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06 Sep 2013

06 Sep 2013. Information Technology Audits: Western Cape Widaad Solomons (Senior Manager – Information Systems Audit). Reputation promise/mission. The Auditor-General of South Africa has a constitutional mandate and,

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06 Sep 2013

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  1. 06 Sep 2013 Information Technology Audits: Western CapeWidaad Solomons (Senior Manager – Information Systems Audit)

  2. Reputation promise/mission The Auditor-General of South Africa has a constitutional mandate and, as the Supreme Audit Institution (SAI) of South Africa, it exists to strengthen our country’s democracy by enabling oversight, accountability and governance in the public sector through auditing, thereby building public confidence.

  3. Audit Objective Assess IT Controls Support RA Regulations (PFMA, MFMA, Public Service Regulations) International Standards on Auditing (ISA 315 & ISA330)

  4. Types of IT Audits • General Controls Review • IT Audit of Predetermined Objectives (AOPO) • Application Controls Review • IT Audits • Project Assurance (SDLC) • Data Analytics • ERP Reviews • Network Security

  5. 2011-12: Municipalities Audited

  6. 2011-12: General Controls Review Focus Areas • IT Governance • Security Management • TEST OF CONTROLS: • Design • Implementation • Operating Effectiveness • User Access Control • IT Service Continuity

  7. 2011-12: IT Governance (SLAs, monitoring, IT Gov Framework, IT Risk Mgmt)

  8. 2011-12: Security Management (IT security policy, password settings)

  9. 2011-12: User Access Control (Policy, access requests, monitoring)

  10. 2011-12: IT Service Continuity (DRP, policy, backups, testing)

  11. Root Causes

  12. Key Role Players

  13. Quick Wins IT Governance - All municipalities to ensure proper SLA’s are entered into with IT service providers including district municipalities as well as the monitoring thereof. Alignment / adoption of IT Governance framework that was approved by DPSA Security Management - IT security policy to be developed and implemented by all municipalities and Information Security Officer can be shared by all municipalities within a district User access management - User access policies and procedures to be developed at all municipalities and period review of user access. IT service continuity planning - Backup and retention procedures to be developed and implemented to ensure critical data backup occurs, data is taken off-site and it’s recoverability is tested

  14. 2012-13 Audit Scope • Full coverage (30 Municipalities): • ISA Audit • RA Checklist

  15. 2012-13 Audit Scope

  16. 2012-13 Audit Approach • 1 • Follow up on 2011-12 findings • 2 • If progress, perform full audit • 3 • If no progress, NO EXECUTION • 4 • Reporting

  17. QUESTIONS?

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