Title slide (default type size = 60 pt Times New Roman)

Dec 11, 2012

Job Scheduling and Back-up ControlsQuality Workshop0#

Session dos and don'tsCell phones on silent mode/switched offPlease avoid cross-talk Feel free to ask questions in case of doubtLaptops would not be required1

Agenda2IntroductionIT Risks and IT ConsiderationJob Scheduling ControlsBackup ControlsGeneral PitfallsQuestion and Answers

Introduction3Job Scheduling Scheduling jobs for Processing AutomationPool system resources & MultitaskingSystem throughput & Job waitingJob schedulersTivoli (Linux)Control-M Tidal Enterprise SchedulerZeke (Mainframe)

Example Screenshot/Evidence of each

IntroductionBackups Backing up data as part of Business Continuity PlanTypes of BackupsIncremental / Full BackupFrequency Daily/Weekly/Monthly/AnnualTape Backup/ Replication or MirroringTape Backups Iron MountainVirtual Backup Symantec NetBackup4Example Screenshot/Evidence of eachIT Risk - ConsiderationIT ConsiderationsIT RiskScheduling and monitoring of processing jobsData recorded, processed, and reported may not remain complete, accurate and valid throughout the update and storage process. Further, unauthorized changes to scheduled data transfers between systems could result in inaccurate processing of financial data. Reliance on systems or programs that are inaccurately processing data, processing inaccurate data, or both, could impact management's ability to effectively utilize data within such systems. Access to job schedulerBackup scheduling and monitoringData is not appropriately maintained such that financial data remains complete, accurate, and valid during the storage process. Potential loss of data could impact management's ability to effectively utilize data within such systems. Offsite storage of backup mediaRestorability of backups5

Job Scheduling ControlUSGENGC1000 Operations are appropriately managed to support the scheduling, execution, monitoring, and continuity of IT programs and processes for the complete, accurate, and valid processing and recording of financial transactions. Control ActivitiesUSGENGC100 Batch and online processing procedures are defined and executed so that jobs and/or transactions are processed to normal completion or are recovered and reprocessed.USGENGC101 Automated scheduling tools have been implemented for the authorization and completeness of the flow of processing. Management approves all changes to the job schedule.USGENGC102 Processing is monitored by management for successful and timely completion. Exceptions to normal processing are reviewed by management, and promptly resolved to provide for accurate, complete and authorized processing.USGENGC103 Transaction logs are used to track processing through the system and are used to verify the authorization and integrity of real-time processing performed.USGENGC109 Access to production processing control language, automated scheduling tools, and executable programs is defined to restrict the ability to execute, modify, delete, or create to appropriate individuals.6

Backup ControlsUSGENGC1010 Data is appropriately managed to provide reasonable assurance that financial data remains complete, accurate, and valid throughout the update and storage process.Control ActivitiesUSGENGC111 Management and users plan and schedule backup and retention of data and erasure and release of media when retention is no longer required. Management periodically reviews retention and releases records.USGENGC112 Automated data retention tools have been approved by management and implemented to manage the backup and retention data plan and schedule.USGENGC113 All media (tapes, manuals, guides) are properly labeled and timely stored in a secured environmentally controlled location to minimize risk that data is lost.USGENGC114 Backups are archived off-site to minimize risk that data is lost.USGENGC115 Ongoing readability of backup and retained data is tested periodically through restoration or other methods.7Common PitfallsType of control?Manual v/s Automated v/s BothScheduling v/s Monitoring?Need to check the job schedule prior to the logsFailed Jobs?Sampling

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=Evidences to be obtainedJob Schedule ScreenshotJob completion Logs NotificationsResolution of failed backup jobs Incident TicketsJob re-runBackup Schedules and policy Frequency Incremental/Full

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Testing exampleSample test sheet and evidences10Describe the key components of an individual workpaper

Note: Conclusions are needed for testing workpapers, not informational workpapers.In electronic workpapers, Audit Engagement, FYE, Title, and Sign-Offs should not be manually entered on the document itself as they are included by virtue of inclusion in the indexPoint Out: For PBC items, we need to specifically indicate the date the materials were provided by the client. This helps to protect us if there are future changes to the PBC items (e.g., the client changes something after they provided the information to us).

eed to include a sample test sheet and evidencesRemember:

If you dont have time to do it right the first time,when will you have time to do it over?#11Self-Explanatory

Question & Answers Session

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