Comprehensive IT Audit Checklist

This checklist integrates best practices in IT Assurance ensuring a holistic approach to IT governance and operational excellence.

?Cybersecurity Controls (Aligned with ISO/IEC 27032:2023)

·?????? Cybersecurity Governance:

o?? ? Cybersecurity governance framework established and documented.

o?? ? Internet security policies and guidelines developed, implemented, and reviewed regularly.

o?? ? Clear roles and responsibilities for cybersecurity management assigned.

·?????? Threat and Incident Management:

o?? ? Incident response capabilities for cybersecurity threats tested and updated periodically.

o?? ? Comprehensive threat intelligence integrated into risk management processes.

o?? ? Monitoring tools deployed to detect and prevent malware and phishing attacks.

·?????? Cloud and Internet Security:

o?? ? Measures to secure cloud services, including encryption and access controls, implemented.

o?? ? Internet-facing systems secured with firewalls, intrusion detection, and prevention systems.

·?????? Endpoint Security:

o?? ? Endpoints monitored for suspicious activity using advanced endpoint protection solutions.

o?? ? Secure email and web browsing configurations applied.

·?????? Awareness and Training:

o?? ? Cybersecurity awareness programs conducted for all users.

o?? ? Regular training sessions on identifying and responding to cybersecurity threats.

AI System Controls

·?????? AI Risk Management:

o?? ? AI system risk assessments performed to identify vulnerabilities and ethical concerns.

o?? ? Comprehensive inventory of AI systems maintained.

·?????? Governance and Policies:

o?? ? Policies for responsible AI usage established and aligned with organizational objectives.

o?? ? AI systems subject to periodic audits for compliance with standards and regulations.

·?????? Transparency and Accountability:

o?? ? AI decision-making processes documented, auditable, and explainable.

o?? ? Mechanisms established for detecting and mitigating AI bias or anomalies.

·?????? Access and Data Security:

o?? ? Access to AI systems restricted to authorized personnel.

o?? ? Data used for AI training classified and secured against unauthorized access.

IT Governance (Aligned with ISO/IEC 38500:2024)

·?????? Governance Framework:

o?? ? IT governance framework documented, communicated, and reviewed periodically.

o?? ? Alignment of IT governance with organizational strategy and objectives ensured.

·?????? Decision-Making and Oversight:

o?? ? IT project evaluation processes established and aligned with governance policies.

o?? ? Transparent decision-making mechanisms for IT investments.

o?? ? Defined processes for stakeholder engagement in IT governance initiatives.

·?????? Performance Monitoring:

o?? ? IT performance metrics clearly defined, monitored, and reported to stakeholders.

o?? ? Regular reviews of IT roles, responsibilities, and accountability conducted.

Enhanced IT Policies (Aligned with ISO 27000 Family)

·?????? Policy Development:

o?? ? Comprehensive information security management policies developed and approved.

o?? ? Policies address data privacy, encryption standards, and acceptable use.

·?????? Incident Management:

o?? ? Procedures for managing security incidents clearly defined and communicated.

o?? ? Regular updates to policies to address evolving security threats.

·?????? Compliance and Reviews:

o?? ? Policies reviewed periodically for compliance with industry standards and regulations.

o?? ? Audit trails maintained to ensure transparency in policy changes.

Cybersecurity Metrics and Reporting

·?????? Key Performance Indicators (KPIs):

o?? ? Defined and tracked cybersecurity KPIs.

o?? ? Periodic reports on security posture prepared and shared with leadership.

·?????? Security Assessments:

o?? ? Regular assessments of security measures against identified benchmarks.

o?? ? Reports on compliance with IT governance and cybersecurity standards documented.

IT Services Management (Aligned with ITIL Framework)

·?????? Service Delivery:

o?? ? Service Level Agreements (SLAs) defined, monitored, and reviewed.

o?? ? Incident and service request management processes established and optimized.

o?? ? Change management integrated into service operations to ensure minimal disruption.

·?????? Service Monitoring and Improvement:

o?? ? Key service metrics monitored and analyzed for continuous improvement.

o?? ? Customer satisfaction surveys conducted to measure service effectiveness.

IT Project Management

·?????? Project Governance:

o?? ? Defined project management methodologies aligned with PRINCE2 or PMBOK standards.

o?? ? Clear roles, responsibilities, and accountabilities for project stakeholders.

·?????? Planning and Execution:

o?? ? Comprehensive project plans developed, including timelines, budgets, and resource allocation.

o?? ? Risk management processes embedded in project execution.

o?? ? Regular status updates and progress reports provided to stakeholders.

IT Development

·?????? Development Lifecycle:

o?? ? Software Development Lifecycle (SDLC) processes established and documented.

o?? ? Secure coding practices incorporated into development workflows.

o?? ? Application testing and quality assurance processes implemented.

·?????? Release Management:

o?? ? Procedures for managing releases and deployments established.

o?? ? Post-deployment reviews conducted to identify improvement areas.

IT Risk Management (Aligned with COBIT)

·?????? Risk Assessment:

o?? ? Regular IT risk assessments conducted to identify and prioritize risks.

o?? ? IT risk register maintained and updated regularly.

·?????? Risk Mitigation:

o?? ? Action plans developed and tracked to address identified IT risks.

o?? ? Controls implemented to reduce risk to acceptable levels.

·?????? Risk Reporting:

o?? ? IT risk metrics defined and communicated to stakeholders.

o?? ? Regular risk management updates provided to leadership.

·?????? Integration with COBIT:

o?? ? Governance and management objectives aligned with COBIT framework.

o?? ? Process maturity assessments conducted to identify areas for improvement.

Integration with Existing IT Controls

·?????? Application and Database Controls:

o?? ? User accounts provisioned based on job functions.

o?? ? Database admin accounts strictly controlled with periodic reviews.

o?? ? Access to applications and databases monitored for unauthorized activities.

·?????? Operating System and Network Controls:

o?? ? Secure configuration guides applied to all operating systems and network components.

o?? ? Firewalls, IDS/IPS systems, and VPNs configured to protect against external threats.

·?????? Physical Security Controls:

o?? ? Data centers secured with physical access restrictions and environmental controls.

·?????? Anti-Malware and Vulnerability Management:

o?? ? Advanced malware protection and vulnerability scanning tools implemented.

o?? ? Regular patch management program in place.

·?????? Incident and Disaster Recovery:

o?? ? Comprehensive incident response and disaster recovery plans established and tested regularly.