Many organizations are behind on developing effective IT controls, held back by the lack of specialized knowledge, time, and resources, and other barriers to overcoming the inherent complexity of the task. IT and risk leaders must take a step-by-step approach to these challenges, in order to counter risks, avoid breaches, and maintain compliance, while safeguarding their operations and reputation.

1. Know and counter the IT risks that matter most.

Taking a structured risk-first approach to developing and managing IT controls will deliver the most effective risk mitigation results at the lowest cost to the organization, optimizing the deployment of risk specialists and resources.

2. Don’t ignore your end users.

Your organization’s end users will be ultimately responsible for the IT risk controls framework you build. You must ensure their involvement in the development of those controls, rather than designing them in isolation.

3. Make monitoring and reporting integral to your system.

Effective IT controls management is not a matter of building a system and then leaving it to operate on its own. Monitoring and reporting must be integral parts of your IT controls. Neglecting that aspect of your framework leaves you vulnerable to undetected breaches, compliance gaps, and inefficiencies, which could result in severe damage to your organization’s operations and reputation.

Build an Effective IT Controls Register Research & Tools

1. Build an Effective IT Controls Register Deck – A step-by-step guide for building an IT risk and controls framework that effectively manages your biggest risks.

Use this deck to get a clear picture of the task ahead and methodically build an IT controls register that is comprehensive and sophisticated enough to withstand the challenges of today’s ever-changing risk environment.

Understand the challenges, obstacles, and benefits of building an IT controls register.

Leverage a structured, risk-based methodology to assess, develop, and manage IT controls.

Encounter expert insights to guide your IT controls approach.

2. IT Controls Register – A detailed workbook that acts as a central repository for every stage of your IT controls register efforts.

An Excel-based tool designed to support you in carrying out each of the steps outlined in your IT controls register blueprint.

Run through prerequisite checklists and set goals and outcome measures.

Build detailed registers and define taxonomies for both new and updated risks and controls.

Set out your controls monitoring and reporting plan, including defining audiences, responsibilities, and cadence.

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IT Controls and Assurance

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Course Modules: 5
Estimated Completion Time: 1.5 hours

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IT Controls and Assurance | Introduction

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Build an Effective IT Controls Register

Confidently counter IT risks that matter.

An image of Info-tech's IT Management and Governance Framework

Analyst perspective

Confidently counter IT risks that matter.

"If you think compliance is expensive, try non-compliance"

– former US Deputy Attorney General Paul McNulty, as quoted in Insurance Business, 2025

In today's volatile environment, with rapid technological, geopolitical, and regulatory changes defining the landscape, you would think that most IT organizations would have a highly mature IT risk and controls management to counter new technological risks as well as other high severity risks. Surprisingly it is not so, and most organizations can best be defined as weak in terms of their IT controls management!

Several barriers, such as the inherent complexity of developing controls, lack of specialized knowledge, lack of time/resources, and an inability to keep pace with environmental changes, have led to this state. Several technology and risk leaders lament, "if only we had a step-by-step logical framework to set up our IT controls management; this is too difficult; and I do not have the time!"

Well, we heard you there and produced this blueprint! This blueprint will help you develop a comprehensive IT controls register through a structured, risk-first, and data-driven approach to controls management, which is essential for enhancing risk and productivity outcomes. It outlines a phased methodology, starting with assessing risk management maturity, defining control goals, evaluating current controls, identifying gaps, developing new controls, and establishing a monitoring and reporting plan. This approach also highlights the importance of involving end users in control design and ensuring controls are not overly stringent or duplicative. By following this blueprint, organizations can confidently counter IT risks, avoid significant breaches, and maintain compliance, ultimately safeguarding their operations and reputation.

Anubhav (Anu) Sharma

Anubhav (Anu) Sharma
Research Director, CIO Advisory Practice
Info-Tech Research Group

Build an Effective IT Controls Register

Confidently counter IT risks that matter.

EXECUTIVE BRIEF

Executive summary

Your Challenge

IT/risk leaders need a controls capability that helps them to identify their greatest risks and enhance the effectiveness of their internal IT controls while keeping them in line with rapidly evolving regulations as well as the technological environment.

Deficiencies in controls could result in serious breaches for an organization or, worse, cost IT/risk leaders their jobs.

