Manage Computer Operations Standard Controls

ITGC Section Control Overview Control Type

Manage Operation Job Scheduling and Monitoring Hybrid

Backup and Recovery

Manage Operation Hybrid
Monitoring

Standard Sample Methodology

Frequency Population Sample Size

10% of total population
Daily or more than
365+ (minimum 5 and
daily
maximum 25)
Weekly 52 5
Monthly 12 2
Quarterly 4 2
Half yearly 2 2
Annual 1 1
Ad-Hoc As required
 Control Description

Controls testing batch jobs involve assessing the operations of scheduling, processing, and
monitoring of the batch job. The schedule of when the batch job runs could be critical for
operations because the data could be used for time sensitive business decisions.

Inquire and obtain evidence from the batch job tool administrator to check that jobs are
monitored and errors are resolved. Evidence to show that jobs are monitored could be of
the automated job email notifications or screenshots of a dashboard for job results. It’s
important to check that the email notification configuration by the batch job tool to ensure
the correct people to resolve batch job issues are receiving the email alerts for job errors.

IT backup tools are required to be configured appropriately to backup critical company

data. Typically, there are a few backup methods and time frames for when data is backed
up such as a full backup (all data backed up, requires a lot of data storage), differential
backup (new data since full backup will be backed up, slower to restore data), and
incremental backup (new/changed data backed up based on the last incremental backup,
slower to restore data). It’s important to make sure the data is actually backed up through
the backup tool configuration or a report of the backup results (success or fail) and that
action is performed when backups fail.
Source of Population How to get population?

System screenshot is obtained for:

-> Job scheduling configuration
-> Job failure notification configuration
System Screenshot
System users list is required to be obtained to verify that
only authorized users has the privilege to change job
scheduling configuration

System screenshot is obtained for:

-> Backup schedule configuration
-> Backup failure notification configuration
System Screenshot
System failure list is required to be obtained to verify that
backup failures were successfully resolved
 ITGC Standard Template
Workpaper ITGC Section
Year Control Overview
Client Control Frequency

Controls testing batch jobs involve assessing the operations of scheduling

monitoring of the batch job. The schedule of when the batch job runs co
operations because the data could be used for time sensitive busine

Control Description Inquire and obtain evidence from the batch job tool administrator to che
monitored and errors are resolved. Evidence to show that jobs are monito
automated job email notifications or screenshots of a dashboard for job re
to check that the email notification configuration by the batch job tool to e
people to resolve batch job issues are receiving the email alerts fo

Testing Questionarrie
Source of Population
Population Size
How Population is assessed to be
complete and accurate?
Sample Size
Sample size rationale
Sample selection procedure

Attribute Testing Analysis

Job Name Job Frequency Job Failure Date

Attribute details
Attribute A Verify that the critical jobs are scheduled as per the required opera
Attribute B Verify that the critical job failure is documented and monitored for

Tickmark details
X No exception noted
Y Exception Noted
N/A Not applicable

Conclusion
Control Effectiveness
Was any deviation noted?
 Explanation (only if any deviation is noted during the
controls testing and overall conclusion is still effective)
ate
Manage Operation
Job Scheduling and Monitoring

sing the operations of scheduling, processing, and

e of when the batch job runs could be critical for
e used for time sensitive business decisions.

atch job tool administrator to check that jobs are

ce to show that jobs are monitored could be of the
nshots of a dashboard for job results. It’s important
uration by the batch job tool to ensure the correct
are receiving the email alerts for job errors.

ibute Testing Analysis

Job Resolution
Incident Ticket Attribute A Attribute B
Date

duled as per the required operational policy

documented and monitored for resolution

ception noted
eption Noted
t applicable
Job Scheduling Evidence

Job Failure notification evidence

 Job Monitoring Ticket
Incident Ticket #INC5072
Job Name Users_List
Job Frequency 10 minutes
Job Failure Date 13-Mar-19
Job Failure Time 11:21
Job Notification Team System Admins
Job Resolution Time Resolved
Job successful notification evidence
 ITGC Standard Template
Workpaper ITGC Section
Year Control Overview
Client Control Frequency

IT backup tools are required to be configured appropriately to backup criti

Typically, there are a few backup methods and time frames for when data
as a full backup (all data backed up, requires a lot of data storage), differe
data since full backup will be backed up, slower to restore data), and inc
Control Description
(new/changed data backed up based on the last incremental backup, slow
It’s important to make sure the data is actually backed up through th
configuration or a report of the backup results (success or fail) and that a
when backups fail.

Testing Questionarrie
Source of Population
Population Size
How Population is assessed to be
complete and accurate?
Sample Size
Sample size rationale
Sample selection procedure

Attribute Testing Analysis

Backup Name Backup Frequency Backup Failure Date

Attribute details
Attribute A Verify that the bakups are scheduled as per the required operatio
Attribute B Verify that the backup failure is documented and monitored for r

Tickmark details
X No exception noted
Y Exception Noted
N/A Not applicable

Conclusion
Control Effectiveness
Was any deviation noted?
 Explanation (only if any deviation is noted during the
controls testing and overall conclusion is still effective)
ate
Manage Operation
Backup and Recovery Monitoring

red appropriately to backup critical company data.

and time frames for when data is backed up such
res a lot of data storage), differential backup (new
slower to restore data), and incremental backup
he last incremental backup, slower to restore data).
s actually backed up through the backup tool
sults (success or fail) and that action is performed
backups fail.

tribute Testing Analysis

Backup Resolution
Incident Ticket Attribute A Attribute B
Date

uled as per the required operational policy

documented and monitored for resolution

ception noted
eption Noted
t applicable
Backup schedule evidence

Backup Failure notification evidence

 Backup Monitoring Ticket
Incident Ticket #INC3082
Backup Name MES_DW2_PROD
Backup Frequency Daily
Backup Failure Date 14-Apr-18
Backup Notification Tea System Admins
Backup Resolution Time Resolved
Backup successful notification evidence