​Auditing Windows operating systems is a critical part of IT security and compliance. A successful audit involves reviewing a host’s configuration, patching, accounts, services, and network exposure—both as a standalone system and as part of a larger domain or enterprise network.

 

System Setup and General Controls

• OS and Patch Levels – Verify that the Windows version is supported and fully patched. Unsupported or unpatched systems increase security risks and compliance gaps.

• Endpoint Protection – Ensure systems run company-approved firewall and anti-malware solutions. (PCI DSS 5.1 requires antivirus or anti-malware for all commonly affected systems.)

• Patch Management Solutions – Confirm systems are enrolled in the enterprise patch management program (e.g., WSUS, SCCM, Intune) to ensure timely security updates.

• Startup and Boot Configurations – Review startup processes, drivers, and scheduled tasks for signs of rogue applications or persistence mechanisms.

 

Services, Applications, and Scheduled Tasks

• Approved Services – Audit enabled services and confirm they are required for business functions. Disable unnecessary or insecure services to reduce attack surface.

• Application Inventory – Ensure only approved applications are installed. Shadow IT increases vulnerabilities and licensing risks.

• Scheduled Tasks – Review scheduled tasks for legitimacy. Malicious tasks can remain hidden and trigger unauthorized actions.

 

Account Management and Access Controls

• User Provisioning and Deprovisioning – Review processes to ensure accounts are created only for business needs and removed immediately upon termination or role changes. (PCI DSS 7).

• Domain Integration – Validate that accounts are managed centrally in Active Directory or Azure AD, with exceptions documented.

• Group Membership – Review group assignments to ensure least privilege. Remove dormant or excessive group memberships.

• Password Policies and MFA – Check that password requirements (length, complexity, expiration, history) meet organizational and compliance standards. Strongly recommend multi-factor authentication (MFA).

 

User Rights and Security Policies

Windows provides granular security options and user rights assignments through Group Policy. Audit to ensure:

• Policies follow corporate security baselines (CIS, NIST, or Microsoft Security Baselines).

• Administrative rights are tightly controlled.

• Audit policies are enabled for logon events, account changes, object access, and system integrity.

 

Network Security and Connectivity

• Remote Access – Review VPN, RDP, and SSH access. Disable legacy or insecure protocols (e.g., Telnet, FTP). Require encrypted channels and MFA for all remote access.

• File Shares – Identify and restrict open or unnecessary shares. Ensure sensitive data (e.g., payroll, HR) is never stored on unrestricted shares.

• Firewall and IPS/IDS Integration – Confirm host-based firewall rules are in place and logs are forwarded to central monitoring.

 

Logging, Monitoring, and Auditing

• Audit Policy Configuration – Verify that advanced audit policies are enabled (Windows Security Auditing). Collect logs for account logon, privilege use, policy change, and object access.

• Centralized Logging – Forward logs to a SIEM or log management platform to ensure events are monitored and correlated.

• Continuous Monitoring – Confirm administrators perform routine checks of system logs, patch status, and configuration changes.