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IT Audit General Control Checklist

1. Governance and Management Controls

Define IT governance framework

Establish IT policies and procedures

Ensure alignment with business objectives

Assign roles and responsibilities for IT management

Conduct regular IT strategy reviews

2. Risk Management

Identify and assess IT risks

Implement risk mitigation strategies

Establish an IT risk management framework

Conduct regular risk assessments

Monitor and report on risk management activities

3. Access Controls

Implement user access management procedures

Establish strong password policies

Conduct regular access reviews and audits

Ensure role-based access controls are in place

Monitor and log access to critical systems

4. Change Management

Establish change management policies and procedures

Document all changes to IT systems and applications

Conduct impact assessments for proposed changes

Obtain necessary approvals for changes

Review and test changes before implementation

5. Data Management and Protection

Implement data classification and handling procedures

Ensure data backup and recovery processes are in place

Conduct regular data integrity checks

Establish encryption and data protection measures

Monitor data access and usage

6. Incident Management

Develop an incident response plan

Establish reporting and escalation procedures

Conduct regular incident response training

Review and analyze past incidents for improvements

Test incident response plan effectiveness

7. IT Operations and Monitoring

Implement monitoring tools for IT systems

Establish performance metrics and KPIs

Conduct regular system audits and reviews

Ensure proper configuration management

Review and manage IT service delivery processes

8. Compliance and Regulatory Requirements

Identify applicable laws and regulations

Ensure compliance with industry standards (e.g., ISO, NIST)

Conduct regular compliance audits

Document compliance efforts and findings

Train staff on compliance requirements

9. Physical and Environmental Controls

Assess physical security measures for IT assets

Implement environmental controls (e.g., HVAC, fire suppression)

Conduct regular physical security audits

Ensure proper disposal of IT equipment

Monitor access to data centers and server rooms

10. Continuous Improvement

Establish a feedback loop for control processes

Conduct regular reviews of control effectiveness

Implement lessons learned from audits and incidents

Foster a culture of continuous improvement within IT

Stay updated on emerging technologies and practices

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