Whether the auditor is internal, external or from a regulator, the first week of an IT audit tends to look the same. A long evidence request arrives, and the IT team spends days searching email threads and screenshots. Most of that time can be saved by preparing a small set of documents in advance.
1. An accurate list of systems in scope
Auditors start by understanding what exists. A current inventory of applications, databases, servers and network devices, with owners and hosting locations, answers dozens of follow-up questions before they are asked.
2. User access lists and review evidence
Access management is tested in almost every IT audit. Expect requests for user lists from key systems, privileged account lists, and proof that access was reviewed and leavers were removed on time. If your last access review was more than six months ago, run one now.
3. Change records
Auditors will pick a sample of changes to production systems and ask for the request, approval, testing and deployment records. A change log that links to tickets saves a great deal of time.
4. Backup and recovery evidence
Backup job reports are not enough. Auditors increasingly ask for evidence that restores were tested and that recovery time objectives were met. Keep a record of each test, even a short one.
5. Policies with approval dates
Every control is measured against a policy. Make sure your information security, access control, change management and backup policies are approved, dated and reviewed within the last year.
An audit goes faster when the evidence is ready before the first meeting. It also tends to produce fewer findings, because preparing it reveals gaps you can fix first.
If you would like a second pair of eyes before an important audit, our team runs short readiness reviews that follow exactly the steps an external auditor would take.