Course Information
Audit 101 Training - IT General Controls
Parking for SAO, Professional Development courses is in Garage B (1511 San Jacinto Blvd.). The Garage signage may read 1511 San Jacinto or Garage B. The elevator in Garage B is not reliable. If you are unable to walk the stairs, please contact the professionaldevelopment@sao.texas.gov for alternate parking arrangements. Handicapped parking is free at the meters around the downtown area.
A course coordinator will Email you a parking permit prior to the course start date. A permit must be displayed or you will be ticketed.
Course Description
All auditors, either financial, operational or IT come into contact with IT processes and outputs. Understanding how the area being audited is crucial to performing a comprehensive and valuable engagement. For the new auditors (or possibly individuals pursuing a degree in accounting / auditing) this training will discuss the various aspects of being an auditor, roles and responsibilities, day in the life of an auditor and career advancement. For the more seasoned auditor, numerous companies are focusing their reviews on the latest in technology, cloud computing, cybersecurity, etc. The entire concept of general controls has been overlooked so this is a perfect primer for these individuals to get “back to basics” and remember some of the things they may have “forgotten”.
After the general audit and IT overviews are completed, the training will shift to Information Technology and look at the various control models, the need for controls and risk management. This last section will be devoted to the details for the general control framework needed in any IT Organization and discuss 12 IT General controls. Each control section will describe the need for the control, how it should be developed and what the auditor should look for during any involvement in those areas.
Course Objectives
Upon completion of this course, participants will be able to:
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Better understand the need for IT Controls
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Understand the basics of ech general control discussed
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Understand the basic controls for each of the areas discussed
Course Outline
Begin with an overview of ERM and the Role of Audit
Control frameworks
Change Control
Release Management
Security
Operations
8 other control areas
Instructors
John Gatto was with Health Care Service Corporation (HCSC) in Chicago, IL from December, 2005 until his retirement in January, 2015. He was the Divisional Vice President, Audit Services and was responsible for all aspects of IT Audit for the five Blue Cross Blue Shield Plans comprising HCSC (Illinois, Texas, Montana, New Mexico and Oklahoma) and encompasses NAIC / MAR compliance and testing, risk based audits, advisory engagements for new development projects, coordination of SOC-1 and SOC-2 reviews and E&Y Year-End Financial Audits. John was a member of a number of Steering Committees within the IT area of HCSC.
Prior to HCSC, John worked at Federal-Mogul in Michigan as the SOX coordination supervisor, Avery Dennison in California as a Project Manager, and spent 13 years with Horizon BlueCross BlueShield of New Jersey, where he was Director of Systems Audit, Customer Audit and Operations Audit.
John has over 45 years of audit experience, most of it in the IT Audit arena. He is a CISA and CRISC and has his MBA from Fairleigh-Dickinson University in New Jersey. John is a frequent speaker for the BCBSA, IIA and ISACA organizations. In 2010 he was named “Educator of the Year” by the Chicago Chapter of the IIA.
In 2016, John spoke at SAO Conference, and at various ISACA Chapters in South Carolina, North Carolina, Harrisburg, New Jersey, Minnesota, Chicago and Central Florida.
Additional Information
TAC Rule 523.142(g) requires the CPE Sponsor to monitor individual attendance and assign the correct number of CPE credits. Participants will be asked to document their time of arrival and departure in compliance with this Rule. Additionally, attendance will be monitored throughout the day and CPE certificates will reflect actual attendance of each participant.
If you are making travel plans to come to Austin, we recommend making "refundable" air and hotel reservations or waiting until 14 days before the class to actually book your reservations. Courses are occasionally canceled or rescheduled due to low enrollment. We determine whether a course has enough participants 16 days prior to the course date. If we cancel or reschedule, we will email the participant and his or her billing contact no later than 14 days before the original class date.
The course coordinator will contact you with parking information. Handicapped parking is free at the meters around the downtown area.
Vending machines with Coca-Cola products and various snack items are available. There is also a refrigerator and microwave in our coffee bar area. Feel free to bring in your own drinks and food if you prefer.
You might want to bring a light sweater or jacket, as room temperatures vary.
To see answers to our Frequently Asked Questions, visit http://www.sao.texas.gov/training/faq.html.