it audit methodologies. it audit methodoloies it audit methodologies cobit bs 7799 - code of...
TRANSCRIPT
IT AuditMethodologies
IT Audit Methodologies
IT Audit Methodoloies
IT Audit Methodologies CobiT BS 7799 - Code of Practice (CoP) BSI - IT Baseline Protection Manual ITSEC Common Criteria (CC)
IT Audit Methodoloies
IT Audit Methodologies - URLs CobiT: www.isaca.org BS7799: www.bsi.org.uk/disc/ BSI: www.bsi.bund.de/gshb/english/menue.htm ITSEC: www.itsec.gov.uk CC: csrc.nist.gov/cc/
IT Audit Methodoloies
Main Areas of Use IT Audits Risk Analysis Health Checks (Security Benchmarking) Security Concepts Security Manuals / Handbooks
IT Audit Methodoloies
Security Definition Confidentiality Integrity
Correctness Completeness
Availability
IT Audit Methodoloies
CobiT Governance, Control & Audit for IT Developed by ISACA Releases
CobiT 1: 1996 32 Processes 271 Control Objectives
CobiT 2: 1998 34 Processes 302 Control Objectives
IT Audit Methodoloies
CobiT - Model for IT Governance 36 Control models used as basis:
Business control models (e.g. COSO) IT control models (e.g. DTI‘s CoP)
CobiT control model covers: Security (Confidentiality, Integrity, Availability) Fiduciary (Effectiveness, Efficiency, Compliance, Reliability of Information) IT Resources (Data, Application Systems, Technology, Facilities, People)
IT Audit Methodoloies
CobiT - Framework
IT Audit Methodoloies
CobiT - Structure 4 Domains
PO - Planning & Organisation 11 processes (high-level control objectives)
AI - Acquisition & Implementation 6 processes (high-level control objectives)
DS - Delivery & Support 13 processes (high-level control objectives)
M - Monitoring 4 processes (high-level control objectives)
IT Audit Methodoloies
PO - Planning and Organisation PO 1 Define a Strategic IT Plan
PO 2 Define the Information Architecture
PO 3 Determine the Technological Direction
PO 4 Define the IT Organisation and Relationships
PO 5 Manage the IT Investment
PO 6 Communicate Management Aims and Direction
PO 7 Manage Human Resources
PO 8 Ensure Compliance with External Requirements
PO 9 Assess Risks
PO 10 Manage Projects
PO 11 Manage Quality
IT Audit Methodoloies
AI - Acquisition and Implementation AI 1 Identify Solutions AI 2 Acquire and Maintain Application Software AI 3 Acquire and Maintain Technology Architecture AI 4 Develop and Maintain IT Procedures AI 5 Install and Accredit Systems AI 6 Manage Changes
IT Audit Methodoloies
DS - Delivery and Support DS 1 Define Service Levels
DS 2 Manage Third-Party Services
DS 3 Manage Performance and
Capacity
DS 4 Ensure Continuous Service
DS 5 Ensure Systems Security
DS 6 Identify and Attribute Costs
DS 7 Educate and Train Users
DS 8 Assist and Advise IT
Customers
DS 9 Manage the Configuration
DS 10 Manage Problems and
Incidents
DS 11 Manage Data
DS 12 Manage Facilities
DS 13 Manage Operations
IT Audit Methodoloies
M - Monitoring M 1 Monitor the Processes M 2 Assess Internal Control Adequacy M 3 Obtain Independent Assurance M 4 Provide for Independent Audit
IT Audit Methodoloies
CobiT - IT Process MatrixInformation Criteria
Effectiveness Efficiency Confidentiality Integrity Availability Compliance Reliability
IT Resources People Applications Technology Facilities Data
IT Processes
Microsoft Excel-Tabelle
IT Audit Methodoloies
CobiT - Summary Mainly used for IT audits, incl. security aspects No detailed evaluation methodology described Developed by international organisation (ISACA) Up-to-date: Version 2 released in 1998 Only high-level control objectives described Detailed IT control measures are not documented Not very user friendly - learning curve! Evaluation results not shown in graphic form
IT Audit Methodoloies
CobiT - Summary May be used for self assessments Useful aid in implementing IT control systems No suitable basis to write security handbooks CobiT package from ISACA: $ 100.-- 3 parts freely downloadable from ISACA site Software available from Methodware Ltd., NZ (www.methodware.co.nz)
