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ITGC audit

1. Audit Preparation

Establish the audit objectives and goals.

Gather relevant documentation, including policies, procedures, and previous audit findings.

Identify key personnel involved in the IT environment.

Develop a detailed audit plan outlining methodologies and timelines.

2. Understanding the IT Environment

Map out the IT infrastructure and systems in use.

Identify critical business applications and their dependencies.

Review network architecture and data flow diagrams.

Evaluate third-party service providers and their roles in the IT environment.

3. Control Framework Review

Assess the design and implementation of IT general controls (ITGCs).

Evaluate the alignment of IT controls with organizational objectives and industry standards.

Review the segregation of duties within IT processes.

Analyze the risk management framework and its integration with IT operations.

4. Access Control Assessment

Review user access management processes and procedures.

Evaluate account provisioning and de-provisioning practices.

Assess the effectiveness of authentication mechanisms (e.g., passwords, multi-factor authentication).

Conduct tests to verify that access rights are aligned with user roles.

5. Change Management Evaluation

Review change management policies and procedures.

Assess the process for documenting and approving changes to IT systems.

Evaluate the testing and validation of changes before implementation.

Examine the rollback procedures in case of failed changes.

6. Data Integrity and Security Controls

Assess the mechanisms in place for data protection and encryption.

Review backup and recovery procedures for data integrity.

Evaluate the processes for monitoring and logging access to sensitive data.

Analyze the incident response plan and its effectiveness in addressing data breaches.

7. Control Testing and Validation

Identify key controls for testing and develop a testing plan.

Perform tests of controls to assess their operating effectiveness.

Document anomalies and deviations from expected control performance.

Review and validate the adequacy of compensating controls where necessary.

8. Audit Reporting and Communication

Prepare a comprehensive audit report detailing findings and recommendations.

Present preliminary findings to management for discussion.

Finalize the audit report incorporating management feedback and responses.

Communicate the audit results to stakeholders in a clear and actionable format.

9. Remediation and Follow-Up

Develop a remediation plan for addressing identified control deficiencies.

Assign responsibilities and timelines for corrective actions.

Schedule follow-up audits to assess the implementation of remediation efforts.

Ensure continuous monitoring of controls to maintain effectiveness.

10. Reflection and Knowledge Sharing

Conduct a debriefing session with the audit team to discuss lessons learned.

Document best practices and areas for improvement in the audit process.

Share insights and findings with relevant departments to foster a culture of compliance.

Update the ITGC audit checklist based on evolving risks and organizational changes.

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