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package/.claude/skills/general-it-engineering/resources/it-governance.md

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+# IT Governance
+
+COBIT framework, IT policies, compliance, risk management, audits, and governance structures for managing IT effectively and securely.
+
+## Table of Contents
+
+- [IT Governance Overview](#it-governance-overview)
+- [COBIT Framework](#cobit-framework)
+- [IT Policies](#it-policies)
+- [Compliance Management](#compliance-management)
+- [Risk Management](#risk-management)
+- [IT Audits](#it-audits)
+- [Best Practices](#best-practices)
+
+## IT Governance Overview
+
+### Purpose
+
+IT Governance ensures:
+- Alignment of IT with business goals
+- Value delivery from IT investments
+- Risk management
+- Resource optimization
+- Performance measurement
+
+### Key Principles
+
+```
+1. Meeting Stakeholder Needs
+   - Focus on stakeholder benefits
+   - Balance competing interests
+   - Deliver value
+
+2. Covering End-to-End
+   - Governance and management
+   - IT and business integration
+   - Functions and processes
+
+3. Applying Single Framework
+   - Consistent approach
+   - Unified language
+   - Reduced complexity
+
+4. Enabling Holistic Approach
+   - People, processes, technology
+   - Internal and external factors
+   - All organizational levels
+
+5. Separating Governance from Management
+   - Governance: Direction, monitoring
+   - Management: Execution, delivery
+```
+
+## COBIT Framework
+
+### COBIT 2019 Overview
+
+```
+COBIT (Control Objectives for Information and Related Technologies)
+
+Purpose: Governance and management framework for enterprise IT
+
+Components:
+├── Governance Objectives (5)
+│   ├── EDM01: Ensured Governance Framework Setting
+│   ├── EDM02: Ensured Benefits Delivery
+│   ├── EDM03: Ensured Risk Optimization
+│   ├── EDM04: Ensured Resource Optimization
+│   └── EDM05: Ensured Stakeholder Engagement
+│
+└── Management Objectives (35)
+    ├── Align, Plan, and Organize (APO) - 14
+    ├── Build, Acquire, and Implement (BAI) - 11
+    ├── Deliver, Service, and Support (DSS) - 6
+    └── Monitor, Evaluate, and Assess (MEA) - 4
+```
+
+### Key COBIT Objectives
+
+**EDM01: Governance Framework:**
+```yaml
+Purpose: Maintain effective governance
+
+Activities:
+  - Define governance structure
+  - Establish decision rights
+  - Assign accountability
+  - Monitor governance effectiveness
+
+Outputs:
+  - Governance charter
+  - Roles and responsibilities
+  - Escalation procedures
+  - Governance metrics
+```
+
+**EDM03: Risk Optimization:**
+```yaml
+Purpose: Ensure IT risk is acceptable
+
+Activities:
+  - Risk appetite definition
+  - Risk assessment
+  - Risk treatment
+  - Risk monitoring
+
+Outputs:
+  - Risk register
+  - Risk treatment plans
+  - Risk reports
+  - Risk dashboard
+```
+
+**APO01: IT Strategy:**
+```yaml
+Purpose: Align IT strategy with business strategy
+
+Activities:
+  - Strategic planning
+  - Portfolio management
+  - Investment decisions
+  - Value realization
+
+Outputs:
+  - IT strategic plan
+  - Project portfolio
+  - Investment decisions
+  - Value metrics
+```
+
+**DSS05: Security Services:**
+```yaml
+Purpose: Protect information assets
+
+Activities:
+  - Security strategy
+  - Identity and access management
+  - Security monitoring
+  - Incident response
+
+Outputs:
+  - Security policies
+  - Access controls
+  - Security alerts
+  - Incident reports
+```
+
+## IT Policies
+
+### Policy Hierarchy
+
+```
+┌─────────────────────────────────────┐
+│ IT Policy Framework                  │
+├─────────────────────────────────────┤
+│                                      │
+│  Policies (What)                     │
+│  ├── High-level principles          │
+│  ├── Mandatory requirements         │
+│  └── Board-approved                 │
+│                                      │
+│  Standards (How - Specific)          │
+│  ├── Technical specifications       │
+│  ├── Approved tools and platforms   │
+│  └── Measurable requirements        │
+│                                      │
