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Application Controls

1. Identification of Application Controls

Identify critical applications within the organization.

Document the purpose and functionality of each application.

Determine the data inputs and outputs for each application.

2. Control Environment Assessment

Evaluate the overall control environment of the organization.

Assess the governance framework related to application controls.

Review policies and procedures relevant to application controls.

3. Access Controls

Verify user access management procedures.

Ensure appropriate user roles and permissions are defined.

Conduct regular reviews of user access rights.

4. Input Controls

Assess validation rules for data entry.

Confirm that data input processes are secure and accurate.

Review mechanisms for preventing unauthorized data input.

5. Processing Controls

Evaluate logic and processing accuracy within the application.

Ensure that transaction processing is complete and accurate.

Verify that exception handling procedures are in place.

6. Output Controls

Review the accuracy and integrity of generated reports.

Check for secure distribution of sensitive outputs.

Assess controls over the archiving and retention of output data.

7. Change Management Controls

Evaluate the change management process for applications.

Ensure that changes are documented, tested, and approved.

Review rollback procedures for failed changes.

8. Monitoring and Review

Establish ongoing monitoring processes for application controls.

Conduct regular audits and reviews of application control effectiveness.

Implement feedback mechanisms for continuous improvement.

9. Documentation and Training

Ensure that all application control procedures are well-documented.

Provide training for staff on application control policies and procedures.

Maintain documentation of training sessions and materials.

10. Incident Management

Develop procedures for reporting and managing control failures.

Ensure that incidents are logged, investigated, and resolved.

Review lessons learned and update controls accordingly.

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