IT Audit Methodologies

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 Methodologies - URLs 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/

Main Areas of Use IT Audits Risk Analysis IT Audit Methodoloies Main Areas of Use IT Audits Risk Analysis Health Checks (Security Benchmarking) Security Concepts Security Manuals / Handbooks

Security Definition Confidentiality Integrity Correctness Completeness IT Audit Methodoloies Security Definition Confidentiality Integrity Correctness Completeness Availability

CobiT Governance, Control & Audit for IT Developed by ISACA Releases 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

CobiT - Model for IT Governance 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

CobiT - Structure 4 Domains PO - Planning & Organisation 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)

PO - Planning and Organisation 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

AI - Acquisition and Implementation 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

DS - Delivery and Support 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

M - Monitoring M 1 Monitor the Processes 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

CobiT - IT Process Matrix IT Audit Methodoloies CobiT - IT Process Matrix Information Criteria Effectiveness Efficiency Confidentiality Integrity Availability Compliance Reliability IT Resources People Applications Technology Facilities Data IT Processes

CobiT - Summary Mainly used for IT audits, incl. security aspects 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

CobiT - Summary May be used for self assessments 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.--

BS 7799 - CoP Code of Practice for Inform. Security Manag. 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)

BS 7799 - Security Baseline Controls IT Audit Methodoloies BS 7799 - Security Baseline Controls 10 control categories 32 control groups 109 security controls 10 security key controls

BS 7799 - Control Categories IT Audit Methodoloies BS 7799 - Control Categories Information security policy Security organisation Assets classification & control Personnel security Physical & environmental security Computer & network management

BS 7799 - Control Categories IT Audit Methodoloies BS 7799 - Control Categories System access control Systems development & maintenance Business continuity planning Compliance

BS7799 - 10 Key Controls Information security policy document 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

BS7799 - 10 Key Controls Business continuity planning process 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

BS7799 - Summary Main use: Security Concepts & Health Checks 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

BS7799 - Summary Evaluation results not shown in graphic form 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)

BSI (Bundesamt für Sicherheit in der Informationstechnik) 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

BSI - Structure IT security measures 7 areas 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

BSI - Security Measures (Modules) IT Audit Methodoloies BSI - Security Measures (Modules) Protection for generic components Infrastructure Non-networked systems LANs Data transfer systems Telecommunications Other IT components

BSI - Generic Components IT Audit Methodoloies BSI - Generic Components 3.1 Organisation 3.2 Personnel 3.3 Contingency Planning 3.4 Data Protection

BSI - Infrastructure 4.1 Buildings 4.2 Cabling 4.3 Rooms 4.3.1 Office 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

BSI - Non-Networked Systems 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

BSI - LANs 6.1 Server-Based Network 6.2 Networked Unix 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

BSI - Data Transfer Systems IT Audit Methodoloies BSI - Data Transfer Systems 7.1 Data Carrier Exchange 7.2 Modem 7.3 Firewall 7.4 E-mail

BSI - Telecommunications 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

BSI - Other IT Components IT Audit Methodoloies BSI - Other IT Components 9.1 Standard Software 9.2 Databases 9.3 Telecommuting

BSI - Module „Data Protection“ (3.4) 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

BSI - Safeguards (420 safeguards) 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)

BSI - S1-Infrastructure (45 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

BSI - Security Threats (209 threats) 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)

BSI - T3-Human Errors (31 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

BSI - Summary Main use: Security concepts & manuals 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

BSI - Summary User friendly with a lot of security details 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.--

ITSEC, Common Criteria ITSEC: IT Security Evaluation Criteria 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

ITSEC, Common Criteria Common Criteria (CC) 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

ITSEC - Functionality Security objectives (Why) 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

ITSEC - Assurance Goal: Confidence in functions & mechanisms 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

CC - Documentation CC Part 3 CC Part 2 CC Part 1 IT Audit Methodoloies Introduction and Model Introduction to Approach Terms and Model Requirements for Protection Profiles (PP) and Security Targets (ST) CC Part 2 Functional Requirements Functional Classes Functional Families Functional Components Detailed Requirements CC Part 3 Assurance Requirements Assurance Classes Assurance Families Assurance Components Evaluation Assurance Levels (EAL)

CC - Security Requirements 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

CC - Security Functional Classes IT Audit Methodoloies CC - Security Functional Classes Name Audit Communications Cryptographic Support User Data Protection Identification & Authentication Security Management Privacy Protection of TOE Security Functions Resource Utilization TOE (Target Of Evaluation) Access Trusted Path / Channels Class FAU FCO FCS FDP FIA FMT FPR FPT FRU FTA FTP

CC - Security Assurance Classes IT Audit Methodoloies CC - Security Assurance Classes Name Configuration Management Delivery & Operation Development Guidance Documents Life Cycle Support Tests Vulnerability Assessment Protection Profile Evaluation Security Target Evaluation Maintenance of Assurance Class ACM ADO ADV AGD ALC ATE AVA APE ASE AMA

CC - Eval. Assurance Levels (EALs) IT Audit Methodoloies CC - Eval. Assurance Levels (EALs) EAL EAL1 EAL2 EAL3 EAL4 EAL5 EAL6 EAL7 *TCSEC C1 C2 B1 B2 B3 A1 Name Functionally Tested Structurally Tested Methodically Tested & Checked Methodically Designed, Tested & Reviewed Semiformally Designed & Tested Semiformally Verified Design & Tested Formally Verified Design & Tested *TCSEC = “Trusted Computer Security Evaluation Criteria” --”Orange Book”

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)

Comparison of Methods - Criteria IT Audit Methodoloies Comparison of Methods - Criteria Standardisation Independence Certifiability Applicability in practice Adaptability

Comparison of Methods - Criteria IT Audit Methodoloies Comparison of Methods - Criteria Extent of Scope Presentation of Results Efficiency Update frequency Ease of Use

Comparison of Methods - Results IT Audit Methodoloies Comparison of Methods - Results CobiT 3.4 3.3 2.7 2.8 3.1 1.9 3.0 2.3 Standardisation Independence Certifyability Applicability in practice Adaptability Extent of Scope Presentation of Results Efficiency Update frequency Ease of Use BS 7799 3.6 2.9 2.2 2.4 BSI 3.5 2.6 ITSEC/CC 3.9 3.7 2.5 1.7 2.0 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

Use of Methods for IT Audits 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)

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