A successful risk management strategy requires a strong internal control environment. The risk control matrix (RCM) format emphasizes that strong and risk-oriented internal control environments are often optimized with automated/manual controls, depending on the situation.
An RCM provides an overview of different control objectives that organizations should take into consideration and the corresponding controls to safeguard the company against risks, which may arise if not checked timely. Once customized to an organization, this document can help the user in assessing each control. The control assessment can then also be summarized to develop an action plan.
This document outlines risks and controls common to the [4.6 Support End Users] process in a risk control matrix (RCM) format.
Sample risks include:
Issues may not be handled consistently, impairing the efficiency and effectiveness of business processes.
The lack of adequate user problem reporting and analysis may impair informed decision-making by IT management and continuous improvement of IT services to key users and business processes.
The lack of effective and robust integration of the help desk function with other IT infrastructure management functions may impair the organization’s ability to manage IT on an enterprise basis.
Users may create inefficiencies by directly accessing IT personnel, distracting them from the performance of tasks that benefit the entire business organization, and by promoting trial-and-error responses to problems requiring more holistic solutions.
Users may avoid using the help desk for IT issues, which may tarnish the overall image of the IT organization, resulting in a sub-optimized return on IT investments.
This document can be used as a sample RCM and is not meant to be an exhaustive list of risks and controls. The KnowledgeLeader team will periodically update this RCM with new content. Organizations should select, update and modify the risks and controls included in this document to ensure that it reflects business operations.