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General Information Technology Controls Review

1. Governance and Management

Review IT governance structure and policies.

Assess the roles and responsibilities of IT management.

Evaluate the alignment of IT strategy with business objectives.

Verify the existence of an IT risk management framework.

Here are some additional steps you could include in the "Governance and Management" section of a New General Information Technology Controls Review checklist

Assess the effectiveness of the IT governance framework and its implementation

Review the process for IT decision-making and prioritization of IT initiatives

Evaluate the communication channels between IT and other business units

Verify the establishment of an IT steering committee or governance body

Assess the performance metrics and key performance indicators (KPIs) used to measure IT effectiveness

Review the frequency and effectiveness of IT governance meetings and reporting

Evaluate the process for managing IT investments and budget allocation

Assess the maturity of IT governance practices against industry standards or best practices (e.g., COBIT, ITIL)

Verify compliance with relevant laws, regulations, and industry standards affecting IT governance

Evaluate the effectiveness of stakeholder engagement in the IT governance process

2. Access Controls

Inspect user access management processes.

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

Review authentication mechanisms in place (e.g., passwords, multi-factor authentication).

Evaluate the process for reviewing and revoking access for terminated employees.

Here are some additional steps that could be included in the Access Controls section of a New General Information Technology Controls Review checklist

Assess the process for onboarding new users and assigning initial access rights

Verify the existence of role-based access controls (RBAC) and their alignment with business needs

Review periodic access reviews to ensure access rights remain appropriate over time

Evaluate logging and monitoring of user access activities to detect unauthorized access attempts

Inspect the policies and procedures for managing privileged accounts and their access

Confirm that access to sensitive data is restricted and monitored with appropriate controls

Assess the process for managing and securing service accounts, API keys, and other automated access

Review the encryption methods used for transmitting sensitive access credentials

Evaluate training and awareness programs related to access control policies for all employees

Inspect the incident response procedures related to unauthorized access incidents

3. Change Management

Review change management policies and procedures.

Assess the process for documenting and approving changes.

Verify the testing and validation of changes before deployment.

Ensure there is a rollback plan for failed changes.

4. Data Management and Security

Evaluate data classification and handling policies.

Inspect data backup and recovery procedures.

Review encryption practices for sensitive data both in transit and at rest.

Assess data integrity controls and monitoring practices.

5. Incident Management

Review incident response policies and procedures.

Assess the incident reporting mechanism and escalation processes.

Verify documentation and analysis of past incidents.

Evaluate training and awareness programs related to incident management.

6. System Development Life Cycle (SDLC)

Review the SDLC methodology and documentation standards.

Assess the involvement of stakeholders in the development process.

Verify testing procedures and quality assurance practices.

Evaluate post-implementation reviews and continuous improvement efforts.

7. Physical and Environmental Security

Inspect physical access controls to IT facilities.

Review environmental controls such as heating, ventilation, and air conditioning (HVAC).

Assess disaster recovery and business continuity plans.

Verify the security of off-site backups and data storage.

8. IT Operations

Review IT operational procedures and documentation.

Assess monitoring and logging practices for critical systems.

Evaluate patch management processes for software and systems.

Verify the management of antivirus and anti-malware solutions.

9. Compliance and Audit

Review compliance with relevant regulations and standards (e.g., GDPR, SOX).

Assess the internal audit process for IT controls.

Verify the remediation of audit findings and weaknesses.

Evaluate the frequency and scope of IT control assessments.

10. Training and Awareness

Review IT security training programs for employees.

Assess the effectiveness of ongoing training and awareness initiatives.

Verify that employees understand their responsibilities regarding IT controls.

Evaluate the communication of IT policies and updates to all staff.

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