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Incident Mgmt - HDI

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					                                                                                                                             21190c66-d0dd-4ad3-a45c-5bc42f34b548.xls




Audit:
Dates:
Locations:


Track Sub-Process              Risk /Project Goal      Expected Control (Best Practice)                                           Actual Control        Test Step                                                                Results
ing                            /Compliance Standard
Num
ber
                                                                                                                                                        Review process documentation.
      DS 8 Manage Service Increased downtime of
    1 Desk and Incidents  business systems             Design Incident Mgmt Steering Committee process and membership
                                                                                                                                                        Review process documentation.
      DS 8 Manage Service Inefficient use of IT        Document roles and responsibilities within Incident Management (and
    2 Desk and Incidents  resources                    procedures)
                                                                                                                                                        Review process documentation.
      DS 8 Manage Service Inefficient use of IT        Design process to Benchmark against industry standards for
    3 Desk and Incidents  resources                    continuous improvement
                                                                                                                                                        Review process documentation.
      DS 8 Manage Service Inefficient use of IT
    4 Desk and Incidents  resources                    Document Metrics Analyst role and responsibilities
                                                                                                                                                        For a sample of incident tickets, verify:
                                                                                                                                                         - Call script/required info captured by Service Desk
                                                                                                                                                         - Incident ticket priority was appropriate
                                                                                                                                                         - Service Desk followed up with 2nd/3rd tier to ensure
                                                                                                                                                            SLA requirements met
                                                                                                                                                         - 2nd/3rd Tier updates open tickets with status on a
                               Increased downtime of   Incident ownership and life cycle monitoring remain with the help desk                              timely basis.
    5 DS 8.1 Service Desk      business systems        for user-based incidents                                                                          - Incident resolution verified with end-user.
                                                                                                                                                        Review ticket documentation quality standards, monitoring process, and
                               Increased downtime of   monitor quality of documentation in tickets, feedback process to                                 sample of tickets that went through QA process.
    6 DS 8.1 Service Desk      business systems        Service Desk Agents
                                                                                                                                                        Review procedures for call script/KB update.
                               Inefficient use of IT   Design process for maintaining call scripts/KB entries/workarounds
    7 DS 8.1 Service Desk      resources               (work with 2nd/3rd tier)
                                                                                                                                                        For a sample of incident tickets, verify:
                                                                                                                                                        - Call script/required info captured by Service Desk
                                                                                                                                                        - Incident ticket priority was appropriate
                                                                                                                                                        - Service Desk followed up with 2nd/3rd tier to ensure
                                                                                                                                                           SLA requirements met
                                                                                                                                                        - 2nd/3rd Tier updates open tickets with status on a
      DS 8.2 Registration of Increased downtime of     Define the different priority levels for incidents including how to                                timely basis.
    8 Customer Inquiries     business systems          calculate                                                                                        - Incident resolution verified with end-user.
                                                                                                                                                        For a sample of incident tickets, verify:
                                                                                                                                                        - Call script/required info captured by Service Desk
                                                                                                                                                        - Incident ticket priority was appropriate
                                                                                                                                                        - Service Desk followed up with 2nd/3rd tier to ensure
                                                                                                                                                           SLA requirements met
                                                                                                                                                        - 2nd/3rd Tier updates open tickets with status on a
      DS 8.2 Registration of   Increased downtime of                                                                                                      timely basis.
    9 Customer Inquiries       business systems        Determine what information to capture from end-user in Incident ticket                           - Incident resolution verified with end-user.
      DS 8.2 Registration of   Increased downtime of   Implement web-based self-service portal or other method to move end-
   10 Customer Inquiries       business systems        users toward Tier 0 support
                                                                                                                                                        Review process documentation and Service Desk application.
      DS 8.2 Registration of Inefficient use of IT     Design Categorization scheme in Service Desk tool and/or link to
   11 Customer Inquiries     resources                 Configuration Management Database (CMDB) categories.




                                                                                                                             21190c66-d0dd-4ad3-a45c-5bc42f34b548.xls                                                                      Page 1
                                                                                                                         21190c66-d0dd-4ad3-a45c-5bc42f34b548.xls




Audit:
Dates:
Locations:


Track Sub-Process       Risk /Project Goal           Expected Control (Best Practice)                                          Actual Control       Test Step                                                     Results
ing                     /Compliance Standard
Num
ber
                                                                                                                                                    Review process documentation.
      DS 8.3 Incident   Increased downtime of
   12 Escalation        business systems             Implement automated alarms on servers
                                                                                                                                                    For a sample of incident tickets, verify:
                                                                                                                                                    - Call script/required info captured by Service Desk
                                                                                                                                                    - Incident ticket priority was appropriate
                                                                                                                                                    - Service Desk followed up with 2nd/3rd tier to ensure
                                                                                                                                                       SLA requirements met
                                                                                                                                                    - 2nd/3rd Tier updates open tickets with status on a
      DS 8.3 Incident   Increased downtime of                                                                                                         timely basis.
   13 Escalation        business systems             Define procedure so 2nd/3rd tier update incident ticket real-time                              - Incident resolution verified with end-user.
                                                                                                                                                    For a sample of incident tickets, verify:
                                                                                                                                                    - Call script/required info captured by Service Desk
                                                                                                                                                    - Incident ticket priority was appropriate
                                                                                                                                                    - Service Desk followed up with 2nd/3rd tier to ensure
                                                                                                                                                       SLA requirements met
                                                                                                                                                    - 2nd/3rd Tier updates open tickets with status on a
      DS 8.3 Incident   Increased downtime of                                                                                                         timely basis.
   14 Escalation        business systems             Design process to follow-up on exceeded SLAs                                                   - Incident resolution verified with end-user.
                                                                                                                                                    Review process documentation.
      DS 8.3 Incident   Increased downtime of        Define procedure for notifying clinical/business areas of major
   15 Escalation        business systems             incidents.
                                                                                                                                                    Review process documentation.
      DS 8.3 Incident   Financial penalties/Negative Define procedure for escalating potential exposure involving personally
   16 Escalation        media exposure               identifiable information.
                                                                                                                                                    Review process documentation and aging of incident tickets.
      DS 8.3 Incident   Inefficient use of IT
   17 Escalation        resources                    Document resolution time limits for different priority incidents
                                                                                                                                                    Review meeting minutes and observe meeting.
      DS 8.3 Incident   Inefficient use of IT
   18 Escalation        resources                    Carry forward action items on Daily Operations meetings until resolved
                                                                                                                                                    Review process documentation and aging of incident tickets.
      DS 8.3 Incident   Inefficient use of IT        Determine lifecycle status codes for incident (open, in progress,
   19 Escalation        resources                    resolved, closed)
      DS 8.3 Incident   Inefficient use of IT        Liaision with Business Units for SLA requirements and feedback on IT                           Review process documentation.
   20 Escalation        resources                    performance




                                                                                                                         21190c66-d0dd-4ad3-a45c-5bc42f34b548.xls                                                           Page 2

				
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