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> describe checlist for audit using ITGC framework
describe checlist for audit using ITGC framework
1. Planning Phase
Define audit objectives and scope
Identify key stakeholders
Gather relevant documentation (policies, procedures, system architecture)
Schedule audit activities and resources
2. Control Environment Assessment
Evaluate organizational structure and governance
Review management's philosophy and operating style
Assess risk management processes
Analyze communication channels and effectiveness
3. IT General Controls Assessment
Review access controls (user access management, authentication)
Assess change management processes (approval, testing, implementation)
Evaluate backup and recovery procedures (data integrity, testing)
Examine system development lifecycle controls (development, testing, deployment)
4. Information Security Controls
Review data encryption practices
Assess network security measures (firewalls, intrusion detection)
Evaluate incident response procedures (reporting, resolution)
Analyze physical security controls (access to data centers, hardware protection)
5. Monitoring and Reporting
Assess monitoring activities (automated tools, manual reviews)
Review incident logs and reports
Evaluate vulnerability assessment and penetration testing results
Examine compliance with regulatory requirements (GDPR, HIPAA)
6. Documentation and Reporting
Compile findings and evidence
Prepare audit report with recommendations
Review report with stakeholders for feedback
Finalize and distribute the audit report
7. Follow-up and Remediation
Establish a follow-up plan for addressing findings
Monitor remediation progress and effectiveness
Schedule subsequent audits to ensure continuous improvement
Document lessons learned for future audits
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