CobiT Advisor 2nd edition: US$ 600.--
IT Audit Methodoloies
BS 7799 - CoP Code of Practice for Inform. Security Manag. Developed by UK DTI, BSI: British Standard Releases
CoP: 1993 BS 7799: Part 1: 1995 BS 7799: Part 2: 1998
Certification & Accreditation scheme (c:cure)
IT Audit Methodoloies
BS 7799 - Security Baseline Controls 10 control categories 32 control groups 109 security controls 10 security key controls
IT Audit Methodoloies
BS 7799 - Control Categories Information security policy Security organisation Assets classification & control Personnel security Physical & environmental security Computer & network management
IT Audit Methodoloies
BS 7799 - Control Categories System access control Systems development & maintenance Business continuity planning Compliance
IT Audit Methodoloies
BS7799 - 10 Key Controls Information security policy document Allocation of information security responsibilities Information security education and training Reporting of security incidents Virus controls
IT Audit Methodoloies
BS7799 - 10 Key Controls Business continuity planning process Control of proprietary software copying Safeguarding of organizational records Data protection Compliance with security policy
IT Audit Methodoloies
BS7799 - Summary Main use: Security Concepts & Health Checks No evaluation methodology described British Standard, developed by UK DTI Certification scheme in place (c:cure) BS7799, Part1, 1995 is being revised in 1999 Lists 109 ready-to-use security controls No detailed security measures described Very user friendly - easy to learn
IT Audit Methodoloies
BS7799 - Summary Evaluation results not shown in graphic form May be used for self assessments BS7799, Part1: £ 94.-- BS7799, Part2: £ 36.-- BSI Electronic book of Part 1: £ 190.-- + VAT Several BS7799 c:cure publications from BSI CoP-iT software from SMH, UK: £349+VAT (www.smhplc.com)
IT Audit Methodoloies
BSI (Bundesamt für Sicherheit in der Informationstechnik) IT Baseline Protection Manual
(IT- Grundschutzhandbuch ) Developed by German BSI (GISA: German Information Security Agency) Releases:
IT security manual: 1992 IT baseline protection manual: 1995 New versions (paper and CD-ROM): each year
IT Audit Methodoloies
BSI - Approach
IT Audit Methodoloies
BSI - Approach Used to determine IT security measures for medium-level protection requirements Straight forward approach since detailed risk analysis is not performed Based on generic & platform specific security requirements detailed protection
measures are constructed using given building blocks List of assembled security measures may be used to establish or enhance baseline
protection
IT Audit Methodoloies
BSI - Structure IT security measures
7 areas 34 modules (building blocks)
Safeguards catalogue 6 categories of security measures
Threats catalogue 5 categories of threats
IT Audit Methodoloies
BSI - Security Measures (Modules)
Protection for generic components Infrastructure Non-networked systems LANs Data transfer systems Telecommunications Other IT components
IT Audit Methodoloies
BSI - Generic Components 3.1 Organisation 3.2 Personnel 3.3 Contingency Planning 3.4 Data Protection
IT Audit Methodoloies
BSI - Infrastructure 4.1 Buildings 4.2 Cabling 4.3 Rooms 4.3.1 Office 4.3.2 Server Room 4.3.3 Storage Media Archives 4.3.4 Technical Infrastructure Room 4.4 Protective cabinets 4.5 Home working place
IT Audit Methodoloies
BSI - Non-Networked Systems 5.1 DOS PC (Single User) 5.2 UNIX System 5.3 Laptop 5.4 DOS PC (multiuser) 5.5 Non-networked Windows NT computer 5.6 PC with Windows 95 5.99 Stand-alone IT systems
IT Audit Methodoloies
BSI - LANs 6.1 Server-Based Network 6.2 Networked Unix Systems 6.3 Peer-to-Peer Network 6.4 Windows NT network 6.5 Novell Netware 3.x 6.6 Novell Netware version 4.x 6.7 Heterogeneous networks
IT Audit Methodoloies
BSI - Data Transfer Systems 7.1 Data Carrier Exchange 7.2 Modem 7.3 Firewall 7.4 E-mail
