IT Strategic and Operational Controls

This book provides a comprehensive guide to implementing an integrated and flexible set of IT controls in a systematic way. It can help organisations to formulate a complete culture for all areas which must be supervised and controlled; allowing them to simultaneously ensure a secure, high standard whilst striving to obtain the strategic and operational goals of the company. Making use of a clear and pragmatic presentation, this book provides a thorough description of all elements of IT controls in a systematic and detailed way, allowing managers, IT professionals, practitioners and auditors to customise examples to their own specific purpose. It is a comprehensive tool for anyone who wishes to cement their understanding of IT controls and, most importantly, for those who aim to realise the full capacity of information systems, whilst rigorously controlling the concomitant risks.

Table of Contents:
Chapter 1: IT ORGANISATION CONTROLS 1.1 Scope 1.2 Purpose and main types of IT organisation controls 1.3 IT department functional description controls 1.4 IT organisation controls 1.5 IT vision, mission and values statements 1.6 IT governance and control frameworks 1.7 Monitoring and review controls 1.8 IT organisation performance measures 1.9 Review and audit tools and techniques 1.10 Conclusion 1.11 Review questions Chapter 2: IT ADMINISTRATION CONTROLS 2.1 Scope 2.2 Purpose and main types of IT administration controls 2.3 IT standards, policies and procedures 2.4 IT budget 2.5 IT asset controls 2.6 IT personnel management controls 2.7 IT purchasing controls 2.8 IT office administration controls 2.9 Monitoring and review controls 2.10 IT administration performance measures 2.11 Review and audit tools and techniques 2.12 Conclusion 2.13 Review questions Chapter 3: ENTERPRISE ARCHITECTURE CONTROLS 3.1 Scope 3.2 Purpose and main types of Enterprise Architecture controls 3.3 Enterprise Architecture (EA) description controls 3.4 Management plan for designing and implementing an Enterprise Architecture (EA) framework 3.5 Enterprise Architecture development roles 3.6 Formulating and documenting the Enterprise Architecture elements 3.7 Other Enterprise Architecture business-related controls 3.8 Enterprise Architecture IT-related controls 3.9 Monitoring and review controls 3.10 Review and audit tools and techniques 3.11 Conclusion 3.12 Review questions Chapter 4: IT STRATEGIC CONTROLS 4.1 Scope 4.2 Characteristics of strategy 4.3 Purpose and main types of IT strategic controls 4.4 IT strategic process controls 4.5 IT strategy implementation controls 4.6 IT strategic performance management controls 4.7 Monitoring and review controls 4.8 Review and audit tools and techniques 4.9 Conclusion 4.10 Review questions Chapter 5: SYSTEM DEVELOPMENT CONTROLS 5.1 Scope 5.2 Purpose and main types of system development controls 5.3 Application systems development process controls 5.4 System development quality controls 5.5 Change management controls 5.6 Systems development personnel controls 5.7 Monitoring and review controls 5.8 Systems development performance measures 5.9 Review and audit tools and techniques 5.10 Conclusion 5.11 Review questions Chapter 6: IT SECURITY CONTROLS 6.1 Scope 6.2 Purpose and main types of IT security controls 6.3 IT security governance guidelines, standards and legal frameworks 6.4 IT security plans and policies 6.5 IT security procedures and practices 6.6 Specialised IT security hardware and software protection controls 6.7 Evaluation and monitoring controls of IT security 6.8 IT security performance measures 6.9 Review and audit tools and techniques 6.10 Conclusion 6.11 Review questions Chapter 7: DATA CENTRE OPERATIONAL AND SUPPORT CONTROLS 7.1 Scope 7.2 Purpose and main types of data centre operational and support controls 7.3 Data centre design and infrastructural controls 7.4 Data centre physical access controls 7.5 Computer hardware management controls 7.6 IT contingency planning and disaster recovery controls 7.7 Monitoring and review controls 7.8 IT operational performance measures Contents 7.9 Review and audit tools and techniques 7.10 Conclusion 7.11 Review questions Chapter 8: SYSTEMS SOFTWARE CONTROLS 8.1 Scope 8.2 Purpose and main types of systems software controls 8.3 Systems software operating environment controls 8.4 Database controls 8.5 Data communications controls 8.6 Audit trail log file controls 8.7 Monitoring and review controls 8.8 IT technical performance measures 8.9 Review and audit tools and techniques 8.10 Conclusion 8.11 Review questions Chapter 9: IT APPLICATION CONTROLS 9.1 Scope 9.2 Purpose and main types of IT application controls 9.3 Input, processing and output controls 9.4 IT application database, operation, change and testing controls 9.5 End-user computing controls 9.6 Monitoring and review controls 9.7 IT application performance measures 9.8 Review and audit tools and techniques 9.9 Conclusion 9.10 Review questions Chapter 10: USING IT CONTROLS IN AUDIT AND CONSULTING ASSIGNMENTS 10.1 Scope 10.2 Purpose 10.3 Retail operation: IT strategy case study Contents 10.4 Trading company: applications controls case study 10.5 Public organisation: IT security case study 10.6 IT audit assignment for organisation 'ABCXYZ' 10.7 IT policies and procedures review for company 'ABCXXYX' 10.8 Final conclusion APPENDICES: EXAMPLES OF POLICIES, GUIDELINES, FORMS AND METHODOLOGIES Appendix 1: Examples of IT security policies Appendix 2: Example of IT ethics code Appendix 3: Monitoring IT controls checklist Appendix 4: Examples of IT forms Appendix 5: IT audit methodology Appendix 6: IT audit areas Appendix 7: Internal audit report example FURTHER RESOURCES Books and articles Other resources ITG Resources

About the Author :
John Kyriazoglou obtained a certificate in computer programming and data processing from a technical college in Hamilton, Canada, a BA (Honours) in Computer Science and with a minor in Economics from the University of Toronto, Canada, also earning the 1975 Scholastic award for Academic Excellence in Computer Science, and a MS in Data Processing from the Pacific University, USA. John has worked in Canada, Europe (England, Switzerland, Luxembourg, Greece, etc.) and the Middle East for over 35 years as a senior IT manager, IT auditor, Group EDP Internal Audit Manager and senior management consultant, for a variety of clients and projects, in both the private and public sectors. John has published over 20 articles in professional publications, has served on numerous scientific committees, is a member of ISACA, the Institute for Internal Controls, Inc. (USA), and other professional and cultural associations, and provides courses in IT Auditing, Security and Electronic Crime Prevention.