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ITGC Audit Checklist covering all the domains

1. Governance and Management

Review the IT governance framework and policies.

Verify alignment between IT strategy and business objectives.

Assess the roles and responsibilities of IT management.

Evaluate the effectiveness of IT steering committees.

2. Risk Management

Identify and document IT-related risks.

Assess the risk management process and controls in place.

Verify that risk assessments are conducted regularly.

Review incident response plans and their effectiveness.

3. Change Management

Evaluate the change management policy and procedures.

Review the approval process for changes to IT systems.

Verify documentation for all changes made to systems.

Assess the testing and validation processes for changes.

4. Access Control

Review user access management policies and procedures.

Verify the process for granting, modifying, and revoking access.

Assess the effectiveness of authentication mechanisms.

Review logs for access attempts and anomalies.

5. Data Management and Integrity

Evaluate data classification policies and procedures.

Verify data backup and recovery processes.

Assess data retention and disposal policies.

Review data integrity controls and monitoring processes.

6. System Development Life Cycle (SDLC)

Review the SDLC methodology in use.

Assess documentation and compliance with SDLC processes.

Verify testing protocols and quality assurance measures.

Evaluate post-implementation review processes.

7. Incident Management

Review incident management procedures and policies.

Assess the logging and tracking of incidents.

Verify response times and resolution effectiveness.

Evaluate communication protocols during incidents.

8. Third-party Management

Review the vendor management policy and procedures.

Assess risk assessment processes for third-party vendors.

Verify that contracts include necessary security and compliance clauses.

Evaluate the monitoring of third-party performance and compliance.

9. Compliance and Regulatory Requirements

Review compliance framework and applicable regulations.

Assess controls in place to ensure compliance with laws and regulations.

Verify that compliance audits are conducted regularly.

Evaluate the training programs for compliance awareness.

10. Continuous Monitoring and Improvement

Review the metrics and KPIs used for monitoring ITGC effectiveness.

Assess the process for identifying and implementing improvements.

Verify that audit findings are tracked and addressed.

Evaluate the effectiveness of ongoing training and awareness programs.

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