Despite these drastic consequences, the system of internal controls at most organizations can, at best, be defined as weak.

Common Obstacles

Numerous barriers exist to building strong IT controls:

Inherent complexity: IT environments can be complex, with a wide range of IT controls that are to be developed and tested cross-functionally across the organization. This can make controls management time-consuming and challenging.
Resource and time constraints: Assessing and developing controls can require significant resources, including personnel, time, and specialized knowledge and tools.
Inconsistent approaches: Inconsistent approaches to controls management can add to the complexity and reduce productivity.
Evolving regulations: Regulations keep changing and it is hard to keep your IT controls in sync with them.
Environmental changes: Nature of technology risk is evolving. Risks from AI tend to be more difficult to predict and develop controls for.

Info-Tech's Approach

Our approach helps provide a structured and actionable framework to assess, develop, and manage IT controls that will address your greatest IT risks in a comprehensive, risk-first, and data-driven manner.

Phase 1: Define your goals and map current controls
Phase 2: Evaluate current controls and build new controls
Phase 3: Develop controls monitoring and reporting plan

This approach will lead to enhanced risk and productivity outcomes which are critical in a complex and rapidly evolving regulatory and technological environment.

It sets the base for you to comply with needed regulations as well as implement governance, risk, and compliance (GRC) tools and start optimally leveraging AI and other embedded technologies.

In addition, by reducing massive failure risk, our approach helps you keep your job!

Info-Tech Insight

Organizations are increasingly transitioning to a risk-based approach to controls management as just a compliance-based approach can prove to be too myopic in the era of exponential risk. It makes sense that with limited time and resources at your disposal, you first tackle your greatest risks in a structured and organized manner.

What is an IT control?

An internal control is an organization's mechanism to ensure the objective of a process is achieved.

IT controls are a subset of an organization's internal controls and are defined as activities performed by persons or systems to ensure that computer systems operate in a way that minimizes risk.

IT control objectives typically relate to assuring the confidentiality, integrity, and availability of data and the overall management of the IT function.

IT controls are often described in two categories: IT general controls (ITGC) and IT application controls.

ITGC includes controls over the hardware, system software, operational processes, access to programs and data, program development, and program changes.

IT application controls refer to controls to ensure the integrity of the information processed by the IT environment. Both tend to have broader implications across the organization and are cross-functional in their operating nature.

Examples of controls in daily life

Seatbelts
Door locks
ATM Pins (keep separate)
Bank account review and reconciliation

Your challenge

IT/risk leaders need a controls capability that helps them to identify their greatest risks and enhance the effectiveness of their internal IT controls while keeping them in line with rapidly evolving regulations as well as the technological environment.

Deficiencies in controls could result in serious breaches for an organization or, worse, cost IT/risk leaders their jobs.
Despite these drastic consequences, the system of internal controls at most organizations can, at best, be defined as weak.
Lower controls maturity has been seen to result in lower five-year share price for organizations; hence, it has an impact on organizational objectives.
Noncompliance costs are significantly higher than costs of strong compliance, thus there is no excuse not to invest in a good controls program.

Low average controls maturity

9%	Only 9% have a strong risk and controls culture within the organization.
39%	Only 39% of respondents have an advanced or matured controls framework.

Source: Deloitte, 2024

Why it matters

50%	50% average five-year share price improvement for companies with high/very high controls maturity vs. 5% for those with low/medium maturity.

Source: Deloitte Future of Controls, 2024

2.71x:

Noncompliance costs 2.71x the cost of compliance.

Source: Ponemon Institute, 2011

There are several obstacles for an organization looking to evolve their IT controls management

1	Inherent complexity: IT environments can be complex, with a wide range of IT controls that are to be developed and tested cross-functionally across the organization. This can make controls management time-consuming and challenging.
2	Resource and time constraints: Assessing and developing controls can require significant resources, including personnel, time, and specialized knowledge and tools.
3	Inconsistent approaches: Inconsistent approaches to controls management can add to the complexity and reduce productivity.
4	Evolving regulations: Regulations keep changing and it is hard to keep your IT controls in sync with them.
5	Environmental changes: Nature of technology risk is evolving. Risks from AI tend to be more difficult to predict and develop controls for.
6	Only compliance viewpoint: Myopic view of risk and controls from a compliance standpoint and not a risk-based standpoint can leave the organization vulnerable to emerging technology risks.

