3 review the plan maintenance procedures for network

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3. Review the plan maintenance procedures for network issues. 4. Are special connections, services or hardware required? Page 6 of 13
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UC Core Audit Program Audit Program and Internal Control Questionnaire Network Management 5. If large segments of the user population need to be relocated, have places been identified? Are plans in place for establishing network connectivity to these sites within acceptable time frames? 6. Review critical network segment priorities and associated procedures. 7. Have you ever had a disaster? Were the recovery plans adequate? Describe. 8. Review machine configuration documentation. This ensures machines can be restored to their exact state prior to the outage/disaster. 9. Describe the earthquake precautions that have been taken to protect hardware and wiring? (strapping, padding, cabling slack) Do they cover all the equipment, fixtures and building aspects? Access controls 1. Evaluate the methods for reasonableness. 2. Examine key Access Control options including: a. Unique identification (ID) (explain any group or shared IDs) b. Password controls (length, strength, changes, lockouts, maiden passwords) 3. Do any user ID’s exist that have extra permissions outside of group privileges? 4. Evaluate remote access security controls over dial-in or telnet sessions. 5. Examine all vendor ID’s and their use, permissions and login attempts. Determine appropriateness of access. 6. Evaluate the risks of vendor system access. What type of access do they have regularly and on an emergency basis? Page 7 of 13
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UC Core Audit Program Audit Program and Internal Control Questionnaire Network Management V. Operational Effectiveness and Efficiency (16 hrs) A. The following table summarizes audit objectives and corresponding high-level risks regarding operational effectiveness and efficiency. Audit Objective Areas of Risk Evaluate management processes, specifically addressing the following areas: Personnel management (The use of employees vs. contractors); Specialization of work – centralized vs. decentralized Network software and equipment changes review and approval processes (Planned vs. ad hoc changes); Evaluate the cost benefit of lease vs. buy of capital assets Patch vs. permanent fix problems (find real cause of problems) Agreements for service levels Poor customer service—resulting in customer’s poor performance and inability to meet University mission Paying more for services when less expensive alternatives are available. Acceptance unknown and undocumented changes to systems. B. The following procedures should be considered whenever the review is conducted. Change Management 1. Describe how change requests are tracked. Is any history maintained of all changes to the systems? 2. Describe user involvement in the process. 3. How are modifications performed, and in what environment? 4. What prevents more than one technician from working on the program, system, or unit simultaneously?
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