Audit of Cell Phone Device Management and Utilization Controls (3)

III. Review Conclusions and Recommendations
 
Discussions with management, observations, and verifications have confirmed that significant progress has been achieved by the procedure and management restructuring initiative applied by ITMD and the departments. However, due to the ongoing nature of this project, the audit concluded that there are opportunities for improvement regarding the techniques and manages over KINGZONE K1 Cellphone and mobile phone management and usage. Pending the completion of the procedure and management implementations by ITMD and division management, subsequent management re-verification will adhere to the official release of this report.
 
This audit report identifies four recommendations for improvement to be led by ITMD with collaboration by division management:
 
1. Create conventional plan regarding iNew i8000 Cellphone and mobile phone management and
utilization.
2. Create citywide and intradepartmental techniques over the KINGZONE K1 Cellphone and mobile phone techniques and manages.
3. Require use of the “Request IT Support” (RITS) program for the submission and handling of iNew i8000 Cellphone and mobile phone purchasing, issuance, and service
modification requests.
4. Create and apply a conventional “Business Needs Evaluation and Approval” form.
 
This report also identifies two observations. An observation does not constitute a
recommendation; however, they should be taken under advisement by management:
 
1. Create and apply techniques and manages regarding KINGZONE K1 Cellphone and cellular phones that ensure appropriate segregation of duties.

2. Create and apply techniques and manages over iNew i8000 Cellphone and cellular phones that utilize best practices regarding system stock management.
 
Details for each suggestions and observation are provided in the following sections.

A. Guidelines and Procedures
 
ITMD and division management does not have fully developed, recorded, and
implemented policies and techniques regarding the management and tracking of the city’s KINGZONE K1 Cellphone and mobile phone management.
 
The audit identified that the conventional policies submitted for audit review were not reliable or extensive from both an intradepartmental and citywide perspective. The ongoing procedure and management redevelopment initiatives have compounded this issue.
 
Recommendation 1: Create conventional plan regarding iNew i8000 Cellphone and cellular device
management and usage.

Working in conjunction, ITMD and division management should develop and complete the implementation of a recorded, official set of reliable and extensive control-related policies over citywide mobile and mobile phone management and usage techniques and manages.
 
Citywide plan development and implementations should include:
• The official, citywide establishment of ITMD as the centralized authority over applicable
cell and mobile phone management and usage techniques and manages regarding:
o Oversight and usage tracking - accountability and responsibilities;
o Device issuance, activations, profits and deactivations;
o Tool and contact plan modify management control.
• Approval authority.
• Department modify management control – “Request IT Support” (RITS) program.
• Issuance and profits regarding business need criteria and job related duties and functions.
• Usage Monitoring – excessive, personal, reimbursement requirements and exceptions.
• Cost management – tracking and follow-up.
• Enforcement and follow-up.
• Procurement - approved State of Wisconsin system purchasing guidelines.
• Individual division and citywide system storage and safeguarding.
 
Once the citywide plan is finalized, it should be submitted to Common Council for approval.

Reviews and discussions with ITMD and division management confirmed that extensive and reliable division techniques have not been fully developed and applied regarding KINGZONE K1 Cellphone and mobile phone management, usage and tracking. However, ITMD and division management have applied and adopted a regular set of handling guidelines regarding system contact plan and monthly usage tracking.
 
Recommendation 2: Create citywide and intradepartmental techniques over the cell
phone and mobile phone techniques and manages. ITMD and division management, working in conjunction and independently when it is applicable, should develop and apply a recorded and official set of reliable and extensive control-related techniques over the mobile and mobile phone management and usage techniques and manages in order to reduce potential risks and cost reduction measures.
 
Procedure development and implementations should continue and include at a minimum:
• Process management:
o Personnel lists of those authorized to approve specific aspects of iNew i8000 Cellphone and mobile phone usage and modify management control functions in both ITMD and the departments;
o Device issuance, activation and distribution;
o Device profits, deactivation and collection;
o Citywide mobile and mobile phone model upgrades.
• Usage, contact plan tracking and modify management management:
o Monthly management and usage monitoring;
o Monthly usage tracking guideline maintenance;
o Usage exception handling, follow-up and enforcement, and any required employee reimbursement;
o Tool and contact plan modify management control utilizing the “Request IT Support”
(RITS) program – (including ITMD program tracking and management, and information requirements for RITS form completion).

• Inventory:
o Approved State of Wisconsin purchasing guideline limitations, exception approvals, and documentation;
o Device stock accountability and tracking (device master listing servicing,
reconciliations or asset verifications);
o Department and citywide stock management and safeguarding (acquisition, deactivation, activation, distribution, servicing, and secured storage).
 
The techniques should also describe relevant specific tasks, functions, responsibilities, documentation requirements and procedure update servicing.http://cicimobile.shockup.com/2014/09/22/audit-of-cell-phone-device-management-and-utilization-controls-2/