Info-Tech's approach to building your IT controls register

	Pre-Phase	Phase 1	Phase 2	Phase 3
Activities	Assess Risk Management Maturity and Need for Controls	Define Your Goals and Map Current Controls	Evaluate Current Controls and Build New Controls	Develop Monitoring and Reporting Plan
Activities	Use a risk management assessment checklist to validate whether we have the prerequisites for working on the IT controls blueprint. Identify your greatest or potentially most impactful risks based on risk scores (Likelihood, Impact). (Optional) Identify focus areas and people (e.g. IT, audit, and business folks) for possible workshop on controls.	Define your goals and outcome measures for IT controls management. Build your control taxonomy and map to your risk taxonomy [can either follow example from Info- Tech or use whatever you already have]. Baseline current controls vs. greatest identified risks via the classification of preventative, detective, and corrective controls.	Use the factors that Info-Tech has provided and finalize the factors that you will use for your controls evaluation. Reach out to relevant stakeholders and data sources to get data to conduct your controls evaluation. Execute controls evaluation using the Info-Tech template. Develop controls for deficient areas, evaluate their effectiveness, and develop tracking metrics. Suggestion is to pick one focus area and then iterate for other areas. For a workshop, we will work with the right stakeholders in the room to focus on one area.	Develop monitoring plan. Develop reporting plan. Finalize the IT controls register and transfer new information to your original risk and controls repository.
Inputs	Risk framework and register	Controls taxonomy that maps existing controls to the identified greatest risks	Control objectives and success measures Baseline of current controls Key controls evaluation factors	Inputs from specific area for monitoring/RCSA plan Stakeholders list
Outputs	Completed assessment checklist List of your greatest or potentially most impactful risks identified (Optional) List of focus areas and workshop participants	Goals Outcome measures Baseline of current controls Controls taxonomy mapping	Identified lists of effective and ineffective controls Designed new controls along with tracking metrics	Monitoring plan Reporting plan Updated risk and controls repository

Info-Tech Insight

All outputs can be captured in the IT Controls Register template provided with this blueprint or can be updated in your original risk and controls repository (e.g. in your organization's GRC tool).

Build an effective IT controls register methodology.

Insight summary

An IT controls register helps confidently counter the IT risks that matter.

Having a structured risk-first and data-driven approach to identifying and managing IT controls will lead to the best risk mitigation results at the lowest cost to the organization, optimizing the usage of limited risk personnel and resources.

A robust controls taxonomy enables better controls management through:

Consolidation and shared controls language.
Reporting on controls at different aggregate levels.
Benchmarking and comparison.
Identifying gaps in your controls management.

Controls effectiveness evaluation should be based on multiple factors.

It is not just enough to evaluate controls only from a design point of view. Make sure to also factor in implementation quality, feasibility, user feedback, as well as audit/self-assessment findings.

IT controls monitoring and reporting plans will help in proactive management of risks.

Without monitoring and reporting, organizations remain vulnerable to undetected breaches, compliance gaps, and inefficiencies which could potentially result in severe damage.

Having a risk framework/risk register is a prerequisite.

Before we deep dive into internal IT controls, it is important that you have first defined your risk framework/register as controls management is a subsequent step.

Involve end/business users in controls design.

It is important that controls are not designed in isolation and that their development has the involvement of the end/business users since they are responsible for them.

Blueprint deliverables

Each step of this blueprint is accompanied by supporting deliverables to help you accomplish your goals.

Risk Management Checklist
Goals & Outcomes Template
Likelihood and Impact Scales
Risk Register
Controls Register
Controls Effectiveness Checklist
Risk Taxonomy
Controls Taxonomy
Monitoring Plan Template
Reporting Plan Template

Key deliverable:

A screenshot from the IT Controls Register Excel Document.

IT Controls Register

Excel document which maps controls to the greatest risks, evaluates their effectiveness, defines new controls, and has a defined monitoring and reporting plan.

