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This report is intended for use by the management of the Variable Annuity Life Insurance Company ("VALIC") and its subsidiaries.
VALIC Retirement Services Company ("VRSCO") and VALIC Financial Advisors, Inc. ("VFA"), its user entities, and the independent
auditors of its user entities, and is not intended and should not be used by anyone other than these specified parties.
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Backup of Program and Data Files
Control Objective 15
- Controls provide reasonable assurance that backup jobs are monitored and deviations are
identified and resolved.
VALIC Control Activities
Tests of Operating Effectiveness
Results of Tests
15.1 Monitoring procedures are in
place to provide for the resolution
of failed mainframe backup
jobs. The on-call programmer
is notified of any failed jobs and
is responsible for correcting
the problem and restarting the
backup job.
Inspected a sample of V-System
production backup jobs to determine
whether the failed backup jobs
were documented in the ticketing
system and reported to the on-call
programmer, corrected, and restarted.
No exceptions noted.
15.2 Backups are monitored to ensure
completeness of processing.
Errors are monitored, logged,
resolved and documentation of
the resolution is maintained.
For a sample of Mainframe LPARs,
inspected that backups were
configured to occur on a weekly basis.
For a sample of OpenSystem
servers, inspected that backups
were configured to occur on a daily
incremental/full weekly, or other
appropriate frequency as defined by
the business.
For a sample of backups to Mainframe
systems, inspected backup logs for
evidence that backups are available
for restoration and that errors are
monitored, logged, resolved, and that
documentation of the resolution is
maintained.
For a sample of backups to
OpenSystems, inspected backup logs
for evidence that backups are available
for restoration and that errors are
monitored, logged, resolved, and that
documentation of the resolution is
maintained.
No exceptions noted.
No exceptions noted.
No exceptions noted.
No exceptions noted.
IV. VALIC control objectives and controls, and PricewaterhouseCoopers LLP's tests of operating
effectiveness and results of tests