IT Audit Templates and Checklists | IT Audit Guide Part 6

IT Audit Templates and checklists help standardize the IT audit process by providing structured formats for collecting evidence, evaluating controls, and reporting findings. These tools ensure completeness, enhance quality, and accelerate fieldwork.

🧾 1. IT Audit Planning Template

Section	Content
Audit Title	Name of the audit engagement (e.g., “Cybersecurity Governance Review – 2025”)
Audit Objectives	What the audit aims to achieve (e.g., “Assess the effectiveness of security monitoring and incident response”)
Audit Scope	Systems, processes, geographies, departments included
Audit Criteria	Applicable standards (e.g., NIST CSF, ISO 27001, internal policies)
Timeline	Key milestones (planning, fieldwork, reporting)
Team	Auditor names, roles, external consultants (if any)
Initial Request List (IRL)	List of documents, access, tools, and stakeholders required

✅ Best Practice: Include risk heat maps and RACI matrix in the planning document for stakeholder clarity.

📋 2. IT General Controls (ITGC) Checklist

This ITGC checklist ensures that foundational IT controls are present and functioning.

Control Domain	Checklist Items
Access Controls	✅ Is user access reviewed regularly? ✅ Is there MFA for privileged accounts? ✅ Are terminated users promptly deactivated?
Change Management	✅ Are all changes documented and approved? ✅ Are emergency changes reviewed post-facto? ✅ Are dev, test, and prod environments segregated?
Backup & Recovery	✅ Are backups scheduled and verified? ✅ Are backups stored offsite? ✅ Are DR tests conducted annually?
Incident Management	✅ Is there a formal incident response plan? ✅ Are incidents classified and escalated? ✅ Are lessons learned documented?
IT Operations	✅ Are system logs monitored? ✅ Are patch management processes in place? ✅ Are performance metrics tracked?

✅ Best Practice: Map checklist items directly to the control objectives in frameworks like COBIT or SOX.

🛡️ 3. Information Security Audit Checklist

Area	Checklist Items
Policy and Governance	✅ Does the org have a cybersecurity policy? ✅ Is there a security steering committee? ✅ Are policies reviewed annually?
Network Security	✅ Are firewalls configured and reviewed? ✅ Are intrusion detection/prevention systems active? ✅ Is network segmentation enforced?
Endpoint Security	✅ Are antivirus and EDR solutions deployed? ✅ Are OS and applications patched regularly? ✅ Are USB ports and external drives restricted?
Awareness and Training	✅ Are employees trained on phishing and threats? ✅ Is training mandatory for all staff? ✅ Are training completions tracked?
Monitoring and Logging	✅ Are critical logs retained for at least 1 year? ✅ Is there a SIEM platform in use? ✅ Are alerts triaged and investigated?

✅ Best Practice: Tie security checks to ISO 27001 Annex A or NIST CSF categories.

💾 4. Data Management and Privacy Checklist

Area	Checklist Items
Data Classification	✅ Are data types categorized (PII, PCI, PHI)? ✅ Are classification policies documented?
Data Retention	✅ Are retention schedules aligned with regulations? ✅ Are deletion logs maintained?
Data Security	✅ Is sensitive data encrypted at rest and in transit? ✅ Are encryption keys securely managed?
Privacy Compliance	✅ Is there a Data Protection Officer (DPO)? ✅ Are privacy notices published and accurate? ✅ Are DSARs (data subject access requests) tracked?

✅ Best Practice: Cross-reference checklist with GDPR, CCPA, or local privacy laws.

🛠 5. Application Audit Template

Component	Checklist Items
Authentication	✅ Does the app support MFA? ✅ Is there session timeout and inactivity logout?
Authorization	✅ Are roles and permissions managed centrally? ✅ Is SoD (segregation of duties) enforced?
Input Validation	✅ Are user inputs sanitized to prevent injection attacks? ✅ Is rate-limiting enabled to prevent abuse?
Logging	✅ Are application events logged (e.g., logins, changes)? ✅ Are logs tamper-proof?
Interfaces/API	✅ Are APIs authenticated and authorized? ✅ Are deprecated endpoints decommissioned?

✅ Best Practice: Include screenshots or API call logs as audit evidence.

📌 6. Sample IT Audit Working Paper Template

Field	Description
Control ID	e.g., AC-001
Control Objective	Ensure only authorized users have access to the system
Risk Addressed	Unauthorized system access
Test Procedure	Review access control policy, test 20 samples from user list
Test Result	1 exception: inactive user still had access
Auditor Notes	Control is partially effective
Evidence	Screenshot, access log file
Finding Severity	Medium
Recommendation	Revoke access for inactive users and automate deactivation

✅ Best Practice: Use Excel, GRC platforms, or shared audit portals to track this format.

✅ Summary Table: Key IT Audit Templates and Checklists

Tool	Purpose	Recommended Format
Audit Planning Template	Define scope, roles, objectives	Word / Excel
ITGC Checklist	Evaluate foundational IT controls	Excel / GRC tool
Cybersecurity Checklist	Assess information security maturity	Excel / PDF
Data Privacy Checklist	Ensure compliance with privacy laws	Excel
Application Audit Template	Review security of key applications	Excel / Jira
Audit Working Paper Template	Track findings and test results	Excel / GRC