Blueprint benefits

IT Benefits

Business Benefits

Understand and action your risk and controls responsibilities in a comprehensive and risk-first and data-driven manner.
Overcome any gaps in terms of knowledge, time, and resources toward IT controls management.
Optimize your investment and resourcing in IT controls.
Integrate better with enterprise risk management by having a structured way to manage IT controls.
Get ready to move your risk and controls management to a GRC tool.

Avoid massive breaches which lead to not meeting organizational objectives.
Keep risks within organizational appetite and tolerance limits.
Have more freedom in terms of pursuing organizational growth objectives by achieving organizational resilience.

Track the outcome measures developed in Phase 1, Step 1.1 to track the organizational benefits you receive from actioning this blueprint.

Measure the value of this blueprint

Most organizations will need to spend a lot of money and resources in creating an IT controls register if they do not use Info-Tech's resources.

Based on similar efforts, we estimate that most organizations would take months to prepare an IT controls register without our resources. That's nearly 65 hours per person multiplied by the number of people involved in researching and gathering data to support due diligence, for a total cost of thousands of dollars. Improve your success rate and reduce your effort by using Info-Tech's methodology developed through the combined insights of seasoned Info-Tech experts.

Value of this blueprint = Reduced effort and cost to develop an IT controls register by following this blueprint methodology versus developing a similar document without Info-Tech's methodology and resources.

Estimated time commitment without Info-Tech's research (person-hours)

Case Example

INDUSTRY: Technology
TYPE: Semiconductor Manufacturer

Acme Inc. develops their IT controls register to counter their greatest risks.

Acme Inc. is a global semiconductor manufacturer specializing in advanced sensor technologies. The company has grown to become a key supplier to major automotive original equipment manufacturers (OEMs) worldwide.

Annual Revenue: $500 million

Employees: 1500

Manufacturing Facilities: US, Canada, UK, China

The company has a complex global supply chain, highly automated production lines, and a just-in-time manufacturing model.

It is connected by a global ERP system, cloud-based lifecycle management, and real-time order tracking portal for customers.

It has a high-pressure delivery schedule and has to undergo strict quality control requirements and technology audits from customers as well as its auditors. In addition, it has complex intellectual property which it needs to protect.

Currently, it is looking to digitally transform its technology in the midst of rising technology regulatory requirements, the need to protect intellectual property amongst growing cyberthreats in the semiconductor industry, and uncertainty in the global supply chain.

The CIO along with the CRO want to ensure that they are countering the greatest IT risks and want to do a comprehensive risk assessment and IT controls register development to be confident in their organizational resilience. CIO does have a risk register but needs more structure to do this well and has limited resources and time, but she also understands that with AI and other exponential technologies used by threat actors, having effective IT controls is essential.

Let us follow their journey throughout this blueprint through each phase.

Follow Acme Inc.'s IT controls register journey throughout this blueprint:

Pre-Phase: Identification of greatest IT risks
Phase 1: Developing goals, outcomes, and mapping controls
Phase 2: Evaluating controls and developing new controls
Phase 3: Developing a monitoring and reporting plan

Info-Tech offers various levels of support to best suit your needs

DIY Toolkit

“Our team has already made this critical project a priority, and we have the time and capability, but some guidance along the way would be helpful.”

Guided Implementation

“Our team knows that we need to fix a process, but we need assistance to determine where to focus. Some check-ins along the way would help keep us on track.”

Workshop

“We need to hit the ground running and get this project kicked off immediately. Our team has the ability to take this over once we get a framework and strategy in place.”

Consulting

“Our team does not have the time or the knowledge to take this project on. We need assistance through the entirety of this project.”

Diagnostics and consistent frameworks used throughout all four options

Guided Implementation

What does a typical GI on this topic look like?

A Guided Implementation (GI) is a series of calls with an Info-Tech analyst to help implement our best practices in your organization.

A typical GI is 8 to 12 calls over the course of 3 to 4 months.

