Table of Contents:

The audit program contains 45 controls designed to determine whether end user computing applications relied on for critical information and business decisions are adequately controlled and whether they provide complete and accurate information:


Inventory Management

Controls and testing procedures to determine if the inventory of organization’s end user computing applications is appropriately managed to ensure it remains complete, accurate, and valid:

• Procedures to create and maintain an inventory of the end user computing applications 
• Criticality and risk assessments

Operations

Backup and recovery
Controls to ensure organization’s end user computing applications are appropriately managed during storage:

• Backups and retention of data
• Error resolution procedures
• Backup tapes management (storage, readability assessments, encryption).

Physical security
Controls and test steps to determine if facilities that house relevant information-processing and storage infrastructure supporting critical end user computing applications are appropriately managed:

• Physical access restriction mechanisms
• Physical access authorization, disablement and recertification procedures

Information Security

Security mechanisms
Controls and testing procedures to assess the effectiveness of the end user computing application security to protect against unauthorized modifications:

• Password requirements
• Security baselines
• Patching procedures to prevent exploitation of known security vulnerabilities

Logical access controls
A set of controls and testing guidance to determine if access to critical end user computing applications is restricted to authorized individuals:

• Access authorization, disablement and recertification procedures
• Segregation of duties

Protection of confidential information
Audit procedures to evaluate information security techniques to prevent the disclosure of confidential information:

• Information classification procedures
• Access restriction to end user computing applications containing confidential information
• Security of confidential data in transit
• Security of confidential data in non-production environments

Change Management

Audit guidelines to determine if changes to critical end user computing applications are appropriately implemented:

• Procedures to track changes to critical end user computing applications
• Testing procedures
• Approval of changes to critical end user computing applications
• Version control procedures

Data Integrity

Audit procedures to assess data and processing validation process to ensure completeness, accuracy and validity of the inputs being made and outputs resulting from application processing activities.

• Completeness and accuracy of the data inputs
• Processing logic validation procedures
• Completeness and accuracy of the data outputs

Please view an excerpt from the audit program to ensure it's right for you.

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