System Security Audit of

DOT operational environment

Checklist Version:
Version Dated:

Office/ Department Name:

Location/Address:

Activity:
(Information to be provided by the office/department for each user to the auditor)

Section-1: Audit of Office Equipment (PC/Laptop) of User

1.0.1 User Information

a) Name:
b) Designation:
c) Room No:
d) IT Security Implementation Training attended

1.0.2 System Information (CPU):

a) System Type (Laptop/Desktop)
b) System Manufacture:
c) System Model:
d) System Name:
e) BIOS Version:
f) BIOS Version Date:
g) Secure Boot State (On/Off):
h) Identifying Number:
i) UPS available (in case of Desktop) (Y/N):
j) CPU Cabinet Secured through external Lock
[To avoid Hard disk /Data theft or BIOS
password Reset] (Y/N):
k) Seal Stickers by admin/concern division (Y/N):

1.0.3 System Information (OS):

a) OS Name:
b) OS Version:
c) System Time set as IST: (Y/N):
d) OS Activated: (Y/N):
e) OS Last Update Date:
f) System Date Correct: (Y/N):

Audit Date: Audited by:

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1.0.4 Access Control:

a) BIOS Password Enabled: (Y/N):
b) BIOS Password Enabled by (User or Administrator):
c) OS Password Enabled: (Y/N):
d) Online Windows Login Account has not been enabled (Y/N):
e) Screen Saver Password Enabled: (Y/N):
f) System Idle time out set as 5 minutes: (Y/N):
g) Booting from Removable Media Disabled: (Y/N):
h) Awareness on “CTRL-ALT-DEL” to Logout PC/Laptop (Y/N):
(Ask user to logout)

1.0.5 Users Account Details:

SL User Type Status User Name Password User Type
(Admin/ (Active/ Protected (Local/ Domain/Online)
Standard) Blocked) (Y/N)
1
2
3

1.0.6 Password Complexity:

a) Password Complex setting Enabled: (Y/N):
b) Minimum Password Length is 10 characters (Y/N):
c) Maximum Password Age set 45 Days (Y/N)*
* Need to be defined by DOT HQ

1.0.7 Auto Log on Disabled: (Y/N):

1.0.8 Network Information:

a) Connectivity Type (LAN/WiFi):
b) WiFi Enabled (Y/N):
c) Internet Access (Y/N):
d) Host Name:
e) DHCP or Manual IP Configuration:
f) IP Address:
g) Gateway IP Address:
h) DNS through DHCP (Y/N):
i) DNS IP Address:
j) MAC Address:

1.0.9 Installed Software:

a) Peer to peer file sharing software is not present: (Y/N):
b) Online cloud storage (Google drive, Dropbox, one drive etc) is not
present (Y/N):

Audit Date: Audited by:

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1.1.0 Scrutinize list of installed software to find out unwanted Software/

Applications (in general only essential apps from OEM and those necessary
for office work should be available)
Sl Software/Application Remark ( i.e user comments regarding
availability of app)
1.

2.

3.

1.1.1 Application Security:

SL Application Version Licensed Last UP to
(Y/N) Updation Date
Date (Y/N)
1. Microsoft Office

2. PDF editor suites i.e Adobe Acrobat

3. Microsoft Team

4.

1.1.2 Application Permissions (check app permissions to find out if any

unwanted app have such permissions:
SL. Name of Application Camera Mic Location Remark
(Y/N) (Y/N) (Y/N)
1. i.e Any gamming app
2.

1.1.3 Antivirus information:

a) Antivirus Installed and Enabled: (Y/N):
b) Make:
c) Version:
d) Last Update Date:
e) Up to Date (Y/N):
f) No. of virus/Malware alert in Antivirus log Activity
during last 15 days:
g) Auto prompt USB Scanning option Enabled: (Y/N):
h) Name of another antivirus installed, if any:
i) Windows Defender enabled and configured (Y/N):

1.1.4 Auto-Connect to Open Wi-Fi Network/ Hotspot is enabled (Y/N):

Audit Date: Audited by:

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1.1.5 Remote Desktop access disabled: (Y/N):

1.1.6 All removable devices and Media auto play disabled (Y/N):
1.1.7 Windows Firewall Enabled (Y/N):
1.1.8 Inbound Ports enabled in the Firewall:
S.L Service Name Port Number
1.