Workshop Overview

Contact your account representative for more information.
workshops@infotech.com 1-888-670-8889

	Pre-Work	Day 1	Day 2	Day 3	Day 4	Day 5
Activities	Assess risk management maturity and need for controls	Define control objectives and map current controls	Map current controls (cont'd.) and evaluate control effectiveness	Develop/design controls cont'd.	Develop monitoring and reporting plan	Next steps and wrap-up (offsite)
Activities	0.1 Use a risk management assessment checklist to validate whether we have the prerequisites for working on the IT controls blueprint. 0.2 Identify your greatest or potentially most impactful risks based on risk scores (likelihood, impact). 0.3 Identify focus areas and people for possible workshop (e.g. IT, audit, and business folks) on controls.	1.1 Introduce the workshop agenda and objectives. 1.2 Define your goals and outcome measures for implementing controls management. 1.3 Build your control taxonomy and map to your risk taxonomy (can either follow example from Info-Tech or use whatever you already have). 1.4 Baseline current controls vs. greatest identified risks via the classification of preventative, detective, and corrective controls.	2.1 Baseline current controls vs. greatest identified risks via the classification of preventative, detective, and corrective controls. 2.2 Use the factors that Info-Tech has provided and finalize the factors that you will use for your controls evaluation. 2.3 Execute controls evaluation utilizing the Info-Tech template.	3.1 Execute controls evaluation utilizing the Info-Tech template (cont'd.). 3.2 Develop/design new/modified controls for a pre-identified focus area with the understanding that similar processes will be adopted for other focus areas outside the workshop.	4.1 Develop monitoring plan. 4.2 Develop reporting plan. 4.3 Transfer new information to your original risk and controls repository.	5.1 Complete in-progress deliverables from previous four days. 5.2 Set up review time for workshop deliverables and to discuss next steps.
Deliverables	Completed assessment checklist List of your greatest or potentially most impactful risks identified List of focus areas and workshop participants	Goals Outcome measures Baseline of current controls Controls taxonomy mapping	Identified lists of effective and ineffective controls	Identified lists of effective and ineffective controls (cont'd.) Designed new controls along with tracking metrics	Monitoring plan Reporting plan Updated risk and controls repository	Aligned next steps

Pre-Phase

Assess Risk Management Maturity and Need for Controls

Pre-Phase	Phase 1	Phase 2	Phase 3
0.1 Check completeness of prerequisites 0.2 Identify your greatest risks	1.1 Define your goals and outcome measures 1.2 Build your control taxonomy 1.3 Map your existing controls	2.1 Finalize your controls evaluation framework and gather relevant data 2.2 Execute the controls evaluation 2.3 Design new/modified controls	3.1 Establish monitoring plan 3.2 Establish reporting plan 3.3 Finalize IT controls register and transfer to original repository

Pre-Phase

Phase 1

Phase 2

Phase 3

0.1 Check completeness of prerequisites

0.2 Identify your greatest risks

1.1 Define your goals and outcome measures

1.2 Build your control taxonomy

1.3 Map your existing controls

2.1 Finalize your controls evaluation framework and gather relevant data

2.2 Execute the controls evaluation

2.3 Design new/modified controls

3.1 Establish monitoring plan

3.2 Establish reporting plan

3.3 Finalize IT controls register and transfer to original repository

This phase will get you the following outcomes:

Completed assessment checklist
List of your greatest or potentially most impactful risks identified
(Optional) List of focus areas and workshop participants

This phase involves the following participants:

IT/risk leader, focus area business stakeholder

Risk management and controls are two sides of the same coin

Good risk management involves identifying the greatest risks facing the organization and then designing and implementing effective controls to mitigate the impact of those risks.

An image of the risk management process.

A prerequisite to working on controls is to first be able to identify your greatest risks and document these in a repository such as a risk register. Then focus on mapping, evaluating, and designing controls which help to mitigate these risks.

This approach will help focus your efforts on getting maximum value from minimum resource utilization.

Confidently counter IT risks that matter.

About Info-Tech

Info-Tech Research Group is the world’s fastest-growing information technology research and advisory company, proudly serving over 30,000 IT professionals.

We produce unbiased and highly relevant research to help CIOs and IT leaders make strategic, timely, and well-informed decisions. We partner closely with IT teams to provide everything they need, from actionable tools to analyst guidance, ensuring they deliver measurable results for their organizations.

What Is a Blueprint?

A blueprint is designed to be a roadmap, containing a methodology and the tools and templates you need to solve your IT problems.

Each blueprint can be accompanied by a Guided Implementation that provides you access to our world-class analysts to help you get through the project.

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