+│  Procedures (Step-by-Step)           │
+│  ├── Detailed instructions          │
+│  ├── Workflow diagrams              │
+│  └── Operational guidance           │
+│                                      │
+│  Guidelines (Recommendations)        │
+│  ├── Best practices                 │
+│  ├── Suggested approaches           │
+│  └── Optional guidance              │
+│                                      │
+└─────────────────────────────────────┘
+```
+
+### Essential IT Policies
+
+**1. Acceptable Use Policy (AUP):**
+```yaml
+Purpose: Define appropriate use of IT resources
+
+Key Elements:
+  Permitted Uses:
+    - Business-related activities
+    - Reasonable personal use
+    - Professional communication
+
+  Prohibited Uses:
+    - Illegal activities
+    - Harassment or discrimination
+    - Unauthorized access
+    - Malware distribution
+    - Excessive personal use
+
+  Responsibilities:
+    - Protect credentials
+    - Report security incidents
+    - Use approved software only
+    - Comply with licenses
+
+  Consequences:
+    - Warning (first offense)
+    - Suspension (repeat offense)
+    - Termination (serious violation)
+    - Legal action (illegal activity)
+
+Review Frequency: Annual
+```
+
+**2. Information Security Policy:**
+```yaml
+Purpose: Protect confidentiality, integrity, availability of information
+
+Key Elements:
+  Data Classification:
+    - Public: No restrictions
+    - Internal: Internal use only
+    - Confidential: Limited access
+    - Restricted: Highest protection
+
+  Access Control:
+    - Least privilege principle
+    - Role-based access control
+    - Regular access reviews
+    - Multi-factor authentication
+
+  Data Protection:
+    - Encryption requirements
+    - Backup procedures
+    - Data retention
+    - Secure disposal
+
+  Incident Response:
+    - Reporting procedures
+    - Investigation process
+    - Containment measures
+    - Recovery steps
+```
+
+**3. Password Policy:**
+```yaml
+Purpose: Ensure strong authentication
+
+Requirements:
+  Complexity:
+    - Minimum 12 characters
+    - Upper and lowercase
+    - Numbers and special characters
+    - No dictionary words
+
+  Management:
+    - Unique per account
+    - No password reuse (last 10)
+    - Change if compromised
+    - Use password manager
+
+  Protection:
+    - Never share passwords
+    - Don't write passwords down
+    - No password in emails
+    - Secure password storage
+
+  Multi-Factor Authentication:
+    - Required for:
+      * Remote access
+      * Admin accounts
+      * Financial systems
+      * Customer data access
+```
+
+**4. Change Management Policy:**
+```yaml
+Purpose: Control changes to IT environment
+
+Requirements:
+  All Changes Must:
+    - Have business justification
+    - Be documented (RFC)
+    - Undergo risk assessment
+    - Be approved by CAB
+    - Have rollback plan
+    - Be tested before production
+
+  Emergency Changes:
+    - Expedited approval process
+    - Post-implementation review
+    - Documentation catch-up
+
+  Standard Changes:
+    - Pre-approved procedures
+    - Low risk
+    - Automation encouraged
+```
+
+**5. Data Retention Policy:**
+```yaml
+Purpose: Define how long data is kept
+
+Retention Periods:
+
+Financial Records:
+  - Invoices: 7 years
+  - Tax records: 7 years
+  - Payroll: 7 years
+
+Employee Records:
+  - Active employees: Duration + 7 years
+  - Terminated: 7 years after termination
+
+Customer Data:
+  - Active customers: Duration of relationship
+  - Inactive: 3 years
+  - After deletion: Backup retention period
+
+Email:
+  - General: 3 years
+  - Executive: 7 years
+  - Legal hold: Indefinite (until released)
+
+Backups:
+  - Daily: 7 days
+  - Weekly: 4 weeks
+  - Monthly: 12 months
+  - Yearly: 7 years
+```
+
+### Policy Management
+
+```yaml
+Policy Lifecycle:
+
+1. Develop:
+   - Identify need
+   - Draft policy
+   - Stakeholder input
+   - Legal review
+
+2. Approve:
+   - Management review
+   - Board approval (if required)
+   - Sign-off
+
+3. Publish:
+   - Policy repository
+   - Communication plan