1.1.9 Browser Security:

Sl Browser Internet Microsoft Google Mozilla
Explorer Edge Chrome Firefox
a) Version

b) Up to Date(Y/N)

c) Home Page
Blank(Y/N)
d) Web Application password
is not stored (Y/N)
e) Browser Add on Disabled
(Y/N)
f) Browser History deletion
(Last Date)
g) Save Password Option
Disabled (Y/N)
h) Auto Updation Enabled
(Y/N)
i) Pop-ups are Blocked
(Y/N):

1.2.0 Other Browsers installed (i.e UC Browser etc. not desirable)

S.L Browser Name Auditor Remark
1.
2.
Section-2: Audit of Mail configuration of User

2.0.1 Designation based Mail ID used for official communication (Y/N):

2.0.2 Two Factor Authentication (Kavach) enabled for Mail (Y/N):

2.0.3 Awareness checks:

a) Use of Briefcase of “gov.in” or “nic.in” mail (Y/N):
b) Enabling Geofencing on NIC/GOV mail (Y/N):
c) Spam monitoring / filtering configuration (Y/N):
d) Undo Send feature (Y/N):
e) Viewing Login history (Y/N):
f) Bulk SMS Feature (Y/N):

Audit Date: Audited by:

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g) Archiving E-mail (Y/N):

h) Kavach Authentication through Desktop (Y/N):

Section-3: WiFi Security (Applicable for individual user if installed for

individual user otherwise applicable for System Administrator)

3.0.1 WiFi SSID (2.4 Ghz):

3.0.2 WiFi SSID (5 Ghz):
3.0.3 WiFi Hotspot IP address:
3.0.4 DNS IP Address Configured in the device:
3.0.5 Default WiFi SSID has been changed (Y/N):
3.0.6 Default IP Address of WiFi router has been changed (Y/N):
3.0.7 Default Administrative Username & Password of the
Broadband Router / Modem / Access Point has been changed
(Y/N):
3.0.8 Password length is equal to or more than 10 characters including
uppercase alphabet, lowercase alphabet, numbers and special
characters (Y/N)
3.0.9 Frequency of password change (60-90 days) (verify from device
logs if available else ask from user)
3.1.0 WPA3 or WPA2+AES encryption protocols configured in WiFi
Router (Y/N):
3.1.1 Enterprise WiFi Enabled (Y/N):
3.1.2 Default WiFi Network Security Key has been changed (Y/N):
3.1.3 Network name/ SSID information is not public or not in broadcast
mode (Y/N) :
3.1.4 DHCP Disabled (Y/N):
3.1.5 Firmware updated (Y/N):
3.1.6 Firmware Version:
3.1.7 Access Point is restricted based on MAC address(Y/N):
3.1.8 Port Forwarding/ Port Triggering /UPnP has been disabled (Y/N):
3.1.9 Guest WiFi Network for visitors has been enabled (Y/N):
3.2.0 WPS (Wi-Fi Protected Setup) has been disabled (Y/N):
3.2.1 If WPS is enabled, device WPS button is physically secured
(Y/N):
3.2.2 Response to Ping on Internet Port is disabled (Y/N):
3.2.3 Backup of current configuration of device taken (Y/N):
3.2.4 Backup Date:

Section-4: LAN Security (Applicable for System Administrator)

4.0.1 Static IP address has been allocated to each User (Y/N):
4.0.2 System Administrator is maintaining record of IP address, MAC
address, Location of each User (Y/N):
4.0.3 MAC based filtering is implemented in the LAN Network (Y/N):
4.0.4 Active Directory based Domain Controller is implemented in the

Audit Date: Audited by:

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LAN (Y/N):
4.0.5 Internet is provided through (1) Public IP (2) NAT (3) Proxy
Server
4.0.6 System Administration is maintaining logs of Internet Access and
other activities of Network (Y/N):
4.0.7 Firewall installed and Configured in the network (Y/N):
4.0.8 Server Room Access control is implemented (Y/N):
4.0.9 A/C Log Maintained (Y/N) :
4.1.0 UPS Logs Maintained (Y/N):
4.1.1 LAN Cabling done with proper identity tags (Y/N):

Section-5: IT Procurement & Outsourced Services audit (if concern officer is

dealing with procurement or managing outsourced services)

5.0.1 Security requirement has been incorporated in the procurement

document, common criteria, DOT Security contract conditions
(check any recent tender document) (Y/N):
5.0.2 All outside vendors and contractors have signed security
agreement while they are working in Department (Y/N):

5.0.3 Detail of Web Sites/ Web services hosted:

Sl Web Site/ Web Service Last Security VA/PT Auditing Agency
Name Security Audit Status
Audit Date Status
1.

Section-6 Physical Security (applicable for admin division of unit):

Audit point Y/N Remarks
6.0.1 Is access to the building/place restricted? (Y/N)
6.0.2 Is ID based access control in place? (Y/N)
6.0.3 Do you maintain a visitor record/register? (Y/N)
6.0.4 Is the surveillance system installed and up to date? (Y/N)

Any other information:

Auditor comments:

Name and Signature of Auditor:

Audit Date: Audited by:

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