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ITGC audit checklist

General Controls

Change Management

Are change management processes defined and documented?

Are change requests properly authorized and approved?

Is there a segregation of duties between change initiation, approval, and implementation?

Are changes tested and documented before implementation?

Is there a process to review and approve emergency changes?

Access Controls

Are user access rights granted based on job roles and responsibilities?

Is there a process to grant, modify, and revoke user access?

Are user access rights periodically reviewed and recertified?

Is there a process to handle user access requests and terminations?

Are strong password policies and controls in place?

Physical and Environmental Controls

Are physical access controls implemented to secure data centers and server rooms?

Is there a process to monitor and log physical access activities?

Are environmental controls (e.g., temperature, humidity) in place to protect IT infrastructure?

Are fire detection and suppression systems installed and tested regularly?

Is there a process to handle equipment disposal and destruction?

Backup and Recovery

Is there a documented backup and recovery policy?

Are backups performed regularly and tested for data integrity?

Is there a process to handle backup media storage and offsite rotation?

Are data restoration procedures documented and tested?

Is backup data encrypted and protected from unauthorized access?

Application Controls

User Access Management

Is there a process to manage user access to applications?

Are user access rights aligned with job roles and responsibilities?

Is there a process to review and approve user access requests?

Are user access rights periodically reviewed and recertified?

Are strong authentication mechanisms (e.g., multi-factor authentication) implemented?

Data Input and Processing Controls

Are there controls in place to validate and verify data input?

Is there a process to handle data exceptions and errors?

Are data integrity controls implemented during data processing?

Is there segregation of duties between data input, processing, and verification?

Are data backups taken before and after critical data processing?

Output and Reporting Controls

Are there controls to ensure accurate and complete output generation?

Is there a process to review and reconcile output reports?

Are access controls implemented to restrict access to sensitive reports?

Are reports securely transmitted and stored?

Are report generation and distribution logs maintained?

IT Operations Controls

Incident and Problem Management

Is there a process to log and track IT incidents and problems?

Are incidents and problems prioritized and resolved in a timely manner?

Is there a process to investigate and report major incidents?

Are root cause analyses performed for recurring incidents?

Is there a knowledge base for incident and problem resolution?

IT Asset Management

Is there an inventory of IT assets, including hardware and software?

Are IT assets properly labeled and tracked throughout their lifecycle?

Is there a process to handle IT asset procurement, deployment, and retirement?

Are software licenses adequately managed and monitored?

Is there a process to handle software updates and patches?

System Monitoring and Performance Management

Is there a system to monitor and track system performance?

Are performance baselines established and monitored?

Is there a process to identify and resolve performance bottlenecks?

Are system logs regularly reviewed for security incidents?

Are system and network resources adequately allocated and managed?

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