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AI2.3 - Application Control and Auditability

This topic is intended to enable collaboration and sharing of information to facilitate a better understanding and approach to implementing this COBIT control objective based on the risk, value and guidance provided by its corresponding control practices.

COBIT Control Objective AI2.3 - Application Control and Auditability is contained within Process Popup Acquire and Maintain Application Software.

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Application Control and Auditability

Implement business controls, where appropriate, into automated application controls such that processing is accurate, complete, timely, authorised and auditable.

View value and Risk Drivers  help

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Value Drivers

  • Consistent application controls established
  • Ensured data integrity
  • Transaction data history able to be validated and reconstructed, if needed
  Risk Drivers
  • Costly compensating controls
  • Data integrity issues
  • Gaps between application controls and actual threats and risks
  • Processing results and data repositories failing to meet compliance requirements

View Control Practices  help

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  1. Define all automated application controls (authorisation, input, processing and output) based on business process control requirements provided in the requirements documentation.
  2. Define how business processes will need to be adjusted to use the automated control functions provided in purchased/packaged application software.
  3. Confirm the design specifications for all automated application controls with IT technical authorities and business process owners, and obtain their approval and sign-off.
  4. Confirm that the design includes automated controls within the application that support general control objectives (such as security, data integrity and audit trails), including access control mechanisms and database integrity controls. Confirm that the design has received sign-off from relevant technical design authorities and approval of the business process owner.
  5. Assess design specifications of automated application and general controls against internal audit, control, and risk management standards and objectives. Consider the effect of compensating controls outside the application software realm.

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Wikis: 2 total

Blog Posts: 311 total

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