ERP ROLE-BASED ACCESS CONTROL (RBAC) AUDIT CHECKLIST 2026

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--- GOVERNANCE AND POLICY REVIEW ---
[ ] Last Policy Review Date
[ ] RBAC Policy Status (Active & Up-to-date, Under Revision, Expired/Outdated, Missing/Not Documented)
[ ] Regulatory Frameworks Covered (GDPR, SOX, HIPAA, ISO 27001, Other)
[ ] Policy Gap Analysis Summary
[ ] Upload Current RBAC Policy Document
[ ] Compliance Officer Approval

--- USER IDENTITY & AUTHENTICATION AUDIT ---
[ ] Audit Execution Date
[ ] MFA Status for Administrative Accounts (Fully Enforced, Partially Enforced, Not Enforced)
[ ] Verified Authentication Methods (Biometrics, Hardware Tokens, SMS/OTP, Authenticator App, Certificate-based)
[ ] Number of Unauthenticated Login Attempts Detected
[ ] Description of Authentication Discrepancies Found
[ ] SSO Configuration Export/Log Report
[ ] Auditor Verification Signature

--- ROLE DEFINITION & HIERARCHY VALIDATION ---
[ ] Role Name/ID
[ ] Role Criticality Level (Low, Medium, High, Critical)
[ ] Associated Business Modules (Finance, Human Resources, Supply Chain, Manufacturing, Sales & CRM)
[ ] Role Description & Functional Purpose
[ ] Last Hierarchy Review Date
[ ] Role Documentation/Matrix

--- PRIVILEGED ACCESS MANAGEMENT (PAM) INSPECTION ---
[ ] Admin Account Audit Status (Compliant, Non-Compliant, In Progress)
[ ] Monitored Privileged Activities (Password Changes, Permission Escalations, System Configuration Changes, Data Exports)
[ ] Unidentified Admin Account Found
[ ] Last Privilege Audit Date
[ ] Privileged Access Log Export
[ ] Remediation Plan for Unauthorized Access

--- SEGREGATION OF DUTIES (SOD) ANALYSIS ---
[ ] Identified Conflicting Permission Pairs (Procurement vs. Payment Authorization, Vendor Creation vs. Invoice Approval, Inventory Receiving vs. Inventory Adjustment, Order Entry vs. Credit Limit Override, Master Data Maintenance vs. Transaction Execution)
[ ] Description of Identified Risk
[ ] Risk Severity Level (Critical, High, Medium, Low)
[ ] Mitigating Controls Implemented
[ ] Date of Conflict Resolution
[ ] Internal Auditor Approval

--- PERMISSION & ENTITLEMENT VERIFICATION ---
[ ] Module Under Review (Finance/Accounting, , Supply Chain Management (SCM), Sales & CRM, Manufacturing/Production)
[ ] Permission Levels Verified (Read-Only Access, Create/Insert Access, Update/Edit Access, Delete/Remove Access, Execute/Run Access)
[ ] Identified Permission Discrepancies
[ ] Last Verification Date
[ ] Evidence of Permission Export/Screenshot
[ ] Auditor Approval

--- USER ACCESS REVIEW & DEPROVISIONING ---
[ ] Review Completion Date
[ ] Departments Audited (Finance, Human Resources, Supply Chain, Sales & Marketing, IT & Operations)
[ ] Number of Terminated Users Verified
[ ] Deprovisioning Delay Status (Within SLA, Outside SLA - Immediate Action Required, Not Applicable)
[ ] Discrepancies Found & Remediation Steps
[ ] Auditor Authorization Signature

--- AUDIT LOGGING & MONITORING OVERSIGHT ---
[ ] Log Integrity Status (Immutable/Tamper-proof, Vulnerable to modification, Not implemented)
[ ] Monitored Event Types (Failed Login Attempts, Privilege Escalation, Data Export/Extraction, Configuration Changes, User Deletion/Creation)
[ ] Last Log Audit Completion Date
[ ] Identified Logging Discrepancies
[ ] Audit Log Sample/Evidence
[ ] Auditor Verification Signature

--- COMPLIANCE & INCIDENT REMEDIATION ---
[ ] Date of Compliance Review Completion
[ ] Identified Compliance Gaps (Unauthorized Privilege Escalation, Segregation of Duties (SoD) Conflict, Stale/Inactive Account Found, Incomplete Audit Logging, Missing Documentation)
[ ] Remediation Action Plan Description
[ ] Number of High-Risk Issues Resolved
[ ] Evidence of Remediation (Screenshots/Logs)
[ ] Compliance Officer Sign-off

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