ERP SECURITY & COMPLIANCE CHECKLIST

Created by ChecklistGuro (https://checklistguro.com)


--- ACCESS CONTROL & USER MANAGEMENT ---
[ ] User Authentication Method (Password, Multi-Factor Authentication (MFA), Biometrics, Single Sign-On (SSO))
[ ] Number of Active User Accounts
[ ] Role-Based Access Control (RBAC) Implementation (Fully Implemented, Partially Implemented, Not Implemented)
[ ] Last User Access Review Date
[ ] Privileged Accounts Verified? (Yes, No, Not Applicable)
[ ] Description of User Access Review Process

--- DATA ENCRYPTION & PROTECTION ---
[ ] Encryption Method at Rest (AES-256, Triple DES, Other (Specify in Long Text))
[ ] Specify Encryption Method (if 'Other' selected)
[ ] Encryption Method in Transit (TLS 1.2 or higher, SSL 3.0, Other (Specify in Long Text))
[ ] Specify Encryption Method (if 'Other' selected)
[ ] Encryption Key Rotation Frequency (Days)
[ ] Key Management System (Integrated into ERP, Third-Party KMS, Manual)
[ ] Details regarding access control to Encryption Keys

--- CHANGE MANAGEMENT & AUDIT TRAILS ---
[ ] Change Request ID
[ ] Description of Change
[ ] Change Request Submission Date
[ ] Impacted Modules (Number of)
[ ] Change Type (e.g., Configuration, Code) (Configuration, Code, Data, Security, Other)
[ ] Impacted Users/Departments
[ ] Planned Implementation Date
[ ] Change Approver Signature

--- NETWORK SECURITY & FIREWALLS ---
[ ] Firewall Rule Count
[ ] Firewall Vendor (Cisco, Fortinet, Palo Alto Networks, Check Point, Other)
[ ] Firewall Configuration Documentation Review Notes
[ ] Number of Network Segments (VLANs)
[ ] Intrusion Detection/Prevention System (IDS/IPS) Status (Enabled and Configured, Enabled but Not Configured, Disabled)
[ ] Last Firewall Rule Set Review Date

--- DATA BACKUP & DISASTER RECOVERY ---
[ ] Backup Frequency (e.g., Daily, Weekly)
[ ] Backup Location(s) Description
[ ] Retention Period (in days/months)
[ ] Backup Type (Full, Incremental, Differential) (Full, Incremental, Differential)
[ ] Last Successful Backup Date
[ ] Disaster Recovery Plan Documented?
[ ] Last Disaster Recovery Drill Date
[ ] Recovery Time Objective (RTO) (in hours)

--- REGULATORY COMPLIANCE (E.G., GDPR, SOX) ---
[ ] Which regulatory frameworks apply? (GDPR, SOX, CCPA, HIPAA, Other (Specify))
[ ] Describe how data subject rights (e.g., right to access, right to erasure) are handled within the ERP system.
[ ] Number of data processing agreements (DPAs) in place with third-party vendors.
[ ] Last review date of compliance documentation.
[ ] Which data residency requirements apply? (EU, US, Canada, Other (Specify))
[ ] Summarize how audit trails are used for regulatory compliance reporting.

--- VULNERABILITY SCANNING & PATCH MANAGEMENT ---
[ ] Last Vulnerability Scan Date
[ ] Scan Frequency (Days)
[ ] Summary of Last Scan Results
[ ] Vulnerability Scan Tools Used (Nessus, Qualys, Rapid7 InsightVM, Other (Specify))
[ ] Last Patch Deployment Date
[ ] Patch Management Process Documentation Link
[ ] Patch Deployment Method (Automated, Manual)

--- THIRD-PARTY INTEGRATION SECURITY ---
[ ] Describe the purpose and criticality of each third-party integration.
[ ] Integration Authentication Method (API Key, OAuth 2.0, Username/Password, Other)
[ ] Number of Active Integrations
[ ] Summarize security reviews/assessments performed on each integration (if applicable).
[ ] Data Encryption in Transit (for each integration) (TLS 1.2 or higher, SSL 3.0, Not Encrypted)
[ ] Last Integration Security Review Date

--- INCIDENT RESPONSE PLAN ---
[ ] Incident Definition & Scope
[ ] Initial Incident Severity Level (Low, Medium, High, Critical)
[ ] Estimated Impacted Records
[ ] Date of Incident Detection
[ ] Time of Incident Detection
[ ] Detailed Description of the Incident
[ ] Potentially Affected Systems (Finance, Manufacturing, Sales, Inventory, HR)
[ ] Supporting Documentation (Screenshots, Logs)

--- SECURITY AWARENESS TRAINING ---
[ ] Last Training Completion Date
[ ] Topics Covered in Training (Phishing Awareness, Password Security, Data Privacy, Malware Prevention, Social Engineering, Insider Threat)
[ ] Training Frequency (Months)
[ ] Training Delivery Method (Online Modules, Classroom Training, Webinars)
[ ] Summary of Recent Security Reminders

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