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ITGC AUDIT, WHAT TEST

1. Planning Phase

Define the scope of the ITGC audit

Identify the key stakeholders and their roles

Review previous audit findings and recommendations

Develop an audit timeline and milestones

Prepare a list of required documentation and evidence

2. Understanding the Environment

Assess the IT governance framework in place

Identify critical IT systems and applications

Document the IT organizational structure

Review policies and procedures related to IT controls

3. Control Assessment

Evaluate access control mechanisms

Review user access provisioning and de-provisioning processes

Assess user access rights and segregation of duties

Analyze change management controls

Examine the processes for requesting, testing, and implementing changes

Review documentation of changes made to critical systems

Assess data backup and recovery processes

Review backup schedules and retention policies

Test restoration processes to ensure data integrity

Evaluate incident management procedures

Review incident response plans and reporting mechanisms

Assess the effectiveness of incident resolution processes

4. Testing Phase

Perform walkthroughs of key IT processes

Conduct tests of controls to evaluate their operating effectiveness

Test user access controls through sampling

Review logs for unauthorized access or anomalies

Evaluate the effectiveness of change management through transaction testing

Test backup and recovery processes through simulation

Assess incident management effectiveness by reviewing historical incident reports

5. Reporting Phase

Summarize findings and document weaknesses identified

Provide actionable recommendations for improvement

Prepare the audit report for stakeholders

Present findings to management and relevant stakeholders

6. Follow-Up Phase

Establish a follow-up timeline for implementing recommendations

Monitor the remediation of identified issues

Schedule a follow-up audit to reassess the effectiveness of controls

Document lessons learned for future audits and continuous improvement

This checklist provides a structured approach to conducting an ITGC audit within consulting organizations, ensuring comprehensive coverage of essential controls and processes.

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