AI Analysis Results
Data Backup & Disaster Recovery — IT General Controls (ITGC)
The Data Backup & Disaster Recovery process demonstrates adequate controls overall, with most key controls designed and operating as intended. Certain areas require enhanced documentation or monitoring to close identified gaps, but no material weaknesses were noted during the assessment period.
- Financial system data is backed up per a... is consistently executed
- Disaster recovery plan is documented, tested annually, and... is consistently executed
- Key controls are documented in a centralized repository
- Exception reporting is generated and reviewed timely
- No automated alerting for control threshold breaches
- Monitoring controls are not formally documented or tested
- 1Implement a workflow tool that captures reviewer identity and timestamp for all approvals
- 2Develop a remediation tracker with defined SLAs and escalation paths
- 3Establish a quarterly monitoring schedule with documented results and sign-off
Control-Level Breakdown (2)
The control is in place and generally operating as intended. Financial system data is backed up per a documented retention policy and tested quarterly. Minor documentation or timeliness gaps were noted but do not represent material risk.
Enhance documentation and monitoring for: financial system data is backed up per a documented retention policy and tested quarterly. Ensure review evidence includes timestamps and reviewer identity.
The control is well-designed and operating effectively. Disaster recovery plan is documented, tested annually, and covers all in-scope financial systems. Evidence of consistent execution and monitoring was observed.
Continue current practices. Consider automating remaining manual steps to sustain the control with less effort.