The document outlines various IT control areas, including user access, change management, security awareness, asset management, patch management, data backup, incident response, vendor risk management, and regulatory compliance. It highlights key performance indicators (KPIs) and key risk indicators (KRIs) for each area, identifying issues such as delays, unauthorized access, and non-compliance that could affect IT security and compliance. The overall goal is to assess the effectiveness and risks associated with IT general controls for a secure environment.

1. Access Control
1. User Access Review Timeliness
2. Unauthorized Access Incidents
1. Delays in user access reviews
2. Instances of unauthorized access
Change Management
3. Change Request Handling Time
4. Failed Changes
3. Delays in handling change requests
4. Unsuccessful or unauthorized changes
IT Security Awareness
5. Employee Security Training
Completion
6. Policy Acknowledgment
5. Lack of awareness in security
6. Policy non-compliance by employees
IT Asset Management 7. Asset Inventory Accuracy
8. Unauthorized Asset Changes
7. Incomplete or inaccurate asset data
8. Unauthorized asset modifications
Security Patch
Management
9. Timeliness of Security Patching
10. Patch Compliance Rate
9. Delays in applying security patches
10. Low compliance with patching
Data Backup and
Recovery
11. Backup Completion Timeliness
12. Data Recovery Success Rate
11. Backup failures or delays
12. Ineffective data recovery
Incident Response 13. Incident Response Time
14. Incident Escalation Rate
13. Slow response to security incidents
14. Increased incidents due to delays
Vendor Risk
Management
15. Vendor Risk Assessment
Completion
16. Vendor Compliance Monitoring
15. Incomplete or skipped assessments
16. Vendor non-compliance incidents
Compliance with
Regulations
17. Regulatory Compliance
18. Audit Trail Accuracy
17. Non-compliance with IT regulations
18. Missing or tampered audit logs
Category KPIs KRIs
IT General Controls KPIs and KRIs
Evaluate the effectiveness and risks of IT general controls to ensure a secure and compliant IT
environment.