20 Points Managed IT Services Compliance Checklist
This checklist focuses on core areas essential for managed IT services compliance. Reference for standards like ISO 27001 (Information Security) and PCI-DSS (Payment Card Data).
What is Managed IT Services Compliance Audit?
Managed IT services compliance audit is a structured evaluation of your organization’s IT policies, security controls, and processes to check they meet regulatory, legal, and industry standards. It’s to verify and confirm that your IT environment is secure, compliant, and operates according to the latest security practices.
This managed IT services compliance checklist helps you to prepare and identifies security gaps. Verifies adherence to frameworks like ISO27001, PCI DSS, and other industry standards. Helps your organization adhere to regulatory standards, avoid financial penalties and security breaches.
Our checklist covers 5 core areas:
- Data Protection and Privacy.
- Access Control and Authentication.
- System and Operational Integrity.
- Incident Response and Logging.
- Physical and Environmental Security.
Data Protection and Privacy
| No. | Compliance Requirement | Status (Yes/No/NA) | Evidence / Documentation Required |
| 1. | All sensitive customer data (e.g., PII, Cardholder Data) is encrypted at rest (storage). | Audit logs showing encryption configuration/status on databases and storage. | |
| 2. | All data transfers, both internal and external, use strong encryption protocols (TLS 1.2+). | Network device configurations (VPN, firewalls) and application settings. | |
| 3. | Data retention policies are defined and enforced, with periodic automated deletion/archiving of old sensitive data. | Policy document and automated job schedules/logs (e.g., database cron jobs). | |
| 4. | Proof of regular data backups is maintained, and restoration testing is performed at least quarterly. | Backup logs, test restoration reports, and documented RTO/RPO adherence. | |
| 5. | All service desk personnel have completed mandatory annual data privacy training. | Training records and sign-off sheets. |
Access Control and Authentication
| No. | Compliance Requirement | Status (Yes/No/NA) | Evidence / Documentation Required |
| 6. | Least privilege principle is enforced, ensuring users only have access strictly necessary for their role | Access matrix, role definitions, and access review logs. | |
| 7. | Multi-Factor Authentication (MFA) is mandatory for all privileged accounts and remote access (VPN, RDP). | Authentication system configuration logs (MFA enablement report). | |
| 8. | Generic/shared accounts are prohibited (or justification/controls documented). | User account inventory and audit of shared accounts. | |
| 9. | Access is automatically revoked upon termination (or within 24 hours of notification). | HR off-boarding procedure documentation and IT closure logs. | |
| 10. | Passwords meet complexity, length, and history requirements defined by policy (e.g., minimum 12 characters). | Authentication system configuration settings. |
System and Operational Integrity
| No. | Compliance Requirement | Status (Yes/No/NA) | Evidence / Documentation Required |
| 11. | All production systems are running on supported, patched operating systems (OS). | Inventory report of OS versions and end-of-life dates. | |
| 12. | Critical security patches (vulnerabilities) are applied within a defined SLA (e.g., 30 days). | Patch management reports showing application timelines. | |
| 13. | Anti-virus/Anti-malware software is installed, active, and updated on all endpoints and servers. | Central management console reports showing deployment status and definitions. | |
| 14. | Regular vulnerability scanning is performed on network infrastructure and applications (internal/external). | Quarterly scan reports from vulnerability management tools. |
Incident Response and Logging
| No. | Compliance Requirement | Status (Yes/No/NA) | Evidence / Documentation Required |
| 15. | All critical system components generate detailed, synchronized logs (NTP enforced). | Log management system configuration and system-level time synchronization verification. | |
| 16. | Logs are reviewed daily for security events and retained for the required regulatory period (e.g., 1 year). | SIEM/Log tool dashboard snapshots and retention policies. | |
| 17. | A documented Incident Response Plan (IRP) is maintained and tested annually. | IRP document and the results/findings of the last annual tabletop exercise. | |
| 18. | All security incidents are logged and reported following a defined escalation procedure (e.g., ISO 27001 Non-conformance). | Sample Incident Report (IR) demonstrating the procedure was followed. |
Physical and Environmental Security
| No. | Compliance Requirement | Status (Yes/No/NA) | Evidence / Documentation Required |
| 19. | Physical access to data centers and server rooms is controlled and logged (badge readers, CCTV). | Access log reports and physical security policy documentation. | |
| 20. | Environmental controls (fire suppression, HVAC, power redundancy) are periodically maintained and tested. | Preventive Maintenance (PPM) service records and UPS/Generator test logs. |
Stay Compliant Every Day
Compliance doesn’t stop after certification. In our dynamic IT landscape, collecting and maintaining compliance audit documentation manually is no longer a best practice. Teams that collect evidence by filtering through emails and diverse systems can experience compliance fatigue and encounter high error rates.
The bright side is that, with technology, you can optimize both documentation and audit processes with a well-integrated compliance automation solution.
Reach out to us to assist you. We can continuously monitors your systems, flags issues, and auto-generates remediation steps.
