Systems Auditor (ICT) SOPs

This template contains ten Standard Operating Procedures (SOPs) for conducting ICT Systems Audits. The SOPs cover a comprehensive range of audit activities, starting with conducting the audit itself, then moving to preparation, evaluation of security measures, reviewing software licensing and compliance, analyzing network vulnerabilities, and reviewing incident response plans. Further procedures detail documenting audit evidence, evaluating third-party vendor compliance, reporting audit findings, and tracking post-audit remediation. Each SOP includes a defined purpose, scope, and reference to other related SOPs within the document, ensuring a holistic and interconnected approach to the auditing process.

SOP 1, "Conducting an ICT Systems Audit," outlines the steps from defining objectives and gathering information to conducting the audit, documenting findings, performing risk analysis, and reporting results. It emphasizes collaboration with stakeholders and the importance of archiving audit records. SOP 2, "Preparing for an ICT Systems Audit," focuses on the preparatory activities such as defining the scope, assembling a team, gathering documentation, and creating an audit checklist. It highlights the need for communication, scheduling, and ensuring access permissions are in place before the audit commences.

SOP 3, "Evaluating ICT Security Measures," details the process of assessing security protocols, tools, and configurations. It covers user access controls, network security, data encryption, incident detection, and physical security. SOP 4, "Reviewing Software Licensing and Compliance," ensures software usage adheres to licensing agreements and legal standards. It includes compiling an inventory, verifying compliance, evaluating usage, and providing remediation recommendations. SOP 5, "Analyzing Network Vulnerabilities," focuses on identifying and addressing weaknesses in the network infrastructure, utilizing tools for vulnerability scanning and assessing configurations.

SOP 6, "Reviewing Incident Response Plans," evaluates the effectiveness of the organization's plan in managing security incidents, including testing the plan and aligning it with regulations. SOP 7, "Documenting Audit Evidence," establishes a standardized process for collecting and preserving evidence to support audit findings. SOP 8, "Evaluating Third-Party Vendor Compliance," assesses vendors' adherence to organizational policies and regulatory standards, including risk assessments and ongoing monitoring. SOP 9, "Reporting Audit Findings," guides the preparation and delivery of audit reports, ensuring clarity and actionable recommendations.

Finally, SOP 10, "Tracking Post-Audit Remediation," provides a system for monitoring and verifying the implementation of actions to address audit findings, ensuring ongoing compliance and system improvements. The document collectively provides a thorough framework for conducting ICT Systems Audits, covering all aspects from planning to remediation and ensuring comprehensive organizational security and compliance.