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    Chat GPT Di Audit Questionnaire

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    v9991 v9991
    The document proposes an ALCOA++ checklist for auditing data and processes. The checklist contains 8 criteria: attributable, legible, contemporaneous, original, accurate, complete, consistent, and enduring. Each criterion contains a list of items to verify to ensure the data or process meets that standard. The criteria are then translated into a process-based audit checklist to apply the standards to process documentation and records.

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    Chat GPT Di Audit Questionnaire

    Uploaded by

    v9991 v9991
    31 views2 pages
    The document proposes an ALCOA++ checklist for auditing data and processes. The checklist contains 8 criteria: attributable, legible, contemporaneous, original, accurate, complete, consistent, and enduring. Each criterion contains a list of items to verify to ensure the data or process meets that standard. The criteria are then translated into a process-based audit checklist to apply the standards to process documentation and records.

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    The document proposes an ALCOA++ checklist for auditing data and processes. The checklist contains 8 criteria: attributable, legible, contemporaneous, original, accurate, complete, consistent, and enduring. Each criterion contains a list of items to verify to ensure the data or process meets that standard. The criteria are then translated into a process-based audit checklist to apply the standards to process documentation and records.

    Copyright:

    © All Rights Reserved
    Download as DOCX, PDF, TXT or read online from Scribd
    Download as docx, pdf, or txt
    31 views2 pages

    Chat GPT Di Audit Questionnaire

    Uploaded by

    v9991 v9991
    The document proposes an ALCOA++ checklist for auditing data and processes. The checklist contains 8 criteria: attributable, legible, contemporaneous, original, accurate, complete, consistent, and enduring. Each criterion contains a list of items to verify to ensure the data or process meets that standard. The criteria are then translated into a process-based audit checklist to apply the standards to process documentation and records.

    Copyright:

    © All Rights Reserved
    Download as DOCX, PDF, TXT or read online from Scribd
    Download as docx, pdf, or txt
    of 2

    Based on the web page context only, here is a possible checklist for ALCOA++:

    - **Attributable**: Verify that the data and metadata are clearly linked to the person who generated
    or modified them. Verify that the person's identity and role are traceable and documented. Verify
    that the person has the appropriate training and qualification for the task. Verify that the person has
    followed the relevant procedures and instructions for data generation or modification.

    - **Legible**: Verify that the data and metadata are readable and understandable by a human or a
    machine. Verify that the data and metadata are recorded in a permanent and durable format. Verify
    that the data and metadata are stored in a secure and accessible location. Verify that the data and
    metadata are protected from unauthorized alteration or deletion.

    - **Contemporaneous**: Verify that the data and metadata are recorded at the time of generation
    or modification. Verify that the data and metadata are recorded using the correct date and time
    format. Verify that the data and metadata are synchronized with the system clock or a reliable
    external source. Verify that any changes or corrections to the data and metadata are justified and
    documented with the original data.

    - **Original**: Verify that the data and metadata are recorded in their primary or source form. Verify
    that any copies or transcriptions of the data and metadata are accurate and complete. Verify that any
    transformations or conversions of the data and metadata are validated and documented. Verify that
    any electronic signatures or seals applied to the data and metadata are authentic and secure.

    - **Accurate**: Verify that the data and metadata are correct and free from errors or omissions.
    Verify that the data and metadata are generated or modified using validated methods or systems.
    Verify that any calculations or analyses performed on the data and metadata are verified and
    documented. Verify that any discrepancies or deviations in the data and metadata are investigated
    and resolved.

    - **Complete**: Verify that the data and metadata include all relevant information for their intended
    purpose. Verify that the data and metadata cover the entire scope and duration of the activity or
    process. Verify that any missing or incomplete data and metadata are explained and justified. Verify
    that any data transfers or migrations are verified and documented.

    - **Consistent**: Verify that the data and metadata are coherent and compatible with each other.
    Verify that the data and metadata follow a logical sequence and order. Verify that any changes or
    updates to the data and metadata are reflected across all related records or systems. Verify that any
    conflicts or discrepancies in the data and metadata are identified and resolved.

    - **Enduring**: Verify that the data and metadata are retained for their required retention period.
    Verify that the data and metadata are retrievable and usable throughout their lifecycle. Verify that
    any archiving or disposal of the data and metadata are authorized and documented. Verify that any
    retention exceptions or extensions are justified and approved.

    Based on the web page context only, here is a possible translation of the checkpoints to suit a
    process based audit checklist:
    - **Attributable**: Verify that the process owner and operators are clearly identified and
    documented. Verify that they have the appropriate roles and responsibilities for the process. Verify
    that they have the necessary training and qualification for the process. Verify that they have followed
    the relevant procedures and instructions for the process.

    - **Legible**: Verify that the process documentation and records are readable and understandable
    by a human or a machine. Verify that they are recorded in a permanent and durable format. Verify
    that they are stored in a secure and accessible location. Verify that they are protected from
    unauthorized alteration or deletion.

    - **Contemporaneous**: Verify that the process documentation and records are recorded at the
    time of execution or modification. Verify that they are recorded using the correct date and time
    format. Verify that they are synchronized with the system clock or a reliable external source. Verify
    that any changes or corrections to the process documentation and records are justified and
    documented with the original data.

    - **Original**: Verify that the process documentation and records are recorded in their primary or
    source form. Verify that any copies or transcriptions of the process documentation and records are
    accurate and complete. Verify that any transformations or conversions of the process documentation
    and records are validated and documented. Verify that any electronic signatures or seals applied to
    the process documentation and records are authentic and secure.

    - **Accurate**: Verify that the process documentation and records are correct and free from errors
    or omissions. Verify that the process is executed or modified using validated methods or systems.
    Verify that any calculations or analyses performed on the process data are verified and documented.
    Verify that any discrepancies or deviations in the process data are investigated and resolved.

    - **Complete**: Verify that the process documentation and records include all relevant information
    for their intended purpose. Verify that the process documentation and records cover the entire
    scope and duration of the process. Verify that any missing or incomplete process documentation and
    records are explained and justified. Verify that any data transfers or migrations are verified and
    documented.

    - **Consistent**: Verify that the process documentation and records are coherent and compatible
    with each other. Verify that the process follows a logical sequence and order. Verify that any changes
    or updates to the process are reflected across all related documentation and records or systems.
    Verify that any conflicts or discrepancies in the process data are identified and resolved.

    - **Enduring**: Verify that the process documentation and records are retained for their required
    retention period. Verify that the process documentation and records are retrievable and usable
    throughout their lifecycle. Verify that any archiving or disposal of the process documentation and
    records are authorized and documented. Verify that any retention exceptions or extensions are
    justified and approved.

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