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ITGC audit checklist

Governance and Management Controls

Ensure IT governance framework is established and communicated.

Assess IT strategy alignment with business objectives.

Review organizational structure and clear roles/responsibilities.

Evaluate management oversight and monitoring of IT operations.

Access Controls

Review user access management policies and procedures.

Assess user provisioning and de-provisioning processes.

Verify role-based access controls are implemented.

Evaluate password policies and authentication mechanisms.

Conduct periodic access reviews and audits.

Change Management Controls

Review change management policies and procedures.

Ensure all changes are documented and approved.

Assess testing procedures for changes before implementation.

Evaluate emergency change procedures and controls.

Review post-implementation reviews of changes.

Data Management and Backup Controls

Assess data classification and handling procedures.

Review database access controls and security measures.

Evaluate backup policies and procedures.

Verify the integrity and availability of backup data.

Test data restoration processes periodically.

Incident Management Controls

Review incident response policies and procedures.

Assess incident reporting and escalation processes.

Evaluate the effectiveness of incident handling and resolution.

Maintain a log of incidents and actions taken.

Conduct post-incident reviews and lessons learned sessions.

System Development Life Cycle (SDLC) Controls

Review SDLC policies and methodologies.

Ensure requirements are defined and documented.

Assess testing and quality assurance processes.

Evaluate deployment and implementation controls.

Review post-deployment evaluation and user feedback mechanisms.

Physical and Environmental Controls

Assess physical security measures for data centers and offices.

Review environmental controls (e.g., HVAC, fire suppression).

Evaluate access controls to physical IT assets.

Ensure visitor access logs are maintained.

Assess the effectiveness of surveillance measures.

Compliance and Regulatory Controls

Review compliance with relevant laws and regulations.

Assess data protection and privacy policies.

Evaluate adherence to industry standards (e.g., ISO, NIST).

Ensure regular compliance assessments and audits are conducted.

Maintain documentation of compliance activities and findings.

By following this checklist, consulting organizations can ensure that their IT General Controls are effective and aligned with best practices.

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