+   - Training materials
+   - Awareness campaign
+
+4. Implement:
+   - Roll-out plan
+   - Technical controls
+   - Monitoring
+   - Compliance checks
+
+5. Review:
+   - Annual review
+   - Update as needed
+   - Version control
+   - Change tracking
+
+6. Retire:
+   - Superseded by new policy
+   - Archive old version
+   - Communicate changes
+```
+
+## Compliance Management
+
+### Common Compliance Frameworks
+
+**SOX (Sarbanes-Oxley):**
+```yaml
+Applies To: Public companies
+Focus: Financial reporting controls
+IT Requirements:
+  - Access controls
+  - Change management
+  - Audit trails
+  - Data integrity
+  - Segregation of duties
+```
+
+**HIPAA (Health Insurance Portability and Accountability Act):**
+```yaml
+Applies To: Healthcare organizations
+Focus: Protected Health Information (PHI)
+IT Requirements:
+  - Encryption
+  - Access controls
+  - Audit logs
+  - Breach notification
+  - Risk assessments
+```
+
+**PCI DSS (Payment Card Industry Data Security Standard):**
+```yaml
+Applies To: Organizations handling credit cards
+Focus: Cardholder data protection
+IT Requirements:
+  - Firewalls
+  - Encryption
+  - Access controls
+  - Monitoring
+  - Vulnerability management
+  - Regular testing
+```
+
+**GDPR (General Data Protection Regulation):**
+```yaml
+Applies To: Organizations handling EU citizen data
+Focus: Personal data protection and privacy
+IT Requirements:
+  - Data protection by design
+  - Consent management
+  - Right to erasure
+  - Data portability
+  - Breach notification (72 hours)
+  - Privacy impact assessments
+```
+
+### Compliance Management Program
+
+```yaml
+Compliance Program Structure:
+
+1. Identify Requirements:
+   - Applicable regulations
+   - Industry standards
+   - Contractual obligations
+   - Internal policies
+
+2. Gap Analysis:
+   - Current state assessment
+   - Compare to requirements
+   - Identify gaps
+   - Prioritize remediation
+
+3. Implement Controls:
+   - Technical controls (firewalls, encryption)
+   - Administrative controls (policies, procedures)
+   - Physical controls (access, cameras)
+
+4. Monitor Compliance:
+   - Automated compliance checks
+   - Manual reviews
+   - Audit trails
+   - Exception reports
+
+5. Report:
+   - Compliance dashboard
+   - Management reports
+   - Board updates
+   - Regulatory filings
+
+6. Continuous Improvement:
+   - Learn from audits
+   - Update controls
+   - Adapt to changes
+   - Industry best practices
+```
+
+## Risk Management
+
+### Risk Management Process
+
+```
+┌────────────────────────────────────┐
+│  1. Risk Identification            │
+│     - What could go wrong?         │
+│     - Threat modeling              │
+│     - Vulnerability assessment     │
+└─────────┬──────────────────────────┘
+          ↓
+┌────────────────────────────────────┐
+│  2. Risk Analysis                  │
+│     - Likelihood assessment        │
+│     - Impact assessment            │
+│     - Risk rating                  │
+└─────────┬──────────────────────────┘
+          ↓
+┌────────────────────────────────────┐
+│  3. Risk Evaluation                │
+│     - Compare to risk appetite     │
+│     - Prioritize risks             │
+│     - Determine treatment          │
+└─────────┬──────────────────────────┘
+          ↓
+┌────────────────────────────────────┐
+│  4. Risk Treatment                 │
+│     - Mitigate (reduce)            │
+│     - Transfer (insurance)         │
+│     - Accept (tolerate)            │
+│     - Avoid (eliminate)            │
+└─────────┬──────────────────────────┘
+          ↓
+┌────────────────────────────────────┐
+│  5. Risk Monitoring                │
+│     - Track risk levels            │
+│     - Review controls              │
+│     - Report to management         │
+└────────────────────────────────────┘
+```
+
+### Risk Register
+
+```yaml
+Risk Register Example:
+
+Risk ID: RISK-001
+Title: Data Breach via Phishing Attack
+
+Description:
+  Employees may fall victim to phishing emails, leading to
+  credential compromise and unauthorized access to customer data.
