ITGRC Compliance Audit Checklists & Implementation Guide - alishahbaz/ITGRC GitHub Wiki

ITGRC Compliance Audit Checklists & Implementation Guide

Overview

This document provides a comprehensive IT Governance, Risk, and Compliance (ITGRC) guide, including checklists, policy templates, and automation suggestions for key compliance frameworks such as SOX, PCI DSS, ISO 27001, NIST CSF, and GDPR.

1️⃣ ITGRC Controls & Implementation

Access Control

✅ Checklist

  • Define Role-Based Access Control (RBAC) and apply the principle of least privilege (PoLP).
  • Enforce Multi-Factor Authentication (MFA) for all privileged accounts.
  • Conduct quarterly access reviews and recertify users.
  • Implement automated user provisioning & deprovisioning.
  • Log and monitor failed authentication attempts.

📜 Policy Template: Access Control Policy

1. Users are granted access based on business necessity.
2. Role-Based Access Control (RBAC) is enforced across all systems.
3. Multi-Factor Authentication (MFA) is mandatory for administrative accounts.
4. Access reviews are conducted quarterly, and unused accounts are deactivated.
5. Privileged accounts are logged and monitored for unusual activity.

🤖 Automation Suggestions

  • Okta, Microsoft Azure AD, AWS IAM – For automated access provisioning & deprovisioning.
  • CyberArk, BeyondTrust – Privileged Access Management (PAM).
  • Splunk, ELK, Microsoft Sentinel – Access log monitoring & alerting.

Privileged Access Management (PAM)

✅ Checklist

  • Maintain a separate admin account for privileged users.
  • Enable Just-in-Time (JIT) access for admins.
  • Record and monitor all privileged account activities.
  • Enforce password rotation on privileged accounts.
  • Implement session recording and keystroke logging.

📜 Policy Template: PAM Policy

1. Privileged access is granted on a need-to-know basis.
2. Multi-Factor Authentication (MFA) is enforced for privileged accounts.
3. All administrative sessions are logged and recorded.
4. Passwords for privileged accounts must be rotated every 90 days.
5. Emergency access accounts require approval from IT Security.

🤖 Automation Suggestions

  • CyberArk, Thycotic Secret Server – PAM automation & password rotation.
  • Microsoft PIM, AWS Secrets Manager – Just-in-Time (JIT) privileged access.

Change Management

✅ Checklist

  • Implement a Change Advisory Board (CAB) for approvals.
  • Document all change requests with impact analysis.
  • Enforce pre-change testing and rollback planning.
  • Maintain a segregation of duties between developers and deployers.
  • Track changes in a ticketing system.

📜 Policy Template: Change Management Policy

1. All IT changes must be reviewed and approved by CAB.
2. Emergency changes must be documented and reviewed post-implementation.
3. Developers and deployment teams must be separate.
4. Every change must have a rollback plan.
5. Changes are tracked in an IT Service Management (ITSM) system.

🤖 Automation Suggestions

  • ServiceNow, Jira, BMC Remedy – Change management workflows.
  • Ansible, Terraform, GitOps – Automated infrastructure changes.

2️⃣ Compliance Audit Checklists

SOX Compliance Audit Checklist (Section 302 & 404)

✅ Key Controls

  • Are user roles and permissions reviewed quarterly?
  • Is MFA enforced for financial systems?
  • Are terminated users deactivated within 24 hours?
  • Are financial system logs retained for 7 years?
  • Are financial records encrypted (AES-256)?
  • Is there a tested Disaster Recovery Plan (DRP)?

PCI DSS Compliance Audit Checklist (v4.0)

✅ Key Controls

  • Is access restricted based on business need-to-know?
  • Are all system users assigned unique IDs?
  • Are firewalls and network segmentation implemented?
  • Are quarterly vulnerability scans performed?
  • Is there a formal PCI DSS Incident Response Plan (IRP)?

ISO 27001 Compliance Audit Checklist

✅ Key Controls

  • Is there an updated asset inventory?
  • Is an Incident Response Plan (IRP) tested annually?
  • Are logs generated, retained, and reviewed?
  • Is there a tested Disaster Recovery Plan (DRP)?
  • Are encryption keys stored securely (HSM)?

NIST Cybersecurity Framework (CSF) Audit Checklist

✅ Key Controls

  • Is a risk assessment conducted?
  • Are threat detection and SIEM logging in place?
  • Are tabletop exercises performed to simulate cyberattacks?
  • Is a Business Continuity Plan (BCP) in place?

GDPR Compliance Audit Checklist

✅ Key Controls

  • Can users access, delete, or modify their personal data?
  • Is personal data encrypted at rest and in transit?
  • Is there a 72-hour breach reporting mechanism?
  • Are Data Subject Access Requests (DSARs) completed within 30 days?

📌 Summary Table – Compliance Audit Checklist Overview

Compliance 🔑 Key Controls 📆 Frequency 🔍 Key Tools
SOX Access Control, Change Mgmt, Logging Quarterly Azure AD, ServiceNow, Splunk
PCI DSS Network Security, Encryption, Vulnerability Scans Ongoing Qualys, Nessus, AWS KMS
ISO 27001 Risk Mgmt, Data Protection, BCP Annually Veeam, CyberArk, SIEM
NIST CSF Threat Detection, SIEM, Incident Response Continuous IBM QRadar, AWS GuardDuty
GDPR Data Rights, Encryption, Breach Notification Ongoing Microsoft Purview, OneTrust

🚀 Next Steps

Would you like automated audit scripts (PowerShell, Python) for these compliance checks? Let me know! 🚀