being met. Thus, all major problems encountered during information processing may not be recorded, analyzed, and resolved in a timely manner. Such problems may not be prevented from recurring. Also, the IS department's performance in meeting its commitments to provide efficient information processing services to users may not be measurable. All these could contribute to significant administrative overhead costs -- both to the IS and user departments.