detailed mainframe system audit checklist

Identify the mainframe system being audited.

Document the audit objectives and scope.

Gather information on relevant compliance standards (e.g., ISO, NIST).

Review user access permissions and roles.

Verify that access rights are based on the principle of least privilege.

Check for inactive or orphaned accounts.

Assess the process for granting and revoking access.

Evaluate the existence and adequacy of security policies.

Verify that policies are regularly reviewed and updated.

Ensure that security training is provided to all users.

Review procedures for data backup and recovery.

Verify the frequency and reliability of backups.

Check for data encryption both at rest and in transit.

Assess data integrity checks and validation processes.

Review configurations of the mainframe system.

Check for adherence to baseline configurations and hardening guidelines.

Verify patch management processes and the application of updates.

Assess the logging capabilities of the mainframe system.

Review logs for security events and anomalies.

Ensure logs are retained for an appropriate duration.

Evaluate the process for monitoring and responding to security incidents.

Review firewall configurations and rules.

Assess the security of network protocols used by the mainframe.

Check for the implementation of intrusion detection/prevention systems.

Evaluate physical access controls to the mainframe facilities.

Review surveillance and monitoring systems in place.

Verify that environmental controls (e.g., temperature, humidity) are operational.

Review compliance with internal policies and external regulations.

Document findings and recommendations from the audit.

Prepare an audit report summarizing key findings and action items.

Establish a timeline for addressing audit findings.

Assign responsibilities for remediation activities.

Plan for a follow-up audit to assess the implementation of recommendations.

This checklist provides a comprehensive framework for conducting a mainframe system audit, ensuring that all critical areas are covered.