IT Audit Methodoloies
BSI - Telecommunications 8.1 Telecommunication system 8.2 Fax Machine 8.3 Telephone Answering Machine 8.4 LAN integration of an IT system via ISDN
IT Audit Methodoloies
BSI - Other IT Components 9.1 Standard Software 9.2 Databases 9.3 Telecommuting
IT Audit Methodoloies
BSI - Module „Data Protection“ (3.4) Threats - Technical failure:
T 4.13 Loss of stored data Security Measures - Contingency planning:
S 6.36 Stipulating a minimum data protection concept S 6.37 Documenting data protection procedures S 6.33 Development of a data protection concept (optional) S 6.34 Determining the factors influencing data protection (optional) S 6.35 Stipulating data protection procedures (optional) S 6.41 Training data reconstruction
Security Measures - Organisation: S 2.41 Employees' commitment to data protection S 2.137 Procurement of a suitable data backup system
IT Audit Methodoloies
BSI - Safeguards (420 safeguards) S1 - Infrastructure ( 45 safeguards) S2 - Organisation (153 safeguards) S3 - Personnel ( 22 safeguards) S4 - Hardware & Software ( 83 safeguards) S5 - Communications ( 62 safeguards) S6 - Contingency Planning ( 55 safeguards)
IT Audit Methodoloies
BSI - S1-Infrastructure (45 safeguards) S 1.7 Hand-held fire extinguishers S 1.10 Use of safety doors S 1.17 Entrance control service S 1.18 Intruder and fire detection devices S 1.27 Air conditioning S 1.28 Local uninterruptible power supply [UPS] S 1.36 Safekeeping of data carriers before and after dispatch
IT Audit Methodoloies
BSI - Security Threats (209 threats) T1 - Force Majeure (10 threats) T2 - Organisational Shortcomings (58 threats) T3 - Human Errors (31 threats) T4 - Technical Failure (32 threats) T5 - Deliberate acts (78 threats)
IT Audit Methodoloies
BSI - T3-Human Errors (31 threats)
T 3.1 Loss of data confidentiality/integrity as a result of IT user error T 3.3 Non-compliance with IT security measures T 3.6 Threat posed by cleaning staff or outside staff T 3.9 Incorrect management of the IT system T 3.12 Loss of storage media during transfer T 3.16 Incorrect administration of site and data access rights T 3.24 Inadvertent manipulation of data T 3.25 Negligent deletion of objects
IT Audit Methodoloies
BSI - Summary Main use: Security concepts & manuals No evaluation methodology described Developed by German BSI (GISA) Updated version released each year Lists 209 threats & 420 security measures 34 modules cover generic & platform specific security requirements
IT Audit Methodoloies
BSI - Summary User friendly with a lot of security details Not suitable for security risk analysis Results of security coverage not shown in graphic form Manual in HTML format on BSI web server Manual in Winword format on CD-ROM
(first CD free, additional CDs cost DM 50.-- each)
Paper copy of manual: DM 118.--
Software ‚BSI Tool‘ (only in German): DM 515.--
IT Audit Methodoloies
ITSEC, Common Criteria ITSEC: IT Security Evaluation Criteria Developed by UK, Germany, France, Netherl. and based primarily on USA TCSEC (Orange
Book) Releases
ITSEC: 1991 ITSEM: 1993 (IT Security Evaluation Manual) UK IT Security Evaluation & Certification scheme: 1994
IT Audit Methodoloies
ITSEC, Common Criteria Common Criteria (CC) Developed by USA, EC: based on ITSEC ISO International Standard Releases
CC 1.0: 1996 CC 2.0: 1998 ISO IS 15408: 1999
IT Audit Methodoloies
ITSEC - Methodology Based on systematic, documented approach for security evaluations of systems &
products Open ended with regard to defined set of security objectives
ITSEC Functionality classes; e.g. FC-C2 CC protection profiles
Evaluation steps: Definition of functionality Assurance: confidence in functionality
IT Audit Methodoloies
ITSEC - Functionality Security objectives (Why)
Risk analysis (Threats, Countermeasures) Security policy
Security enforcing functions (What) technical & non-technical
Security mechanisms (How) Evaluation levels
