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Chapter 17: Using Tools and Techniques in IT Operation Reviews

Chapter 17: Using Tools and Techniques in IT Operation Reviews. MBAD 7090. Objectives. Review of CAATTs Four areas System maintainance Operation system SAP ISO. Using CAATTs in the Audit. Applications: Generalized audit software Application development tools Query tools

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Chapter 17: Using Tools and Techniques in IT Operation Reviews

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  1. Chapter 17: Using Tools and Techniques in IT Operation Reviews MBAD 7090 IS Security, Audit, and Control (Dr. Zhao)

  2. Objectives • Review of CAATTs • Four areas • System maintainance • Operation system • SAP • ISO IS Security, Audit, and Control (Dr. Zhao)

  3. Using CAATTs in the Audit • Applications: • Generalized audit software • Application development tools • Query tools • Analysis tools • IT operation testing and diagnosis tools • Examples: • Axent* for examination and review of client server controls • ACL for data extraction and analysis • Recovery PAC for assessment of disaster recovery • SSA-Name3 for data warehousing control assessment IS Security, Audit, and Control (Dr. Zhao)

  4. Web Metrics • Computer Assisted Tools and Techniques for Evaluating and Auditing Websites • Web performance statistics • broken links, missing pages and page components • Download time, transaction time, availability • Number of commercial tools available • Work / Research done by NIST • web site (http://zing.ncsl.nist.gov/webmet/) IS Security, Audit, and Control (Dr. Zhao)

  5. Web Metrics IS Security, Audit, and Control (Dr. Zhao)

  6. IS Security, Audit, and Control (Dr. Zhao)

  7. IS Security, Audit, and Control (Dr. Zhao)

  8. Systems Maintenance • Systems hardware • Systems software • Database software • Applications software • Environmental areas • Network software • Network hardware IS Security, Audit, and Control (Dr. Zhao)

  9. Systems Maintenance • Change Control • Points of change • Approval points • Changes to documentation • Review points • Continuous monitoring, use of diagnostic tools to monitor network, analyze throughput IS Security, Audit, and Control (Dr. Zhao)

  10. Operating Systems • Operating systems control and interact with: • Systems utilities • Program library systems • File maintenance systems • Security software • Data communications systems • Database management systems IS Security, Audit, and Control (Dr. Zhao)

  11. Operating Systems Review Points • Controlling access • Controlling changes • Monitoring changes • Verification and validation of changes • Recovery controls work IS Security, Audit, and Control (Dr. Zhao)

  12. SAP Operational Review Points at Implementation • Understanding Corporate culture • An enterprise wide implementation • Understood and complete process change • Require reenginerring • SAP project manager competence • Project methodology • Training • Commitment to the change IS Security, Audit, and Control (Dr. Zhao)

  13. SAP Review Points in Operation • Administrative controls • Accountability • Access controls • Confidential, integrity and security management • EDI and Internet security IS Security, Audit, and Control (Dr. Zhao)

  14. ISO 9001 Review • Quality system in five areas • documentation • practices • records • audits • corrective actions IS Security, Audit, and Control (Dr. Zhao)

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