1. I NFORMATION T ECHNOLOGY G ENERAL C ONTROLS A UDIT CA. Dr. K. Paul Jayakar M.com., FCA, Ph.D., DIRM, CRISC Director IT & RMS, Brahmayya & Co. 2 nd September 2015

2. Today’s overview

3. 1.PLANNING AND DESIGN 2.ACCESS CONTROL 3.CONFIGURATION AND MANAGEMENT 4.APPLICATIONS 5.DATA INTEGRITY AND SECURITY 6.MONITORING AND LOGGING 7.PHYSICAL SECURITY 8.CONTINGENCY PLANNING AND DISASTER PREPAREDNESS 9.POLICY 10.THIRD PARTIES

4. Learning Objectives Technology Procedure Policies Benefits

5. 1. Planning And Design

6. a.Classifying Data b.Risk Management c.Topology d.Data flow

7. 2. Access Control

8. a.Identify Users, System Administrators, Developers b.Access Control Administration: Authorization and Access Granting Authority c.Authentication and Authorization d.VPN/Remote Access e.Host Interfaces f.Network Access Control Devices

9. 3. Configuration And Management

10. a.Host Configuration b.Network Device Configuration c.Application and Database Configuration d.Change Control e.Patching and Anti-virus f.System Validation

11. 4. Applications

12. 5. Data Integrity And Security

13. 6. Monitoring And Logging

14. a.Application, Database, System, Network, and Device Logs b.Log Maintenance and Review c.Intrusion Detection d.Testing

15. 7. Physical Security

16. 8. Contingency Planning And Disaster Preparedness

17. a.Contingency Planning b.Non-production Environments c.Backups

18. 9 Policy

19. 10 Third Parties

20. New Environment

21. N EW O PPORTUNITIES

22. New Opportunities The technology learning curve

23. Time Spent Projects Worked On Get Familiar Achieve Mastery Working Toward Mastery Get Experienced

24. Doing Your Best Work Working from home Working offsite Technology requirements

25. Summary Define your challenges – Technological as well as personal Set realistic expectation – Mastery is not achieved overnight Keep your eye on the goal – Mentorship programs

26. Resources ICAI icai.org ; cit.icai.org IIA theiia.org ISACA isaca.org

27. Q UESTIONS ?

28. T HANK YOU