Audit Readiness: Preparing for IT Reviews
Proactive audit readiness helps university units confidently navigate IT reviews with minimal disruption. Discover how Texas A&M’s IT Risk & Compliance team aids departments in audit preparation, addressing findings, and enhancing security practices.
Preparing for IT Audits in a Complex Regulatory Environment
As a large public research university, Texas A&M University operates within a complex regulatory environment and is accountable to various stakeholders, including the Texas A&M System, state regulators, federal funding agencies, and the public. Consequently, university departments and offices periodically undergo internal and external audits to verify compliance with policies and security standards.
IT-focused audits examine areas like data security practices, adherence to specific regulations (like HIPAA or FERPA), compliance with security controls, or general IT governance. Being prepared for these audits is crucial for ensuring they proceed smoothly and minimize disruption to unit operations.
Why Audit Readiness Matters
Proactively preparing for audits offers significant benefits:
- Smoother Audits: Prepared units experience less disruption and can respond to requests more efficiently.
- Accurate Representation: Readiness activities help ensure that the unit's actual practices and controls are accurately documented and presented.
- Reduced Findings: Identifying and addressing potential issues beforehand can lead to fewer negative findings in the official audit report.
- Continuous Improvement: The preparation process itself often highlights opportunities to strengthen security controls and processes.
Support for Audit Preparation
To assist university units in preparing for and responding to IT audits, the IT Risk & Compliance team within Texas A&M Technology Services provides dedicated support and acts as the university's audit liaison.
Their goal is to help departments understand audit requirements, demonstrate compliance effectively, and address any identified issues proactively.
Services Provided:
The Risk, Policy & Compliance team offers several services to support audit readiness:
Pre-Audit Assessments
Conducting internal readiness checks or "mock audits" to help units identify potential compliance gaps or areas of concern before an official audit begins.
Guidance and Consultation
Explaining the audit process, clarifying the requirements of specific audits (e.g., System Internal Audit, State Auditor's Office reviews, federal audits), and advising on how to prepare documentation.
Control Documentation Review
Assisting units in documenting how they meet the requirements outlined in the Texas A&M Information Security Controls Catalog and other relevant policies.
Audit Liaison
Acting as a central point of contact to facilitate communication and coordination between the university unit being audited and the internal or external audit team.
Response Assistance
Providing support to unit management in developing clear and effective responses to auditor inquiries and formal audit findings.
Remediation Guidance
While remediation is the unit's responsibility, the team can offer guidance or connect units with resources to help address findings identified during an audit.
Engaging Audit Readiness Support
Units anticipating an IT audit or seeking assistance with ongoing compliance validation are encouraged to contact our team; early engagement allows the team to provide the most effective support. You can reach us at it-security@tamu.edu.
Last Modified: August 14, 2025