Plan, Manage, and Conduct an Audit


For this project you develop a plan for the management and completion of an audit on an imaginary company. This scenario-based project will allow you to practice the concepts and techniques learned throughout the course. Starting in week 4 you will determine the type of company you want to work with from the following industries:

  • Banking
  • IT
  • Health Care
  • Education

You will stick with this industry throughout working on this project.


This project is broken up into multiple parts as follows:

  • Part A:
    • Plan Audit for final Project Skelton framework Critical Path items only
      • Plan for performing an Audit in Microsoft Project
        • Should include dates
        • Operating Systems and sections
        • Details on all task and items
        • Personnel organizer for separation of duties during the audit
        • Disaster recovery
    • Create a Record Management Technique
      • Use Microsoft Power Point 10 slides or less
      • Describe you Record Management Plan
      • Include who is managing the plan
      • Disaster recover for the Records
      • Disposal of the records over time
      • Risk Management options for Records Management
      • Review and Audit of records on what time frames and why
      • Submit this as a presentation under 4 min. via ulearn explain your technique and why it will be successful. (with voice or subtitles)
  • Part B:
    • Based on the Industry you choose back in week 4 and the IOS you selected in week 5 make an outline that details the major IT SECURITY TECHNIQUE REQ ISO 27001, Best Privacy Controls, and Red Flags in that industry and that OS system.
      • This should be submitted in Microsoft Power Point. (With voice or subtitles)
  • Part C:
  • The power point should focus on ISO 27001 and Privacy Controls requirements and how they can best implemented also remember separation of duties while implementing these controls.
  • Based on the industry you selected in week 4 create a Disaster and Recovery Plan
    • Plan for these three disasters:
      • Natural Disaster (Fire, Flood, Lighting, Storm, etc)
      • Data Leak
      • Large Scale Data Corruption
    • Each disaster should be no longer than two pages in Outline format
    • The outline should be in a step by step format using a Gantt chart via MS Project. (don’t forget critical path items):
      • What has happened
      • Who to contact
      • And the steps to stop (if possible) the disasters, contain (if possible), and recover. Along with average time lines that can be found with research.
  • Part D:
    • Based on the Operating System you selected in Week 5 prepare a Flow chart for a patching and upgrading said Operating System.
      • Include the following items and any other items that maybe need for your Operating System.
        • Original release data of patch
        • How you will test the patch
          • What happens if the patch works with your Operating System?
          • What happens if the patch does not work with your Operating System?
        • Distribution of patches and upgrades based on your company you describe in week 4 and the Operating system you selected in Week 5.
    • A help desk system for patches or upgrades that don’t work.
  • Part E:
    • You will be using your PC to conduct an Audit on.
    • Follow these directions:
      • Select a Topic (everyone software Audit)
      • Identify size of the Audit
      • Identify Tools of the Audit
      • Collect the Data
      • Summarize the results
      • Analyze and Apply results
    • Software Audit to include software licenses
      • Conduct a Software inventory
      • Meter Application Usage
      • Gather Licensing Data
  • Adjust License Counts
    • Establish and Communicate Software Policies
      • Determine who is reasonable for acquiring software and setting price points and tracking (departments, IT, logistics, or a combination of all the above)Approved software vendors Centralized location for assigning ownership and maintaining all relevant purchasing data. A process that approves software through IT and it subsequent department.200-word Software Usage Policy (example: JWU IT Computer and Technology Use Policy)
    • Manage Ongoing License Compliance
      • Who does this?
      • How do licenses get tracked?
      • Is this centralized of decentralized and why?
  • Final Deliverable:
    • Now bundle items A-E into a comprehensible package (one single document i.e. a zip file or merge all documents and submit it to ulearn)

Grading Criteria

  • This project is worth 200 points as follows:
    • Part A: 50 points
      • Part A 1: 20 points
      • Part A 2: 30 Points
    • Part B: 50 points
    • Part C: 30 points
    • Part D: 10 points
    • Part E: 60 points
  • Each section will be graded on completeness of information, organization of content, and professionalism of writing and presentation.

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