Information Gathering for Organizational Audits
Organizational Information Gathering
After developing the audit plan, which will serve as a blueprint of the times, costs, and priorities, and as a means of control for the audit, you should start gathering information.
Systematic Review of the Area
The systematic review of the area is done through the following:
- Review the organizational structure.
- Hierarchy
- Organizational Structure
- Functions
- Objectives
- Review the situation of human resources.
- Interviews with staff of electronic processes:
- Leadership
- Analysis
- Developers
- Database Staff
- Communication and Networking Staff
- Know the situation with regard to:
- Budget
- Financial Resources
- Material Resources
- Furniture and Equipment Costs
- Make the census of human resources and analyze the situation with regard to:
- Number of People and Distribution Area
- Salary Movements
- Knowledge
- Education
- Review the compliance of administrative documents.
- Organization
- Rules and Policies
- Work Plans
- Control
- Standards, Procedures
Major Plans Required in the Organization of Information
Feasibility Study: Investigates the costs and benefits of long-term uses of computers and recommends when to use them or not.
Plan Changes, Modification, and Update: Specifies goals and activities to be performed to achieve the changes and amendments, independence, timing, responsibilities, and restrictions when the organization makes the decision to make substantial changes to software, hardware, communications, or peripheral equipment.
Typical activities in this plan:
- Full specification of hardware, software, communications, and computer peripheral equipment.
- Evaluation and selection.
- Physical planning and site preparation.
- Final Acceptance Testing.
Master Plan: Defines long-term objectives and targets necessary to achieve them. One of the main duties of the computer management area is the construction of a master plan.
May comprise four sub-plans:
- The organization’s strategic plan.
- The strategic plan for information systems.
- The plan requirements.
- The plan of information system applications.
Project Plan: This is the basic plan to develop a certain system and to ensure that the project is consistent with the goals and objectives of the organization and those outlined in the master plan.
Basic activities that must be contained:
- Identify the tasks
- Identify the relationships between tasks
- Identify resources required for each task.
- The sequencing of activities.
Security Plan: Insurance, contingency, and recovery in case of disaster.
Reasons why a computer installation may be exposed to a disaster:
Hurricanes, fires, floods, earthquakes, sabotage, fraud, computer problems.
Evaluation of Human Resources
Staff development involves:
- Establishing promotion and development opportunities.
- Education and training. These activities maintain the morale and skills of employees at an appropriate level to meet the mandated goals and objectives.
Interviews with the Personal Computer
The interview will help us determine:
- Degree of compliance with the administrative organizational structure.
- Degree of compliance with policies and administrative procedures.
- Satisfaction and dissatisfaction.
- Training.
- General remarks.
Budget: The budget and financial information obtained from the department, and the number of equipment and features to make an analysis of your situation from an economic standpoint.
Among this information is:
- Costs of the department, broken down by areas and controls.
- Budget department, broken down by areas.
- Characteristics of teams, many of them and contracts.
Financial Resources: To address the issue of financial resources, we suggest the following questions.
Material Resources: In order to get information, we recommend the development of the questions, taking into consideration the following items:
Programming – Fitness – General Services – Furniture and Equipment