Auditing and Governance Risk and Compliance

Auditing Information Technology General Controls

IT general controls underpin the reliability of all automated controls and system data. This course provides a detailed approach to auditing ITGCs: access to programs and data, program change, program development, computer operations, scoping systems, testing techniques, deficiencies and reporting.

5 days Classroom or live online English

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Take the course details with you.

Download the full standard outline: why attend, methodology, objectives, audience, competencies, the daily outline and current plans.

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Why attend

From knowledge to real-world impact.

Weak ITGCs undermine reliance on systems. You will learn to scope and test them thoroughly.

Workplace challenges

Professional Problems This Course Is Designed to Solve

The programme explores practical approaches to the following challenges. Results depend on how the learning is applied in your organisation.

Difficulty translating subject knowledge into practical workplace decisions.
Inconsistent approaches to the activities covered in the course outline.
Lack of a structured plan for applying and reviewing new skills.

Course methodology

How you will learn.

Scoping exercises, test procedure design, evidence review and deficiency evaluation case studies.

Course objectives

What you'll take away.

By the end of this course, participants will be able to:

Explain the role of IT general controls
Scope in-scope systems and layers
Test access to programs and data
Test program change and development
Test computer operations and backups
Evaluate and report ITGC deficiencies

Target audience

Who should attend.

This course is suitable for:

IT auditors
Internal auditors
External audit IT specialists
SOX compliance staff
IT control owners

Target competencies

Capabilities you will build.

Participants will develop competencies in:

ITGC scoping
Access testing
Change testing
Operations testing
Deficiency evaluation

Course outline

Your learning journey.

A focused, practical outline with time to explore, apply and reflect.

Day 1ITGC Foundations

09:00–10:08Purpose
10:08–11:00Domains
11:00–11:30Coffee break
11:30–11:45Domains (continued)
11:45–12:53Reliance
12:53–14:00Exercise

Day 2Scoping

09:00–10:08Systems and layers
10:08–11:00Key reports
11:00–11:30Coffee break
11:30–11:45Key reports (continued)
11:45–12:53Service organisations
12:53–14:00Workshop

Day 3Access

09:00–10:08User provisioning
10:08–11:00Privileged access
11:00–11:30Coffee break
11:30–11:45Privileged access (continued)
11:45–12:53Reviews
12:53–14:00Exercise

Day 4Change and Operations

09:00–10:08Program change
10:08–11:00Development
11:00–11:30Coffee break
11:30–11:45Development (continued)
11:45–12:53Job scheduling and backups
12:53–14:00Case study

Day 5Deficiencies

09:00–10:08Evaluating severity
10:08–11:00Compensating controls
11:00–11:30Coffee break
11:30–11:45Compensating controls (continued)
11:45–12:53Reporting
12:53–14:00Action plan

The timings provided are estimates and may vary depending on the number of participants and the discussions taking place during the sessions. They are indicative only and do not constitute a binding commitment.

Dates & venues

Find a session that works for you.

Confirmed dates accept registration requests. Tentative dates are enquiry only.

Good to know

A few things to know.

How is the course delivered?

Our classroom programmes combine facilitated discussion, case studies, exercises and reflection. The precise format will be confirmed before enrolment.

Can you deliver this programme for our team?

Yes, you can enquire about a tailored programme. Share your goals, group size and preferred dates with our learning team.

Will I receive a certificate?

Participants who complete the programme receive a Smart Horizon UK certificate of attendance. Smart Horizon UK programmes are not externally accredited and do not award a professional qualification, licence or designation. Where a course title or outline refers to a professional certification (for example, AACE International's Certified Cost Professional), the programme supports learning and preparation only; the credential itself is awarded solely by the relevant professional body under its own application and examination requirements.

What should I confirm before booking travel?

Please confirm the session, exact venue, accessibility arrangements, fees and any visa requirements with the team before arranging travel. Tentative dates are not confirmed sessions.

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