+
+Category: Security
+Owner: CISO
+
+Assessment:
+  Likelihood: High (frequent phishing attempts)
+  Impact: Critical (customer data breach)
+  Inherent Risk: Critical
+  Residual Risk: Medium (after controls)
+
+Treatment: Mitigate
+
+Controls:
+  1. Security awareness training (quarterly)
+  2. Email filtering (anti-phishing tools)
+  3. Multi-factor authentication (MFA required)
+  4. Privileged access management
+  5. Data loss prevention (DLP)
+
+Control Effectiveness:
+  - Training completion: 95%
+  - Phishing test pass rate: 88%
+  - MFA adoption: 100%
+  - DLP policy violations: 3/month (low)
+
+Monitoring:
+  - Monthly phishing simulations
+  - Quarterly training assessments
+  - Daily security alerts
+  - Annual penetration test
+
+Status: Active
+Last Review: 2024-10-15
+Next Review: 2025-01-15
+```
+
+## IT Audits
+
+### Types of Audits
+
+**Internal Audit:**
+```yaml
+Conducted By: Internal audit team
+Frequency: Annual or as needed
+Scope: Specific IT processes or controls
+Purpose: Assess compliance, identify improvements
+Result: Internal report with recommendations
+```
+
+**External Audit:**
+```yaml
+Conducted By: Third-party auditor
+Frequency: Annual (regulatory) or as required
+Scope: Comprehensive or specific (e.g., SOX)
+Purpose: Independent assessment, compliance certification
+Result: Audit report, opinion, certification
+```
+
+**Regulatory Audit:**
+```yaml
+Conducted By: Regulatory body
+Frequency: As mandated or triggered
+Scope: Specific regulatory requirements
+Purpose: Verify compliance
+Result: Findings, potential penalties
+```
+
+### Audit Process
+
+```yaml
+IT Audit Process:
+
+1. Planning (2-4 weeks):
+   - Define scope
+   - Identify key controls
+   - Request documentation
+   - Schedule interviews
+   - Prepare audit plan
+
+2. Fieldwork (4-8 weeks):
+   - Review documentation
+   - Interview personnel
+   - Test controls
+   - Sample transactions
+   - Document findings
+
+3. Reporting (2-3 weeks):
+   - Draft audit report
+   - Management review
+   - Remediation discussion
+   - Finalize report
+   - Present to board
+
+4. Follow-up (Ongoing):
+   - Track remediation
+   - Verify fixes
+   - Monitor improvements
+   - Report status
+```
+
+### Common Audit Findings
+
+```yaml
+Access Control Issues:
+  - Excessive permissions
+  - Shared accounts
+  - Terminated users not removed
+  - No access reviews
+  - Weak passwords
+
+Change Management Issues:
+  - Unauthorized changes
+  - Inadequate testing
+  - Missing approvals
+  - No rollback plans
+  - Poor documentation
+
+Security Issues:
+  - Unpatched systems
+  - Missing encryption
+  - Inadequate logging
+  - No vulnerability scanning
+  - Weak configurations
+
+Backup and Recovery Issues:
+  - Backups not tested
+  - No offsite backups
+  - Missing DR plan
+  - Inadequate retention
+  - No restore testing
+```
+
+## Best Practices
+
+### 1. Governance Structure
+
+```yaml
+IT Governance Structure:
+
+Board of Directors
+    ↓
+IT Steering Committee
+  - CEO
+  - CIO
+  - CFO
+  - Business Unit Heads
+  - IT Leadership
+    ↓
+IT Governance Board
+  - CIO (Chair)
+  - IT Directors
+  - Enterprise Architect
+  - Security Officer
+    ↓
+Working Groups
+  - Security
+  - Architecture
+  - Change Advisory Board
+  - Project Portfolio
+```
+
+### 2. Metrics and KPIs
+
+```yaml
+Governance Metrics:
+
+Strategic Alignment:
+  - IT spending as % of revenue
+  - Projects aligned with strategy (%)
+  - Business satisfaction score
+
+Value Delivery:
+  - ROI on IT projects
+  - Time to market
+  - Cost savings achieved
+
+Risk Management:
+  - Open security vulnerabilities
+  - Audit findings (count)
+  - Incidents due to non-compliance
+
+Resource Optimization:
+  - Asset utilization rate
+  - License compliance %
+  - Cloud cost optimization
+
+Performance:
+  - System availability
+  - Change success rate
+  - Project on-time delivery %
+```
+
+### 3. Policy Awareness
+
+```yaml
+Policy Awareness Program:
+
+New Employee Onboarding:
+  - Policy overview
+  - Acknowledgment form
+  - Quiz on key policies
+
+Annual Training:
+  - Refresher on policies
+  - Updates to policies
+  - Compliance scenarios
+  - Assessment
+
+Communication:
+  - Policy portal (intranet)
+  - Email notifications
+  - Posters and reminders
+  - Lunch and learns
+
+Enforcement:
+  - Monitor compliance
+  - Investigate violations
+  - Consistent consequences
+  - Appeal process
+```
+
+### 4. Continuous Improvement
+
+Learn from audits, incidents, and industry changes.
+
+### 5. Documentation
+
+Maintain comprehensive, up-to-date documentation of all governance activities.
+
+---
+
+**Related Resources:**
+- [itil-framework.md](itil-framework.md) - IT governance practices
+- [asset-management.md](asset-management.md) - IT asset governance
+- [change-management.md](change-management.md) - Change governance