IT Audit Methodoloies
ITSEC - Assurance Goal: Confidence in functions & mechanisms Correctness
Construction (development process & environment) Operation (process & environment)
Effectiveness Suitability analysis Strength of mechanism analysis Vulnerabilities (construction & operation)
IT Audit Methodoloies
CC - Security Concept
IT Audit Methodoloies
CC - Evaluation Goal
IT Audit Methodoloies
CC - Documentation
CC Part 1Introduction and Model Introduction to
Approach
Terms and Model
Requirements forProtection Profiles (PP)and Security Targets (ST)
CC Part 2Functional Requirements
Functional Classes
Functional Families
FunctionalComponents
Detailed Requirements
CC Part 3Assurance Requirements
Assurance Classes
Assurance Families
Assurance Components
Detailed Requirements
Evaluation AssuranceLevels (EAL)
IT Audit Methodoloies
CC - Security Requirements
Functional Requirements
for defining security behavior of the IT product or system:
implemented requirements become security functions
Assurance Requirements
for establishing confidence in Security Functions:
correctness of implementation effectiveness in satisfying
objectives
IT Audit Methodoloies
CC - Security Functional ClassesNameAuditCommunicationsCryptographic SupportUser Data ProtectionIdentification & AuthenticationSecurity ManagementPrivacyProtection of TOE Security FunctionsResource UtilizationTOE (Target Of Evaluation) AccessTrusted Path / Channels
ClassFAUFCOFCSFDPFIAFMTFPRFPTFRUFTAFTP
IT Audit Methodoloies
CC - Security Assurance ClassesNameConfiguration Management
Delivery & OperationDevelopmentGuidance DocumentsLife Cycle SupportTestsVulnerability AssessmentProtection Profile EvaluationSecurity Target EvaluationMaintenance of Assurance
ClassACMADOADVAGDALCATEAVAAPEASEAMA
IT Audit Methodoloies
CC - Eval. Assurance Levels (EALs)
*TCSEC = “Trusted Computer Security Evaluation Criteria” --”Orange Book”
NameFunctionally TestedStructurally TestedMethodically Tested & CheckedMethodically Designed, Tested & ReviewedSemiformally Designed & TestedSemiformally Verified Design & TestedFormally Verified Design & Tested
EALEAL1EAL2EAL3EAL4EAL5EAL6EAL7
*TCSEC
C1C2B1B2B3A1
IT Audit Methodoloies
ITSEC, CC - Summary Used primarily for security evaluations and not for generalized IT audits Defines evaluation methodology Based on International Standard (ISO 15408) Certification scheme in place Updated & enhanced on a yearly basis Includes extensible standard sets of security requirements (Protection Profile libraries)
IT Audit Methodoloies
Comparison of Methods - Criteria Standardisation Independence Certifiability Applicability in practice Adaptability
IT Audit Methodoloies
Comparison of Methods - Criteria Extent of Scope Presentation of Results Efficiency Update frequency Ease of Use
IT Audit Methodoloies
Comparison of Methods - Results
CobiT3.43.32.72.83.33.11.93.03.12.3
StandardisationIndependenceCertifyabilityApplicability in practiceAdaptabilityExtent of ScopePresentation of ResultsEfficiencyUpdate frequencyEase of Use
BS 77993.33.63.33.02.82.92.22.82.42.7
BSI3.13.53.03.13.32.72.63.03.42.8
ITSEC/CC
3.93.93.72.53.02.61.72.52.82.0
Scores between 1 (low) and 4 (high) - Scores for CobiT, BS7799, BSI from ISACA Swiss chapter; score for ITSEC/CC form H.P. Winiger
IT Audit Methodoloies
CobiT - Assessment
IT Audit Methodoloies
BS 7799 - Assessment
IT Audit Methodoloies
BSI - Assessment
IT Audit Methodoloies
ITSEC/CC - Assessment
IT Audit Methodoloies
Use of Methods for IT Audits CobiT: Audit method for all IT processes ITSEC, CC: Systematic approach for evaluations BS7799, BSI: List of detailed security measures to be used as best practice
documentation Detailed audit plans, checklists, tools for technical audits (operating systems, LANs,
etc.) What is needed in addition:
Audit concept (general aspects, infrastructure audits, application audits)
Herzlichen Dank für Ihr Interesse an
IT Audit Methodologies