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sox audit

General Controls

Ensure that IT policies and procedures are documented and up to date

Verify that management has assigned IT responsibilities and established reporting lines

Review the IT organizational structure and ensure segregation of duties

Assess the adequacy of IT change management processes

Evaluate the effectiveness of IT incident management and problem resolution procedures

Validate the existence of a disaster recovery plan and its regular testing

Confirm the presence of IT security controls and their alignment with industry standards

Access Controls

Review user access rights and permissions, ensuring they are appropriate and properly authorized

Validate the existence of a process for granting, modifying, and revoking user access

Assess the effectiveness of password management controls, including complexity requirements and periodic resets

Verify the presence of multi-factor authentication for critical systems

Evaluate user access termination procedures to ensure prompt removal of access rights

Confirm the implementation of access controls for privileged users and administrators

Application Controls

Assess the adequacy of application controls for critical systems

Review application change management processes to ensure proper testing and documentation

Validate the existence of user acceptance testing and its alignment with business requirements

Evaluate the effectiveness of application security controls, such as input validation and encryption

Confirm the presence of audit trails and their regular review

Assess the adequacy of data backup and recovery procedures for critical applications

IT Operations

Review IT operations procedures, including system monitoring and performance management

Validate the presence of system documentation and configuration management processes

Assess the effectiveness of IT asset management, including hardware and software inventory

Confirm the existence of patch management processes and their regular implementation

Evaluate the adequacy of system backups, including offsite storage and periodic restoration tests

Verify the implementation of network security controls, such as firewalls and intrusion detection systems

IT Vendor Management

Assess the adequacy of IT vendor selection and due diligence processes

Review vendor contracts and service level agreements to ensure compliance with regulatory requirements

Validate the existence of monitoring and oversight processes for IT vendors

Evaluate the effectiveness of vendor performance management and issue resolution procedures

Confirm the presence of a process for reviewing and approving changes made by IT vendors

Assess the adequacy of IT vendor termination procedures and the removal of vendor access rights

IT Compliance Monitoring and Reporting

Review IT compliance monitoring processes, including regular assessments and testing

Validate the existence of IT compliance reporting mechanisms for management and auditors

Evaluate the effectiveness of IT compliance issue escalation and resolution procedures

Confirm the presence of IT compliance training and awareness programs

Assess the adequacy of IT compliance documentation and record-keeping practices

Verify the implementation of continuous monitoring and auditing tools for IT controls

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