Draft a data audit checklist

Audit Checklist

1. General Overview

• Verify the existence of a documented Data Governance Policy for the system.
• Ensure roles and responsibilities are clearly defined for Data Owners, Stewards, and Users.
• Confirm alignment of data processes with organizational data governance framework.

2. Data Quality

• Assess whether data quality metrics (e.g., accuracy, completeness, timeliness) are defined and monitored.
• Validate the effectiveness of data cleaning and standardization procedures.
• Check for unresolved data anomalies or inconsistencies.
• Verify the frequency and results of data quality audits.

3. Security and Access Controls

• Ensure access to the system is restricted based on role-based access control (RBAC) principles.
• Confirm that sensitive data is encrypted at rest and in transit.
• Validate the implementation of multi-factor authentication (MFA) for access.
• Review logs for unauthorized access attempts or unusual activity.
• Confirm that backups are secured and regularly tested for restoration.

4. Regulatory Compliance

• Verify compliance with relevant regulations (e.g., GDPR, HIPAA, CCPA).
• Check if a Data Retention Policy is implemented and enforced.
• Confirm the availability of audit trails to meet regulatory standards.
• Assess whether data subject requests (e.g., right to access, deletion) are managed within legal timeframes.

5. Data Integration and Transfers

• Validate that data transfers between systems are secure (e.g., using encrypted channels).
• Check the integrity of data during integration processes.
• Ensure integration workflows are documented and automated where feasible.

6. System Performance

• Assess system uptime and reliability metrics against service-level agreements (SLAs).
• Verify that performance issues (e.g., slow queries, processing delays) are logged and resolved.
• Review capacity planning and scalability documentation.

7. Data Backup and Recovery

• Confirm the existence of a Backup Policy, including frequency and retention guidelines.
• Verify that backups are stored offsite or in secure cloud storage.
• Test recovery procedures to ensure backup data can be restored within acceptable timeframes.

8. Documentation and Training

• Ensure up-to-date documentation exists for system processes and workflows.
• Check if users and administrators have received training on data management practices.
• Verify the availability of training logs and compliance certifications.

9. Change Management

• Confirm that system updates and configuration changes are logged and approved.
• Review the effectiveness of the change request approval process.
• Validate that rollback procedures are in place for failed updates.

10. Audit Summary

• Document all findings, categorizing them as Compliant, Non-Compliant, or Improvement Required.
• Provide actionable recommendations for each area requiring improvement.
• Assign responsibility and deadlines for resolving audit issues.